49 CFR 571.109Standard No. 109; New pneumatic tires.
S1. Scope. This standard specifies tire dimensions and laboratory
test requirements for bead unseating resistance, strength, endurance,
and high speed performance; defines tire load ratings; and specifies
labeling requirements for passenger car tires.
S2. Application. This standard applies to new pneumatic tires for use
on passenger cars manufactured after 1948. However, it does not apply
to any tire which has been altered so as to render impossible its use,
or its repair for use, as motor vehicle equipment.
S3. Definitions.
Bead means that part of the tire made of steel wires, wrapped or
reinforced by ply cords, that is shaped to fit the rim.
Bead separation means a breakdown of bond between components in the
bead area.
Bias ply tire means a pneumatic tire in which the ply cords that
extend to the beads are laid at alternate angles substantially less than
90 to the centerline of the tread.
Carcass means the tire structure, except tread and sidewall rubber.
Chunking means the breaking away of pieces of the tread or sidewall.
Cord means the strands forming the plies in the tire.
Cord separation means cords parting away from adjacent rubber
compounds.
Cracking means any parting within the tread, sidewall, or innerliner
of the tire extending to cord material.
CT means a pneumatic tire with an inverted flange tire and rim system
in which the rim is designed with rim flanges pointed radially inward
and the tire is designed to fit on the underside of the rim in a manner
that encloses the rim flanges inside the air cavity of the tire.
Groove means the space between two adjacent tread ribs.
Innerliner means the layer(s) forming the inside surface of a
tubeless tire that contains the inflating medium within the tire.
Innerliner separation means the parting of the innerliner from cord
material in the carcass.
Load rating means the maximum load a tire is rated to carry for a
given inflation pressure.
Maximum permissible inflation pressure means the maximum cold
inflation pressure to which a tire may be inflated.
Maximum load rating means the load rating at the maximum permissible
inflation pressure for that tire.
Open splice means any parting at any junction of tread, sidewall, or
innerliner that extends to cord material.
Overall width means the linear distance between the exteriors of the
sidewalls of an inflated tire, including elevations due to labeling,
decorations, or protective bands or ribs.
Ply means a layer of rubber-coated parallel cords.
Ply separation means a parting of rubber compound between adjacent
plies.
Pneumatic tire means a mechanical device made of rubber, chemicals,
fabric and steel or other materials, which, when mounted on an
automotive wheel, provides the traction and contains the gas or fluid
that sustains the load.
Radial ply tire means a pneumatic tire in which the ply cords which
extend to the beads are laid at substantially 90 to the centerline of
the tread.
Rim means a metal support for a tire or a tire and tube assembly upon
which the tire beads are seated.
Section width means the linear distance between the exteriors of the
sidewalls of an inflated tire, excluding elevations due to labeling,
decoration, or protective bands.
Sidewall means that portion of a tire between the tread and the bead.
Sidewall separation means the parting of the rubber compound from the
cord material in the sidewall.
Test rim means, with reference to a tire to be tested, any rim that
is listed as appropriate for use with that tire in accordance with S4.4.
For purposes of this section and 571.110, each rim listing shall
include dimensional specifications and a diagram of the rim.
Tread means that portion of a tire that comes into contact with the
road.
Tread rib means a tread section running circumferentially around a
tire.
Tread separation means pulling away of the tread from the tire
carcass.
S4. Requirements.
S4.1 Size and construction. Each tire shall be designed to fit each
rim specified for its size designation in each reference cited in the
definition of test rim in S3.
S4.2 Performance requirements.
S4.2.1 General. Each tire shall conform to each of the following:
(a) It shall meet the requirements specified in S4.2.2 for its tire
size designation, type, and maximum permissible inflation pressure.
(b) Its maximum permissible inflation pressure shall be either 32,
36, 40, or 60 psi, or 240, 280, 300, 340, kPa. For a CT tire the
maximum permissible inflation pressure shall be either 290, 330, 350, or
390 kPa.
(c) Its load rating shall be that specified in a submission made by
an individual manufacturer, pursuant to S4.4.1(a), or in one of the
publications described in S4.4.1(b) for its size designation, type and
each appropriate inflation pressure. If the maximum load rating for a
particular tire size is shown in more than one of the publications
described in S4.4.1(b), each tire of that size designation shall have a
maximum load rating that is not less than the published maximum load
rating, or if there are differing maximum load ratings for the same tire
size designation, not less than the lowest published maximum load
rating.
(d) If manufactured on or after August 1, 1968, it shall incorporate
a tread wear indicator that will provide a visual indication that the
tire has worn to a tread depth of 1/16 inch.
(e) It shall, before being subjected to either the endurance test
procedure specified in S5.4 or the high speed performance procedure
specified in S5.5, exhibit no visual evidence of tread, sidewall, ply,
cord, innerliner, or bead separation, chunking, broken cords, cracking,
or open splices.
(f) It shall meet the requirements of S4.2.2.5 and S4.2.2.6 when
tested on a test wheel described in S5.4.2.1 either alone or
simultaneously with up to 5 other tires.
S4.2.2 Test requirements.
S4.2.2.1 Test sample. For each test sample use:
(a) One tire for physical dimensions, resistance to bead unseating,
and strength, in sequence;
(b) Another tire for tire endurance; and
(c) A third tire for high speed performance.
S4.2.2.2 Physical dimensions. The actual section width and overall
width for each tire measured in accordance with S5.1, shall not exceed
the section width specified in a submission made by an individual
manufacturer, pursuant to S4.4.1(a) or in one of the publications
described in S4.4.1(b) for its size designation and type by more than:
(a) (For tires with a maximum permissible inflation pressure of 32,
36, or 40 psi) 7 percent, or
(b) (For tires with a maximum permissible inflation pressure of 60
psi, or 240, 280, 290, 300, 330, 340, 350, or 390 kPa) 7 percent or 0.4
inch, whichever is larger.
S4.2.2.3 Tubeless tire resistance to bead unseating.
S4.2.2.3.1. When a tubeless tire that has a maximum inflation
pressure other than 60 psi is tested in accordance with S5.2, the
applied force required to unseat the tire bead at the point of contact
shall be not less than:
(a) 1,500 pounds for tires with a designated section width of less
than six (6) inches;
(b) 2,000 pounds for tires with a designated section width of six (6)
inches or more but less than eight (8) inches;
(c) 2,500 pounds for tires with a designated section width of eight
(8) inches or more, using the section width specified in a submission
made by an individual manufacturer, pursuant to S4.4.1(a), or in one of
the publications described in S4.4.1(b) for the applicable tire size
designation and type.
S4.2.2.3.2 When a tire that has a maximum inflation pressure of 60
psi is tested in accordance with S5.2, the applied force required to
unseat the bead at the point of contact shall be not less than:
(a) 1,500 pounds for tires with a maximum load rating of less than
880 pounds;
(b) 2,000 pounds for tires with a maximum load rating of 880 pounds
or more but less than 1,400 pounds;
(c) 2,500 pounds for tires with a maximum load rating of 1,400 pounds
or more, using the maximum load rating marked on the sidewall of the
tire.
S4.2.2.4 Tire strength. Each tire shall meet the requirements for
minimum breaking energy specified in Table 1 when tested in accordance
with S5.3.
S4.2.2.5 Tire endurance. When the tire has been subjected to the
laboratory endurance test specified in S5.4, using a test rim that
undergoes no permanent deformation and allows no loss of air through the
portion that it comprises of the tire-rim pressure chamber:
(a) There shall be no visual evidence of tread, sidewall, ply, cord,
innerliner, or bead separation, chunking, broken cords, cracking, or
open splices.
(b) The tire pressure at the end of the test shall be not less than
the initial pressures specified in S5.4.1.1.
S4.2.2.6 High speed performance. When the tire has been subjected to
the laboratory high speed performance test specified in S5.5, using a
test rim that undergoes no permanent deformation and allows no loss of
air through the portion that it comprises of the tire-rim pressure
chamber, the tire shall meet the requirements set forth in S4.2.2.5 (a)
and (b).
S4.3 Labeling Requirements. Except as provided in S4.3.1 and S4.3.2,
each tire shall have permanently molded into or onto both sidewalls, in
letters and numerals not less than 0.078 inches high, the information
shown in paragraphs S4.3 (a) and (g). On at least one sidewall, the
information shall be positioned in an area between the maximum section
width and bead of the tire, unless the maximum section width of the tire
falls between the bead and one-fourth of the distance from the bead to
the shoulder of the tire. For tires where the maximum section width
falls in that area, locate all required labeling between the bead and a
point one-half the distance from the bead to the shoulder of the tire.
However, in no case shall the information be positioned on the tire so
that it is obstructed by the flange or any rim designated for use with
that tire in Standard Nos. 109 and 110 ( 571.109 and 571.110 of this
part).
(a) One size designation, except that equivalent inch and metric size
designations may be used;
(b Maximum permissible inflation pressure;
(c) Maximum load rating;
(d) The generic name of each cord material used in the plies (both
sidewall and tread area) of the tire;
(e) Actual number of plies in the sidewall, and the actual number of
plies in the tread area if different;
(f) The words ''tubeless'' or ''tube type'' as applicable; and
(g) The word ''radial'' if the tire is a radial ply tire.
S4.3.1 Each tire shall be labeled with the symbol DOT in the manner
specified in Part 574 of this chapter, which shall constitute a
certification that the tire conforms to applicable Federal motor vehicle
safety standards.
S4.3.2 Each tire shall be labeled with the name of the manufacturer,
or brand name and number assigned to the manufacturer in the manner
specified in Part 574.
S4.3.3 Each tire manufactured between March 1, 1971, and May 22,
1971, shall either:
(a) Comply with S4.3(d)(2) and S4.3(i) (as effective until May 22,
1971); or
(b) Be labeled with the tire identification number required by 574.5
of this chapter and comply with S4.3.1 and S4.3.2 (as effective on and
after May 22, 1971).
S4.3.4 If the maximum inflation pressure of a tire is 240, 280, 290,
300, 330, 340, 350, or 390 kPa, then:
(a) Each marking of that inflation pressure pursuant to S4.3(b) shall
be followed in parenthesis by the equivalent inflation pressure in psi,
rounded to the next higher whole number; and
(b) Each marking of the tire's maximum load rating pursuant to
S4.3(c) in kilograms shall be followed in parenthesis by the equivalent
load rating in pounds, rounded to the nearest whole number.
S4.3.5 If the maximum inflation pressure of a tire is 60 psi, the
tire shall have permanently molded into or onto both sidewalls, in
letters and numerals not less than 1/2 inch high, the words ''Inflate to
60 psi''. On both sidewalls, the words shall be positioned in an area
between the tire shoulder and the bead of the tire. However, in no case
shall the words be positioned on the tire so that they are obstructed by
the flange of any rim designated for use with that tire in this standard
or in Standard No. 110 ( 571.110 of this part).
S4.4 Tire and rim matching information.
S4.4.1 Each manufacturer of tires shall ensure that a listing of the
rims that may be used with each tire that he produces is provided to the
public. A listing compiled in accordance with paragraph (a) of this
section need not include dimensional specifications or diagram of a rim
if the rim's dimensional specifications and diagram are contained in
each listing published in accordance with paragraph (b) of this
standard. The listing shall be in one of the following forms:
(a) Listed by manufacturer name or brand name in a document furnished
to dealers of the manufacturer's tires, to any person upon request, and
in duplicate to: Office of Vehicle Safety Standards, Crash Avoidance
Division, National Highway Traffic Safety Administration, 400 Seventh
Street, SW., Washington, DC 20590; or
(b) Contained in publications, current at the date of manufacture of
the tire or any later date, of at least one of the following
organizations:
The Tire and Rim Association
The European Tyre and Rim Technical Organisation
Japan Automobile Tire Manufacturers' Association, Inc.
Deutsche Industrie Norm
British Standards Institution
Scandinavian Tire and Rim Organization
The Tyre and Rim Association of Australia
S4.4.2 Information contained in any publication specified in
S4.4.1(b) which lists general categories of tires and rims by size
designation, type of construction and/or intended use, shall be
considered to be manufacturer's information pursuant to S4.4.1 for the
listed tires and rims, unless the publication itself or specific
information provided according to S4.4.1(a) indicates otherwise.
S5. Test procedures.
S5.1 Physical Dimensions. Determine tire physical dimensions under
uniform ambient conditions as follows:
(a) Mount the tire on a test rim having the test rim width specified
in a submission made by an individual manufacturer, pursuant to
S4.4.1(a), or in one of the publications described in S4.4.1(b) for that
tire size designation and inflate it to the applicable pressure
specified in Table II.
(b) Condition it at ambient room temperature for at least 24 hours.
(c) Readjust pressure to that specified in (a).
(d) Caliper the section width and overall width at six points
approximately equally spaced around the tire circumference.
(e) Record the average of these measurements as the section width and
overall width, respectively.
(f) Determine tire outer diameter by measuring the maximum
circumference of the tire and dividing this dimension by pi (3.14).
S5.2 Tubeless tire bead unseating resistance.
S5.2.1 Preparation of tire-wheel assembly.
S5.2.1.1 Wash the tire, dry it at the beads, and mount it without
lubrication or adhesives on a clean, painted test rim.
S5.2.1.2 Inflate it to the applicable pressure specified in Table II
at ambient room temperature.
S5.2.1.3 Mount the wheel and tire in a fixture shown in Figure 1, and
force the bead unseating block shown in Figure 2 or Figure 2A against
the tire sidewall as required by the geometry of the fixture. However,
in testing a tire that has an inflation pressure of 60 psi, only use the
bead unseating block described in Figure 2A.
S5.2.2 Test procedure.
S5.2.2.1 Apply a load through the block to the tire outer sidewall at
the distance specified in Figure 1 for the applicable wheel size at a
rate of 2 inches per minute, with the load arm substantially parallel to
the tire and rim assembly at the time of engagement.
S5.2.2.2 Increase the load until the bead unseats or the applicable
value specified in S4.2.2.3 is reached.
S5.2.2.3 Repeat the test at least four places equally spaced around
the tire circumference.
S5.3 Tire strength.
S5.3.1 Preparation of tire.
S5.3.1.1 Mount the tire on a test rim and inflate it to the
applicable pressure specified in Table II.
S5.3.1.2 Condition it at room temperature for at least 3 hours; and
S5.3.1.3 Readjust its pressure to that specified in S5.3.1.1.
S5.3.2 Test procedure.
S5.3.2.1 Force a 3/4-inch diameter cylindrical steel plunger with a
hemispherical end perpendicularly into the tread rib as near to the
centerline as possible, avoiding penetration into the tread groove, at
the rate of 2 inches per minute.
S5.3.2.2 Record the force and penetration at five test points equally
spaced around the circumference of the tire. If the tire fails to break
before the plunger is stopped by reaching the rim, record the force and
penetration as the rim is reached and use these values in S5.3.2.3.
S5.3.2.3 Compute the breaking energy for each test point by means of
the following formula:
where
W=Energy, inch-pounds;
F=Force, pounds; and
P=Penetration, inches.
S5.3.2.4 Determine the breaking energy value for the tire by
computing the average of the five values obtained in accordance with
S5.3.2.3.
S5.4 Tire endurance.
S5.4.1 Preparation of tire.
S5.4.1.1 Mount a new tire on a test rim and inflate it to the
applicable pressure specified in Table II.
S5.4.1.2 Condition the tire assembly to 100 5 F. for at least three
hours.
S5.4.1.3 Readjust tire pressure to that specified in S5.4.1.1
immediately before testing.
S5.4.2 Test procedure.
S5.4.2.1 Mount the tire and wheel assembly on a test axle and press
it against a flat-faced steel test wheel 67.23 inches in diameter and at
least as wide as the section width of the tire to be tested or an
approved equivalent test wheel, with the applicable test load specified
in the table in S5.4.2.3 for the tire's size designation, type, and
maximum permissible inflation pressure.
S5.4.2.2 During the test, the air surrounding the test area shall be
100 5 F.
S5.4.2.3 Conduct the test at 50 miles per hour in accordance with the
following schedule without pressure adjustment or other interruptions:
The loads for the following periods are the specified percentage of
the maximum load rating marked on the tire sidewall:
S5.4.2.4 Immediately after running the tire the required time,
measure its inflation pressure. Allow the tire to cool for one hour.
Then deflate the tire, remove it from the test rim, and inspect it for
the conditions specified in S4.2.2.5(a).
S5.5 High speed performance.
S5.5.1 After preparing the tire in accordance with S5.4.1, mount the
tire and wheel assembly in accordance with S5.4.2.1, and press it
against the test wheel with a load of 88 percent of the tire's maximum
load rating as marked on the tire sidewall.
S5.5.2 Break in the tire by running it for 2 hours at 50 m.p.h.
S5.5.3 Allow to cool to 100 5 F and readjust the inflation pressure
to the applicable pressure specified in Table II.
S5.5.4 Without readjusting inflation pressure, test at 75 m.p.h. for
30 minutes, 80 m.p.h. for 30 minutes, and 85 m.p.h. for 30 minutes.
S5.5.5 Immediately after running the tire the required time, measure
its inflation pressure. Allow the tire to cool for one hour. Then
deflate the tire, remove it from the test rim, and inspect it for the
conditions specified in S4.2.2.5(a).
S6. Nonconforming tires. No tire that is designed for use on
passenger cars and manufactured on or after October 1, 1972, but does
not conform to all the requirements of this standard, shall be sold,
offered for sale, introduced or delivered for intorduction into
interstate commerce, or imported into the United States, for any
purpose.
Insert ILLUS. 79A
The following tables list tire sizes and tire constructions with
proper load and inflation values. The tables group tires of related
constructions and load/inflation values. Persons requesting the
addition of new tire sizes to the tables or the addition of tables for
new tire constructions may, when the additions requested are compatible
with existent groupings, or when adequate justification for new tables
exists, submit five (5) copies of information and data supporting the
request to the Secretary of Transportation, Attention: Motor Vehicle
Programs, National Highway Traffic Safety Administration, U.S.
Department of Transportation, Washington, DC 20590.
The information should contain the following:
1. The tire size designation, and a statement either that the tire is
an addition to a category of tires listed in the tables or that it is in
a new category for which a table has not been developed.
2. The tire dimensions, including aspect ratio, size factor, section
width, overall width, and test rim size.
3. The load-inflation schedule of the tire.
4. A statement as to whether the tire size designation and load
inflation schedule has been coordinated with the Tire and Rim
Association, the European Tyre and Rim Technical Organisation, the Japan
Automobile Tire Manufacturers' Association, Inc., the Deutsche Industrie
Norm, the British Standards Institution, the Scandinavian Tire and Rim
Organization, and the Tyre and Rim Association of Australia.
5. Copies of test data sheets showing test conditions, results and
conclusions obtained for individual tests specified in 571.109.
6. Justification for the additional tire sizes.
49 CFR 571.109 Appendix A -- Federal Motor Vehicle Safety Standard No.
109
(38 FR 30235, Nov. 1, 1973)
Editorial Note: For Federal Register citations affecting 571.109,
see the List of CFR Sections Affected in the Finding Aids section of
this volume.
49 CFR 571.110Standard No. 110; Tire selection and rims.
S1. Purpose and scope. This standard specifies requirements for tire
selection to prevent tire overloading.
S2 Application. This standard applies to passenger cars and to
non-pneumatic spare tire assemblies for use on passenger cars.
S3. Definitions.
Accessory weight means the combined weight (in excess of those
standard items which may be replaced) of automatic transmission, power
steering, power brakes, power windows, power seats, radio, and heater,
to the extent that these items are available as factory-installed
equipment (whether installed or not).
Curb weight means the weight of a motor vehicle with standard
equipment including the maximum capacity of fuel, oil, and coolant, and,
if so equipped, air conditioning and additional weight optional engine.
Maximum loaded vehicle weight means the sum of --
(a) Curb weight;
(b) Accessory weight;
(c) Vehicle capacity weight; and
(d) Production options weight.
Non-pneumatic rim is used as defined in 571.129.
Non-pneumatic spare tire assembly means a non-pneumatic tire assembly
intended for temporary use in place of one of the pneumatic tires and
rims that are fitted to a passenger car in compliance with the
requirements of this standard.
Non-pneumatic tire and non-pneumatic tire assembly are used as
defined in 571.129.
Normal occupant weight means 150 pounds times the number of occupants
specified in the second column of Table I.
Occupant distribution means distribution of occupants in a vehicle as
specified in the third column of Table I.
Production options weight means the combined weight of those
installed regular production options weighing over 5 pounds in excess of
those standard items which they replace, not previously considered in
curb weight or accessory weight, including heavy duty brakes, ride
levelers, roof rack, heavy duty battery, and special trim.
Rim is used as defined in 571.109.
Vehicle capacity weight means the rated cargo and luggage load plus
150 pounds times the vehicles designated seating capacity.
Vehicle maximum load on the tire means that load on an individual
tire that is determined by distributing to each axle its share of the
maximum loaded vehicle weight and dividing by two.
Vehicle normal load on the tire means that load on an individual tire
that is determined by distributing to each axle its share of the curb
weight, accessory weight, and normal occupant weight (distributed in
accordance with Table I) and dividing by 2.
Wheel center member is used as defined in 571.129.
S4. Requirements.
S4.1 General. Passenger cars shall be equipped with tires that meet
the requirements of 571.109, New Pneumatic Tires -- Passenger Cars,
except that passenger cars may be equipped with a non-pneumatic spare
tire assembly that meets the requirements of 571.129, New Non-Pneumatic
Tires for Passenger Cars and S6 and S8 of this standard. Passenger care
equipped with such an assembly shall meet the requirements of S4.3(e),
S5, and S7 of this standard.
S4.2 Tire load limits.
S4.2.1 The vehicle maximum load on the tire shall not be greater than
the applicable maximum load rating as marked on the sidewall of the
tire.
S4.2.2 The vehicle normal load on the tire shall not be greater than
the test load used in the high speed performance test specified in S5.5
of 571.109 for that tire.
S4.3 Placard. A placard, permanently affixed to the glove compartment
door or an equally accessible location, shall display the --
(a) Vehicle capacity weight;
(b) Designated seating capacity (expressed in terms of total number
of occupants and in terms of occupants for each seat location);
(c) Vehicle manufacturer's recommended cold tire inflation pressure
for maximum loaded vehicle weight and, subject to the limitations of
S4.3.1, for any other manufacturer-specified vehicle loading condition;
(d) Vehicle manufacturer's recommended tire size designation; and
(e) For a vehicle equipped with a non-pneumatic spare tire assembly,
the non-penumatic tire identification code with which that assembly is
labeled pursuant to the requirements of S4.3(a) of 571.129, New
Non-Pneumatic Tires for Passenger Cars.
S4.3.1 No inflation pressure other than the maximum permissible
inflation pressure may be specified unless --
(a) It is less than the maximum permissible inflation pressure;
(b) The vehicle loading condition for that pressure is specified;
and
(c) The tire load rating specified in a submission by an individual
manfacturer, pursuant to S4.4.1(a) of Motor Vehicle Safety Standard No.
109, or contained in one of the publications described in S4.4.1(b) of
Motor Vehicle Safety Standard No. 109 for the tire size at that
inflation pressure is not less than the vehicle load on the tire for
that vehicle loading condition.
S4.4 Rims.
S4.4.1 Requirements. Each rim shall:
(a) Be constructed to the dimensions of a rim that is listed pursuant
to the definition of test rim in paragraph S3. of 571.109 (Standard
No. 109) for use with the tire size designation with which the vehicle
is equipped.
(b) In the event of rapid loss of inflation pressure with the vehicle
traveling in a straight line at a speed of 60 miles per hour, retain the
deflated tire until the vehicle can be stopped with a controlled braking
application.
S5 Load Limits for Non-Pneumatic Spare Tires. The highest vehicle
maximum load on the tire for the vehicle shall not be greater than the
load rating for the non-pneumatic spare tire.
S6 Labeling Requirements for Non-Pneumatic Spare Tires or Tire
Assemblies.
Each non-pneumatic tire or, in the case of a non-pneumatic tire
assembly in which the non-pneumatic tire is an integral part of the
assembly, each non-pneumatic tire assembly shall include, in letters or
numerals not less than 0.156 inches high, the information specified in
paragraphs S6 (a) and (b). The information shall be permanently molded,
stamped, or otherwise permanently marked into or onto the non-pneumatic
tire or non-pneumatic tire assembly, or shall appear on a label that is
permanently attached to the tire or tire assembly. If a label is used,
it shall be subsurface printed, made of material that is resistant to
fade, heat, moisture and abrasion, and attached in such a manner that it
cannot be removed without destroying or defacing the label on the
non-pneumatic tire or tire assembly. The information specified in
paragraphs S6 (a) and (b) shall appear on both sides of the
non-pneumatic tire or tire assembly, except, in the case of a
non-pneumatic tire assembly which has a particular side that must always
face outward when mounted on a vehicle, in which case the information
specified in paragraphs S6 (a) and (b) shall only be required on the
outward facing side. The information shall be positioned on the tire or
tire assembly such that it is not placed on the tread or the outermost
edge of the tire and is not obstructed by any portion of any
non-pneumatic rim or wheel center member designated for use with that
tire in this standard or in Standard No. 129.
(a) FOR TEMPORARY USE ONLY; and
(b) MAXIMUM 50 M.P.H.
S7 Requirements for Passenger Cars Equipped with Non-Pneumatic Spare
Tire Assemblies
S7.1 Vehicle Placarding Requirements. A placard, permanently affixed
to the inside of the vehicle trunk or an equally accessible location
adjacent to the non-pneumatic spare tire assembly, shall display the
information set forth in S6 in block capitals and numerals not less than
0.25 inches high preceded by the words ''IMPORTANT -- USE OF SPARE
TIRE'' in letters not less than 0.375 inches high.
S7.2 Supplementary Information. The owner's manual of the passenger
car shall contain, in writing in the English language and in not less
than 10 point type, the following information under the heading
''IMPORTANT -- USE OF SPARE TIRE'':
(a) A statement indicating the information related to appropriate use
for the non-pneumatic spare tire including at a minimum the information
set forth in S6 (a) and (b) and either the information set forth in
S4.3(e) or a statement that the information set forth in S4.3(e) is
located on the vehicle placard and on the non-pneumatic tire;
(b) An instruction to drive carefully when the non-pneumatic spare
tire is in use, and to install the proper pneumatic tire and rim at the
first reasonable opportunity; and
(c) A statement that operation of the passenger car is not
recommended with more than one non-pneumatic spare tire in use at the
same time.
S8 Non-Pneumatic Rims and Wheel Center Members
S8.1 Non-Pneumatic Rim Requirements. Each non-pneumatic rim that is
part of a separable non-pneumatic spare tire assembly shall be
constructed to the dimensions of a non-pneumatic rim that is listed
pursuant to S4.4 of 571.129 for use with the non-pneumatic tire,
designated by its non-pneumatic tire identification code, with which the
vehicle is equipped.
S8.2 Wheel Center Member Requirements. Each wheel center member that
is part of a separable non-pneumatic spare tire assembly shall be
constructed to the dimensions of a wheel center member that is listed
pursuant to S4.4 of 571.129 for use with the non-pneumatic tire,
designated by its non-pneumatic tire identification code, with which the
vehicle is equipped.
(36 FR 22902, Dec. 2, 1971, as amended at 37 FR 23727, Nov. 8, 1972;
40 FR 5530, Feb. 6, 1975; 47 FR 36183, Aug. 19, 1982; 49 FR 38612,
Oct. 1, 1984; 55 FR 29589, July 20, 1990; 56 FR 19311, Apr. 26, 1991)
49 CFR 571.111Standard No. 111; Rearview mirrors.
S1. Scope. This standard specifies requirements for the performance
and location of rearview mirrors.
S2. Purpose. The purpose of this standard is to reduce the number of
deaths and injuries that occur when the driver of a motor vehicle does
not have a clear and reasonably unobstructed view to the rear.
S3. Application. This standard applies to passenger cars,
multipurpose passenger vehicles, trucks, buses, schoolbuses and
motorcycles.
S4. Definitions.
Convex mirror means a mirror having a curved reflective surface whose
shape is the same as that of the exterior surface of a section of a
sphere.
Unit magnification mirror means a plane or flat mirror with a
reflective surface through which the angular height and width of the
image of an object is equal to the angular height and width of the
object when viewed directly at the same distance except for flaws that
do not exceed normal manufacturing tolerances. For the purposes of this
regulation a prismatic day-night adjustment rearview mirror one of whose
positions provides unit magnification is considered a unit magnification
mirror.
S5. Requirements for passenger cars.
S5.1 Inside rearview mirror. Each passenger car shall have an inside
rearview mirror of unit magnification.
S5.1.1 Field of view. Except as provided in S5.3, the mirror shall
provide a field of view with an included horizontal angle measured from
the projected eye point of at least 20 degrees, and sufficient vertical
angle to provide a view of a level road surface extending to the horizon
beginning at a point not greater than 200 feet to the rear of the
vehicle when the vehicle is occupied by the driver and four passengers
or the designed occupant capacity, if less, based on an average occupant
weight of 150 pounds. The line of sight may be partially obscured by
seated occupants or by head restraints. The location of the driver's
eye reference points shall be those established in Motor Vehicle Safety
Standard No. 104 ( 571.104) or a nominal location appropriate for any
95th percentile male driver.
S5.1.2 Mounting. The mirror mounting shall provide a stable support
for the mirror, and shall provide for mirror adjustment by tilting in
both the horizontal and vertical directions. If the mirror is in the
head impact area, the mounting shall deflect, collapse or break away
without leaving sharp edges when the reflective surface of the mirror is
subjected to a force of 90 pounds in any forward direction that is not
more than 45 from the forward longitudinal direction.
S5.2 Outside rearview mirror -- driver's side.
S5.2.1 Field of view. Each passenger car shall have an outside
mirror of unit magnification. The mirror shall provide the driver a
view of a level road surface extending to the horizon from a line,
perpendicular to a longitudinal plane tangent to the driver's side of
the vehicle at the widest point, extending 8 feet out from the tangent
plane 35 feet behind the driver's eyes, with the seat in the rearmost
position. The line of sight may be partially obscured by rear body or
fender contours. The location of the driver's eye reference points
shall be those established in Motor Vehicle Safety Standard No. 104 (
571.104) or a nominal location appropriate for any 95th percentile male
driver.
S5.2.2 Mounting. The mirror mounting shall provide a stable support
for the mirror, and neither the mirror nor the mounting shall protrude
farther than the widest part of the vehicle body except to the extent
necessary to produce a field of view meeting or exceeding the
requirements of S5.2.1. The mirror shall not be obscured by the unwiped
portion of the windshield, and shall be adjustable by tilting in both
horizontal and vertical directions from the driver's seated position.
The mirror and mounting shall be free of sharp points or edges that
could contribute to pedestrian injury.
S5.3 Outside rearview mirror passenger's side. Each passenger car
whose inside rearview mirror does not meet the field of view
requirements of S5.1.1 shall have an outside mirror of unit
magnification or a convex mirror installed on the passenger's side. The
mirror mounting shall provide a stable support and be free of sharp
points or edges that could contribute to pedestrian injury. The mirror
need not be adjustable from the driver's seat but shall be capable of
adjustment by tilting in both horizontal and vertical directions.
S5.4 Convex mirror requirements. Each motor vehicle using a convex
mirror to meet the requirements of S5.3 shall comply with the following
requirements:
S5.4.1 When each convex mirror is tested in accordance with the
procedures specified in S12. of this standard, none of the radii of
curvature readings shall deviate from the average radius of curvature by
more than plus or minus 12.5 percent.
S5.4.2 Each convex mirror shall have permanently and indelibly marked
at the lower edge of the mirror's reflective surface, in letters not
less than 3/16 of an inch nor more than 1/4 inch high the words
''Objects in Mirror Are Closer Than They Appear.''
S5.4.3 The average radius of curvature of each such mirror, as
determined by using the procedure in S12., shall be not less than 35
inches and not more than 65 inches.
S6. Requirements for multipurpose passenger vehicles, trucks, and
buses, other than schoolbuses, with GVWR of 10,000 pounds or less.
S6.1 Each multipurpose passenger vehicle, truck and bus, other than a
school bus, with a GVWR of 10,000 pounds or less shall have either --
(a) Mirrors that conform to the requirements of S5.; or
(b) Outside mirrors of unit magnification, each with not less than
19.5 in2 of reflective surface, installed with stable supports on both
sides of the vehicle, located so as to provide the driver a view to the
rear along both sides of the vehicle, and adjustable in both the
horizontal and vertical directions to view the rearward scene.
S7. Requirements for multipurpose passenger vehicles and trucks with
a GVWR of more than 10,000 and less than 25,000 pounds and buses, other
than school buses, with a GVWR of more than 10,000 pounds.
S7.1 Each multipurpose passenger vehicle and truck with a GVWR of
more than 10,000 pounds and less than 25,000 pounds and each bus, other
than a school bus, with a GVWR of more than 10,000 pounds shall have
outside mirrors of unit magnification, each with not less than 50 in2 of
reflective surface, installed with stable supports on both sides of the
vehicle. The mirrors shall be located so as to provide the driver a
view to the rear along both sides of the vehicle and shall be adjustable
both in the horizontal and vertical directions to view the rearward
scene.
S8. Requirements for multipurpose passenger vehicles and trucks with
a GVWR of 25,000 pounds or more.
S8.1 Each multipurpose passenger vehicle and truck with a GVWR of
25,000 pounds or more shall have outside mirrors of unit magnification,
each with not less than 50 in2 of reflective surface, installed with
stable supports on both sides of the vehicle. The mirrors shall be
located so as to provide the driver a view to the rear along both sides
of the vehicle and shall be adjustable both in the horizontal and
vertical directions to view the rearward scene.
S9. Requirements for school buses.
S9.1 Outside rearview mirrors. Each school bus shall have outside
mirrors of unit magnification, each with not less than 50 in2 of
reflective surface, installed with stable supports on both sides of the
vehicle. The mirrors shall be located so as to provide the driver a
view to the rear along both sides of the vehicle and shall be adjustable
both in the horizontal and vertical directions to view the rearward
scene.
S9.2 Outside cross view mirror. Each school bus, except one which is
a forward control vehicle, shall have a convex mirror which complies
with the requirements in paragraphs (a) and (b) of this section.
(a) The convex mirror shall have a radius of curvature not less than
3.5 inches and not more than 25 inches. A convex mirror whose radius of
curvature at its periphery is not less than 12 inches and not more than
25 inches shall have a surface area which is not less than 40 square
inches. A convex mirror whose radius of curvature at any point on the
mirror is less than 12 inches shall have a projected area of not less
than 40 square inches, measured on a plane at a right angle to the
mirror's axis. A convex mirror with a non-uniform radius shall comply
with the following criteria:
(1) The radius at the periphery of the mirror shall be not less than
75 percent of the radius at the center of the mirror.
(2) Along the intersection of any plane containing the axis of
symmetry of the mirror and the surface of the mirror, the length of the
radius, as measured by a spherometer, shall be monotonically
non-increasing when moving from the axis of symmetry to the periphery
along the intersection.
(3) Along the intersection described in paragraph (a)(2) of this
section there shall be no discontinuities in the slope of the surface of
the mirror.
(b) The mirror shall be installed with a stable support, and mounted
so as to provide the driver a view of the front bumper and the area in
front of the bus.
S10. Requirements for motorcycles.
S10.1 Each motorcycle shall have either a mirror of unit
magnification with not less than 12.5 in2 of reflective surface, or a
convex mirror with not less than 10 in2 of reflective surface and an
average radius of curvature not less than 20 inches and not greater than
60 inches, installed with a stable support, and mounted so that the
horizontal center of the reflective surface is at least 11 inches
outward of the longitudinal centerline of the motorcycle. The mirror
shall be adjustable by tilting in both the horizontal and vertical
directions.
S11. Mirror construction. The average reflectance value of the
reflective film employed on any mirror required by this standard,
determined in accordance with SAE Recommended Practice J964a, August
1974, shall be at least 35 percent. If a mirror is of the selective
position prismatic type, the reflectance value in the night driving
position shall be at least 4 percent.
S12. Determination of radius of curvature.
S12.1 To determine the average radius of curvature of a convex
mirror, use a 3-point linear spherometer, which meets the requirements
of S12.2, at the 10 test positions shown in Figure 1 and record the
readings for each position.
S12.2 The 3-point linear spherometer has two outer fixed legs 1.5
inches apart and one inner movable leg at the mid-point. The
spherometer has a dial indicator with a scale that can be read
accurately to 0.0001 inches, with the zero reading being a flat surface.
S12.3 The 10 test positions on the image display consist of two
positions at right angles to each other at each of five locations as
shown in Figure 1. The locations are at the center of the mirror, at
the left and right ends of a horizontal line that bisects the mirror and
at the top and bottom ends of a vertical line that bisects the mirror.
None of the readings are within a 0.25-inch border on the edge of the
image display.
S12.4 At each position, the spherometer is held perpendicular to the
convex mirror-surface and a record is made of the reading on the dial
indicator to the nearest 0.0001 inch.
S12.5 Convert the dial reading data for each of the 10 test positions
to radius of curvature calculations using Table I. Consider the change
as linear for dial readings that fall between two numbers in Table I.
S12.6 Calculate the average radius of curvature by adding all 10
radius of curvature calculations and dividing by ten.
S12.7 Determine the numerical difference between the average radius
of curvature and each of the 10 individual radius of curvature
calculations determined in S12.5.
S12.8 Calculate the greatest percentage deviation by dividing the
greatest numerical difference determined in S12.7 by the average radius
of curvature and multiply by 100.
Insert illustrations 0697
(41 FR 36025, Aug. 26, 1976, as amended at 41 FR 56813, Dec. 30,
1976; 47 FR 38700, Sept. 2, 1982; 48 FR 38844, Aug. 26, 1983; 48 FR
40262, Sept. 6, 1983)
49 CFR 571.112Standard No. 112; Headlamp concealment devices.
S1. Scope. This standard specifies requirements for headlamp
concealment devices.
S2. Application. This standard applies to passenger cars,
multipurpose passenger vehicles, trucks, buses, and motorcycles.
S3. Definitions.
Fully opened means the position of the headlamp concealment device in
which the headlamp is in the design open operating position.
Headlamp concealment device means a device, with its operating system
and components, that provides concealment of the headlamp when it is not
in use, including a movable headlamp cover and a headlamp that displaces
for concealment purposes.
Power means any source of energy that operates the headlamp
concealment device.
S4. Requirements.
S4.1 While the headlamp is illuminated, its fully opened headlamp
concealment device shall remain fully opened whenever either or both of
the following occur --
(a) Any loss of power to or within the headlamp concealment device;
(b) Any disconnection, restriction, short-circuit, circuit time
delay, or other similar malfunction in any wiring, tubing, hose,
solenoid or other component that controls or conducts power for
operating the concealment device.
S4.2 Whenever any malfunction occurs in a component that controls or
conducts power for the actuation of the concealment device, each closed
headlamp concealment device shall be capable of being fully opened --
(a) By automatic means;
(b) By actuation of a switch, lever or other similar mechanism; or
(c) By other means not requiring the use of any tools.
Thereafter, the headlamp concealment device must remain fully opened
until intentionally closed.
S4.3 Except for cases of malfunction covered by S4.2, each headlamp
concealment device shall be capable of being fully opened and the
headlamps illuminated by actuation of a single switch, lever, or similar
mechanism, including a mechanism that is automatically actuated by a
change in ambient light conditions.
S4.4 Each headlamp concealment device shall be installed so that the
headlamp may be mounted, aimed, and adjusted without removing any
component of the device, other than components of the headlamp assembly.
S4.5 Except for cases of malfunction covered by S4.2, each headlamp
concealment device shall, within an ambient temperature range of ^20 to
+120 F., be capable of being fully opened in not more than 3 seconds
after actuation of the mechanism described in S4.3.
(36 FR 22902, Dec. 2, 1971, as amended at 52 FR 35710, Sept. 23,
1987)
49 CFR 571.113Standard No. 113; Hood latch system.
S1. Purpose and scope. This standard establishes the requirement for
providing a hood latch system or hood latch systems.
S2. Application. This standard applies to passenger cars,
multipurpose passenger vehicles, trucks, and buses.
S3. Definitions. Hood means any exterior movable body panel forward
of the windshield that is used to cover an engine, luggage, storage, or
battery compartment.
S4. Requirements.
S4.1 Each hood must be provided with a hood latch system.
S4.2 A front opening hood which, in any open position, partially or
completely obstructs a driver's forward view through the windshield must
be provided with a second latch position on the hood latch system or
with a second hood latch system.
49 CFR 571.114 Standard No. 114; Theft protection.
S1. Purpose and Scope. This standard specifies requirements for
theft protection to reduce the incidence of accidents resulting from
unauthorized use.
S2. Application. This standard applies to passenger cars, and to
trucks and multipurpose passenger vehicles having a GVWR of 10,000
pounds or less. However, it does not apply to walk-in van-type
vehicles.
S3. Definitions.
Combination means one of the specifically planned and constructed
variations of a locking system which, when properly actuated, permits
operation of the locking system.
Key includes any other device designed and constructed to provide a
method for operating a locking system which is designed and constructed
to be operated by that device.
Vehicle type refers to passenger car, truck, or multipurpose
passenger vehicle, as those terms are defined in 49 CFR 571.3.
S4. Requirements.
S4.1. Each truck and multipurpose passenger vehicle having a GVWR of
10,000 pounds or less manufactured on or after September 1, 1983 and
each passenger car shall meet the requirements of S4.2, S4.3, S4.4, and
S4.5. However, open-body type vehicles that are manufactured for
operation without doors and that either have no doors or have doors that
are designed to be easily attached to and removed from the vehicle by
the vehicle owner are not required to comply with S4.5.
S4.2. Each vehicle shall have a key-locking system that, whenever the
key is removed, will prevent --
(a) Normal activation of the vehicle's engine or other main source of
motive power; and
(b) Either steering or forward self-mobility of the vehicle, or both.
S4.3. The prime means for deactivating the vehicle's engine or other
main source of motive power shall not activate the deterrent required by
S4.2(b).
S4.4. For each vehicle type manufactured by a manufacturer, the
number of different combinations of the key-locking systems required by
S4.2 shall be at least 1,000, or a number equal to the number of
vehicles of that type manufactured by such manufacturer, whichever is
less. The same combinations may be used for more than one vehicle type.
S4.5. A warning to the driver shall be activated whenever the key
required by S4.2 has been left in the locking system and the driver's
door is opened. The warning to the driver need not operate --
(a) After the key has been manually withdrawn to a position from
which it may not be turned;
(b) When the key-locking system is in the ''on'' or ''start''
position; or
(c) After the key has been inserted in the locking system and before
it has been turned.
(46 FR 32253, June 22, 1981)
Effective Date Note: At 56 FR 12468, Mar. 26, 1991, 571.114 was
amended by revising sections S1, S4.2 and S4.3, and adding new sections
S4.2.1 and S4.2.2, effective Sept. 1, 1992. For the convenience of the
user, the revised text follows.
571.114 Standard No. 114; Theft protection.
S1 Purpose and Scope. This standard specifies requirements primarily
for theft protection to reduce the incidence of crashes resulting from
unauthorized operation of a motor vehicle. It also specifies
requirements to reduce the incidence of crashes resulting from rollaway
of parked vehicles.
S4.2 Each vehicle shall have a key-locking system which, whenever the
key is removed, prevents:
(a) The normal activation of the vehicle's engine or motor; and
(b) Either steering or forward self-mobility of the vehicle or both.
S4.2.1 Except as provided in S4.2.2(a) and (b), the key-locking
system required by S4.2 in each vehicle which has an automatic
transmission with a ''park'' position shall prevent removal of the key
unless the transmission or transmission shift lever is locked in
''park'' or becomes locked in ''park'' as the direct result of removing
the key.
S4.2.2(a) Notwithstanding S4.2.1, each vehicle specified therein may
have a device which, when activated, permits key removal provided that
steering is prevented upon the key's removal. The means for activating
the device shall be covered by a non-transparent surface which, when
installed, prevents sight of and activation of the device and which is
removable only by use of a screwdriver or other tool.
(b) Notwithstanding S4.2.1, each vehicle specified therein may have a
device which, when activated, permits moving the transmission shift
lever from ''park'' after the removal of the key provided that steering
is prevented when the key is removed. The means for activating the
device may be operable by the key, as defined in S3. The device may be
operable by another means which is covered by a non-transparent surface
which, when installed, prevents sight of and activation of the device
and which is removable only by use of a screwdriver or other similar
tool.
S4.3 Except when an automatic transmission vehicle is in ''park,''
the means for deactivating the vehicle's engine or motor shall not
activate any device installed pursuant to S4.2(b) to prevent the
vehicle's steering or forward self-mobility or both.
49 CFR 571.115 Standard No. 115; Vehicle identification number --
basic requirements.
S1. Purpose and scope.
This standard specifies general physical requirements for a vehicle
identification number (VIN) and its installation to simplify vehicle
information retrieval and to reduce the incidence of accidents by
increasing the accuracy and efficiency of vehicle recall campaigns.
S2. Application.
This standard applies to passenger cars, multipurpose passenger
vehicles, trucks, buses, trailers (including trailer kits), incomplete
vehicles and motorcycles. Vehicles imported into the United States
under 591.5(f) of this chapter, other than by a corporation which was
responsible for the assembly of that vehicle or a subsidiary of such a
corporation, are exempt from the requirements of S4.2, S4.3, and S4.7 of
this standard.
S3. Definitions.
Check digit means a single number or the letter X used to verify the
accuracy of the transcription of the vehicle identification number.
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.
Trailer kit means a trailer which is fabricated and delivered in
complete but unassembled form and which is designed to be assembled
without special machinery or tools.
Vehicle identification number means a series of arabic numbers and
roman letters which is assigned to a motor vehicle for identification
purposes.
S4. Requirements.
S4.1 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.
S4.2 Each VIN shall consist of seventeen (17) characters.
S4.3 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 and prepared by the manufacturer
to be given to the first owner for purposes other than resale.
S4.4 The VIN's of any two vehicles manufactured within a 30-year
period shall not be identical.
S4.5 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 which
is permanently affixed to such a part.
S4.6 The VIN for passenger cars, multipurpose passenger vehicles, and
trucks of 10,000 pounds 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.
S4.7 Each character in each VIN shall be one of the Arabic or Roman
letters set forth in Table 1.
All spaces provided for in the VIN must be occupied by a character
specified in Table 1.
S4.8 The type face utilized for each VIN shall consist of capital,
sanserif characters.
S4.9(a) A passenger car imported into the United States under 19 CFR
12.80(b)(1)(iii) or 49 CFR part 591 shall retain any identification
number affixed by the original manufacturer.
(b) A vehicle described in paragraph (a) of this section 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:
XXXXXX. SEE FMVSS 115.
(c) The plate or label required by paragraph (b) of this section
shall be permanently affixed in a location that conforms to S4.6, in
such manner as not to cover, obscure, or overlay any part of any
identification number affixed by the original manufacturer, and shall
conform to S4.7 and S4.8.
(48 FR 22571, May 19, 1983; 50 FR 4222, Jan. 30, 1985, as amended at
54 FR 41844, Oct. 12, 1989; 54 FR 46257, Nov. 2, 1989)
49 CFR 571.116Standard No. 116; Motor vehicle brake fluids.
S1. Scope. This standard specifies requirements for fluids for use in
hydraulic brake systems of motor vehicles, containers for these fluids,
and labeling of the containers.
S2. Purpose. The purpose of this standard is to reduce failures in
the hydraulic braking systems of motor vehicles which may occur because
of the manufacture or use of improper or contaminated fluid.
S3. Application. This standard applies to all fluid for use in
hydraulic brake systems of motor vehicles. In addition, S5.3 applies to
passenger cars, multipurpose passenger vehicles, trucks, buses,
trailers, and motorcycles.
S4. Definitions.
Blister means a cavity or sac on the surface of a brake cup.
Brake fluid means a liquid designed for use in a motor vehicle
hydraulic brake system in which it will contact elastomeric components
made of styrene and butadiene rubber (SBR), ethylene and propylene
rubber (EPR), polychloroprene (CR) brake hose inner tube stock or
natural rubber (NR).
Chipping means a condition in which small pieces are missing from the
outer surface of a brake cup.
Duplicate samples means two samples of brake fluid taken from a
single packaged lot and tested simultaneously.
Hydraulic system mineral oil means a mineral-oil-based fluid designed
for use in motor vehicle hydraulic brake systems in which the fluid is
not in contact with components made of SBR, EPR or NR.
Packager means any person who fills containers with brake fluid that
are subsequently distributed for retail sale.
Packaged lot is that quantity of brake fluid shipped by the
manufacturer to the packager in a single container, or that quantity of
brake fluid manufactured by a single plant run of 24 hours or less,
through the same processing equipment and with no change in ingredients.
Scuffing means a visible erosion of a portion of the outer surface of
a brake cup.
A silicone base brake fluid (SBBF) is a brake fluid which consists of
not less than 70 percent by weight of a diorgano polysiloxane.
Sloughing means degradation of a brake cup as evidenced by the
presence of carbon black loosely held on the brake cup surface, such
that a visible black streak is produced when the cup, with a 500 10 gram
deadweight on it, is drawn base down over a sheet of white bond paper
placed on a firm flat surface.
Stickiness means a condition on the surface of a brake cup such that
fibers will be pulled from a wad of U.S.P. absorbent cotton when it is
drawn across the surface.
S5. Requirements. This section specifies performance requirements for
DOT 3, DOT 4 and DOT 5 brake fluids; requirements for brake fluid
certification; and requirements for container sealing, labeling and
color coding for brake fluids and hydraulic system mineral oils. Where
a range of tolerances is specified, the brake fluid shall meet the
requirements at all points within the range.
S5.1 Brake fluid. When tested in accordance with S6, brake fluids
shall meet the following requirements:
S5.1.1 Equilibrium reflux boiling point (ERBP). When brake fluid is
tested according to S6.1, the ERBP shall not be less than the following
value for the grade indicated:
(a) DOT 3: 205 C. (401 F.).
(b) DOT 4: 230 C. (446 F.).
(c) DOT 5:260 C (500 F).
S5.1.2 Wet ERBP. When brake fluid is tested according to S6.2, the
wet ERBP shall not be less than the following value for the grade
indicated:
(a) DOT 3: 140 C. (284 F.).
(b) DOT 4: 155 C. (311 F.).
(c) DOT 5:1 180 C (356 F).
S5.1.3 Kinematic viscosities. When brake fluid is tested according
to S6.3, the kinematic viscosities in centistokes (cSt.) at stated
temperatures shall be neither less than 1.5 cSt. at 100 C. (212 F.)
nor more than the following maximum value for the grade indicated:
(a) DOT 3: 1,500 cSt. at minus 40 C. (minus 40 F.).
(b) DOT 4: 1,800 cSt. at minus 40 c. (minus 40 F.).
(c) DOT 5:900 cSt. at minus 40 C (minus 40 F).
S5.1.4 pH value. When brake fluid, except DOT 5 SBBF, is tested
according to S6.4, the pH value shall not be less than 7.0 nor more than
11.5.
S5.1.5 Brake fluid stability.
S5.1.5.1 High-temperature stability. When brake fluid is tested
according to S6.5.3 the ERBP shall not change by more than 3 C. (5.4
F.) plus 0.05 for each degree that the ERBP of the fluid exceeds 225
C. (437 F.).
S5.1.5.2 Chemical stability. When brake fluid, except DOT 5 SBBF, is
tested according to S6.5.4, the change in temperature of the refluxing
fluid mixture shall not exceed 3.0 C (5.4 F.) plus 0.05 for each
degree that the ERBP of the fluid exceeds 225 C (437 F.).
S5.1.6 Corrosion. When brake fluid is tested according to S6.6 --
(a) The metal test strips shall not show weight changes exceeding the
limits stated in Table I.
(b) Excluding the area of contact (13 1 mm. ( 1/2 1/32 inch)
measured from the bolt hole end of the test strip), the metal test
strips shall not show pitting or etching to an extent discernible
without magnification;
(c) The water-wet brake fluid at the end of the test shall show no
jelling at 23 5 C (73.4 9 F);
(d) No crystalline deposit shall form and adhere to either the glass
jar walls or the surface of the metal strips;
(e) At the end of the test, sedimentation of the water-wet brake
fluid shall not exceed 0.10 percent by volume;
(f) The pH value of water-wet brake fluid, except DOT 5 SBBF, at the
end of the test shall not be less than 7.0 nor more than 11.5;
(g) The cups at the end of the test shall show no disintegration, as
evidenced by blisters or sloughing;
(h) The hardness of the cup shall not decrease by more than 15
International Rubber Hardness Degrees (IRHD); and
(i) The base diameter of the cups shall not increase by more than 1.4
mm. (0.055 inch).
S5.1.7 Fluidity and appearance at low temperature. When brake fluid
is tested according to S6.7, at the storage temperature and for the
storage times given in Table II --
(a) The fluid shall show no sludging, sedimentation, crystallization,
or stratification;
(b) Upon inversion of the sample bottle, the time required for the
air bubble to travel to the top of the fluid shall not exceed the bubble
flow times shown in Table II; and
(c) On warming to room temperature, the fluid shall resume the
appearance and fluidity that it had before chilling.
S5.1.8 Evaporation. When brake fluid is tested according to S6.8 --
(a) The loss by evaporation shall not exceed 80 percent by weight;
(b) The residue from the brake fluid after evaporation shall contain
no precipitate that remains gritty or abrasive when rubbed with the
fingertip; and
(c) The residue shall have a pour point below minus 5 C. (+23 F.).
S5.1.9 Water tolerance.
(a) At low temperature. When brake fluid is tested according to
S6.9.3(a) --
(1) The fluid shall show no sludging, sedimentation, crystallization,
or stratification;
(2) Upon inversion of the centrifuge tube, the air bubble shall
travel to the top of the fluid in not more than 10 seconds;
(3) If cloudiness has developed, the wet fluid shall regain its
original clarity and fluidity when warmed to room temperature; and
(b) At 60 C (140 F). When brake fluid is tested according to
S6.9.3(b) --
(1) The fluid shall show no stratification; and
(2) Sedimentation shall not exceed 0.15 percent by volume after
centrifuging.
S5.1.10 Compatibility.
(a) At low temperature. When brake fluid is tested according to
S6.10.3(a), the test specimen shall show no sludging, sedimentation, or
crystallization. In addition, fluids, except DOT 5 SBBF, shall show no
stratification.
(b) At 60 C. (140 F.). When brake fluid is tested according to
S6.10.3(b) --
(1) Sedimentation shall not exceed 0.05 percent by volume after
centrifuging; and
(2) Fluids, except DOT 5 SBBF, shall show no stratification.
S5.1.11 Resistance to oxidation. When brake fluid is tested
according to S6.11 --
(a) The metal test strips outside the areas in contact with the
tinfoil shall not show pitting or etching to an extent discernible
without magnification;
(b) No more than a trace of gum shall be deposited on the test strips
outside the areas in contact with the tinfoil;
(c) The aluminum strips shall not change in weight by more than 0.05
mg./sq. cm.; and
(d) The cast iron strips shall not change in weight by more than 0.3
mg./sq. cm.
S5.1.12 Effects on cups. When brake cups are subjected to brake
fluid in accordance with S6.12 --
(a) The increase in the diameter of the base of the cups shall be not
less than 0.15 mm. (0.006 inch) or more than 1.40 mm. (0.055 inch);
(b) The decrease in hardness of the cups shall be not more than 10
IRHD at 70 C. (158 F.) or more than 15 IRHD at 120 C. (248 F.),
and there shall be no increase in hardness of the cups; and
(c) The cups shall show no disintegration as evidenced by stickiness,
blisters, or sloughing.
S5.1.13 Stroking properties. When brake fluid is tested according to
S6.13 --
(a) Metal parts of the test system shall show no pitting or etching
to an extent discernible without magnification;
(b) The change in diameter of any cylinder or piston shall not exceed
0.13 mm. (0.005 inch);
(c) The average decrease in hardness of seven of the eight cups
tested (six wheel cylinder and one master cylinder primary) shall not
exceed 15 IRHD. Not more than one of the seven cups shall have a
decrease in hardness greater than 17 IRHD;
(d) None of the eight cups shall be in an unsatisfactory operating
condition as evidenced by stickiness, scuffing, blisters, cracking,
chipping, or other change in shape from its original appearance;
(e) None of the eight cups shall show an increase in base diameter
greater than 0.90 mm (0.035 inch);
(f) The average lip diameter set of the eight cups shall not be
greater than 65 percent.
(g) During any period of 24,000 strokes, the volume loss of fluid
shall not exceed 36 milliliters;
(h) The cylinder pistons shall not freeze or function improperly
throughout the test;
(i) The total loss of fluid during the 100 strokes at the end of the
test shall not exceed 36 milliliters;
(j) The fluid at the end of the test shall show no formation of gels;
(k) At the end of the test the amount of sediment shall not exceed
1.5 percent by volume; and
(l) Brake cylinders shall be free of deposits that are abrasive or
that cannot be removed when rubbed moderately with a nonabrasive cloth
wetted with ethanol.
S5.1.14 Fluid color. Brake fluid and hydraulic system mineral oil
shall be of the color indicated:
DOT 3, DOT 4, and DOT 5.1 non-SBBF -- colorless to amber.
DOT 5 SBBF -- purple.
Hydraulic system mineral oil -- green.
S5.2 Packaging and labeling requirements for motor vehicle brake
fluids.
S5.2.1 Container sealing. Each brake fluid or hydraulic system
mineral oil container with a capacity of 6 fluid ounces or more shall be
provided with a resealable closure that has an inner seal impervious to
the packaged brake fluid. The container closure shall include a
tamper-proof feature that will either be destroyed or substantially
altered when the container closure is initially opened.
S5.2.2 Certification, marking, and labeling.
S5.2.2.1 Each manufacturer of a DOT grade brake fluid shall furnish
to each packager, distributor, or dealer to whom he delivers brake
fluid, the following information:
(a) A serial number identifying the production lot and the date of
manufacture of the brake fluid.
(b) The grade (DOT 3, DOT 4, DOT 5) of the brake fluid. If DOT 5
grade brake fluid , it shall be further distinguished as ''DOT 5
SILICONE BASE'' or ''DOT 5.1 NON-SILICONE BASE.''
(c) The minimum wet boiling point in Fahrenheit of the brake fluid.
(d) Certification that the brake fluid conforms to 571.116.
S5.2.2.2 Each packager of brake fluid shall furnish the information
specified in paragraphs (a) through (g) of this S5.2.2.2 by clearly
marking it on each brake fluid container or on a label (labels)
permanently affixed to the container, in any location except a removable
part such as a lid. After being subjected to the operations and
conditions specified in S6.14, the information required by this section
shall be legible to an observer having corrected visual acuity of 20/40
(Snellen ratio) at a distance of one foot, and any label affixed to the
container in compliance with this section shall not be removable without
its being destroyed or defaced.
(a) Certification that the brake fluid conforms to 571.116.
(b) The name of the packager of the brake fluid, which may be in code
form.
(c) The name and complete mailing address of the distributor.
(d) A serial number identifying the packaged lot and date of
packaging.
(e) Designation of the contents as ''DOTXXMOTOR VEHICLE BRAKE FLUID''
(Fill in DOT 3, DOT 4, DOT 5 SILICONE BASE, or DOT 5.1 NON-SILICONE BASE
as applicable).
(f) The minimum wet boiling point in Fahrenheit of the DOT brake
fluid in the container.
(g) The following safety warnings in capital and lower case letters
as indicated:
(1) FOLLOW VEHICLE MANUFACTURER'S RECOMMENDATIONS WHEN ADDING BRAKE
FLUID.
(2) KEEP BRAKE FLUID CLEAN AND DRY. Contamination with dirt, water,
petroleum products or other materials may result in brake failure or
costly repairs.
(3) STORE BRAKE FLUID ONLY IN ITS ORIGINAL CONTAINER. KEEP CONTAINER
CLEAN AND TIGHTLY CLOSED TO PREVENT ABSORPTION OF MOISTURE.
(4) CAUTION: DO NOT REFILL CONTAINER, AND DO NOT USE FOR OTHER
LIQUIDS. (Not required for containers with a capacity in excess of 5
gallons.)
S5.2.2.3 Each packager of hydraulic system mineral oil shall furnish
the information specified in paragraphs (a) through (e) of this S5.2.2.3
by clearly marking it on each brake fluid container or on a label
(labels) permanently affixed to the container, in any location except a
removable part such as a lid. After being subjected to the operations
and conditions specified in S6.14, the information required by this
section shall be legible to an observer having corrected visual acuity
of 20/40 (Snellen ratio) at a distance of one foot, and any label
affixed to the container in compliance with this section shall not be
removable without its being destroyed or defaced.
(a) The name of the packager of the hydraulic system mineral oil,
which may be in code form.
(b) The name and complete mailing address of the distributor.
(c) A serial number identifying the packaged lot and date of
packaging.
(d) Designation of the contents as ''HYDRAULIC SYSTEM MINERAL OIL''
in capital letters at least 1/8 of an inch high.
(e) The following safety warnings in capital and lower case letters
as indicated:
(1) FOLLOW VEHICLE MANUFACTURER'S RECOMMENDATIONS WHEN ADDING
HYDRAULIC SYSTEM MINERAL OIL.
(2) Hydraulic System Mineral Oil is NOT COMPATIBLE with the rubber
components of brake systems designed for use with DOT brake fluids.
(3) KEEP HYDRAULIC SYSTEM MINERAL OIL CLEAN. Contamination with dust
or other materials may result in brake failure or costly repair.
(4) CAUTION: STORE HYDRAULIC SYSTEM MINERAL OIL ONLY IN ITS ORIGINAL
CONTAINER. KEEP CONTAINER CLEAN AND TIGHTLY CLOSED. DO NOT REFILL
CONTAINER OR USE OTHER LIQUIDS. (The last sentence is not required for
containers with a capacity in excess of 5 gallons.)
S5.2.2.4 If a container for brake fluid or hydraulic system mineral
oil is not normally visible but designed to be protected by an outer
container or carton during use, the outer container or carton rather
than the inner container shall meet the labeling requirements of
S5.2.2.2 or S5.2.2.3, as appropriate.
S5.3 Motor vehicle requirement. Each passenger car, multipurpose
passenger vehicle, truck, bus, trailer, and motorcycle that has a
hydraulic brake system shall be equipped with fluid that has been
manufactured and packaged in conformity with the requirements of this
standard.
S6. Test procedures.
S6.1 Equilibrium reflux boiling point. Determine the ERBP of a brake
fluid by running duplicate samples according to the following procedure
and averaging the results.
S6.1.1 Summary of procedure. Sixty milliliters (ml.) of brake fluid
are boiled under specified equilibrium conditions (reflux) at
atmospheric pressure in a 100-ml. flask. The average temperature of the
boiling fluid at the end of the reflux period, corrected for variations
in barometric pressure if necessary, is the ERBP.
S6.1.2 Apparatus. (See Figure 1) The test apparatus shall consist of
--
(a) Flask. (See Figure 2) A 100-ml. round-bottom, short-neck
heat-resistant glass flask having a neck with a 19/38 standard taper,
female ground-glass joint and a side-entering tube, with an outside
diameter of 10 millimeters (mm.), which centers the thermometer bulb in
the flask 6.5 mm. from the bottom;
(b) Condenser. A water-cooled, reflux, glass-tube type, condenser
having a jacket 200 mm. in length, the bottom end of which has a 19/38
standard-taper, drip-tip, male ground-glass joint;
(c) Boiling stones. Three clean, unused silicon carbide grains
(approximately 2 mm. (0.08 inch) in diameter, grit No. 8);
(d) Thermometer. Standardized calibrated partial immersion (76 mm.),
solid stem, thermometers conforming to the requirements for an ASTM 2C
or 2F, and an ASTM 3C or 3F thermometer; and
(e) Heat source. Variable autotransformer-controlled heating mantle
designed to fit the flask, or an electric heater with rheostat heat
control.
Fig. 1. Boiling Point Test Apparatus
Fig. 2. Detail of 100 ml Short-Neck Flask
S6.1.3 Preparation of apparatus.
(a) Thoroughly clean and dry all glassware.
(b) Insert thermometer through the side tube until the tip of the
bulb is 6.5 mm. ( 1/4 inch) from the bottom center of the flask. Seal
with a short piece of natural rubber, EPDM, SBR, or butyl tubing.
(c) Place 60 1 ml. of brake fluid and the silicon carbide grains
into the flask.
(d) Attach the flask to the condenser. When using a heating mantle,
place the mantle under the flask and support it with a ring-clamp and
laboratory-type stand, holding the entire assembly in place by a clamp.
When using a rheostat-controlled heater, center a standard porcelain or
hard asbestos refractory, having a diameter opening 32 to 38 mm., over
the heating element and mount the flask so that direct heat is applied
only through the opening in the refractory. Place the assembly in an
area free from drafts or other types of sudden temperature changes.
Connect the cooling water inlet and outlet tubes to the condenser. Turn
on the cooling water. The water supply temperature shall not exceed 28
C. (82.4 F.) and the temperature rise through the condenser shall not
exceed 2 C. (3.6 F.).
S6.1.4 Procedure. Apply heat to the flask so that within 10 2 minutes
the fluid is refluxing in excess of 1 drop per second. The reflux rate
shall not exceed 5 drops per second at any time. Immediately adjust the
heating rate to obtain an equilibrium reflux rate of 1 to 2 drops per
second over the next 5 2 minutes. Maintain this rate for an additional
2 minutes, taking four temperature readings at 30-second intervals.
Record the average of these as the observed ERBP. If no reflux is
evident when the fluid temperature reaches 260 C (500 F), discontinue
heating and report ERBP as in excess of 260 C (500 F).
S6.1.5 Calculation.
(a) Thermometer inaccuracy. Correct the observed ERBP by applying
any correction factor obtained in standardizing the thermometer.
(b) Variation from standard barometric pressure. Apply the factor
shown in Table III to calculate the barometric pressure correction to
the ERBP.
(c) If the two corrected observed ERBP's agree within 2 C. (4 C.
for brake fluids having an ERBP over 230 C./446 F.) average the
duplicate runs as the ERBP; otherwise, repeat the entire test,
averaging the four corrected observed values to determine the original
ERBP.
S6.2 Wet ERBP. Determine the wet ERBP of a brake fluid by running
duplicate samples according to the following procedure.
S6.2.1. Summary of procedure. A 350 ml. sample of the brake fluid
is humidified under controlled conditions; 350 ml. of SAE triethylene
glycol monomethyl ether, brake fluid grade, referee material (TEGME) as
described in Appendix E of SAE Standard J1703 Nov. 83, ''Motor Vehicle
Brake Fluid,'' November 1983, is used to establish the end point for
humidification. After humidification, the water content and ERBP of the
brake fluid are determined.
S6.2.2 Apparatus for humidification. (See Figure 3).
Test apparatus shall consist of --
(a) Glass jars. Four SAE RM-49 corrosion test jars or equivalent
screwtop, straight-sided, round glass jars each having a capacity of
about 475 ml. and approximate inner dimensions of 100 mm. in height by
75 mm. in diameter, with matching lids having new, clean inserts
providing water-vapor-proof seals;
(b) Desiccator and cover. Two bowl-form glass desiccators, 250-mm.
inside diameter, having matching tubulated covers fitted with No. 8
rubber stoppers; and
(c) Desiccator plate. Two 230-mm. diameter, perforated porcelain
desiccator plates, without feet, glazed on one side.
S6.2.3 Reagents and materials.
(a) Distilled water, see S7.1.
(b) SAE TEGME referee material.
6.2.4 Preparation of apparatus.
Lubricate the ground-glass joint of the desiccator. Pour 450 10 ml.
of distilled water into each desiccator and insert perforated porcelain
desiccator plates. Place the desiccators in an oven with temperature
controlled at 50 1 C. (122 1.8 F.) throughout the humidification
procedure.
S6.2.5 Procedure.
Pour 350 5 ml. of brake fluid into an open corrosion test jar.
Prepare in the same manner a duplicate test fluid sample and two
duplicate specimens of the SAE TEGME referee material (350 5 ml. of
TEGME in each jar). The water content of the SAE TEGME fluid is
adjusted to 0.50 0.05 percent by weight at the start of the test in
accordance with S7.2. Place one sample each of the test brake fluid and
the prepared TEGME sample into the same desiccator. Repeat for the
second sample of test brake fluid and TEGME in a second desiccator.
Place the desiccators in the 50 C. (122 F.) controlled oven and
replace desiccator covers. At intervals, during oven humidification,
remove the rubber stoppers in the tops of desiccators. Using a long
needled hypodermic syringe, take a sample of not more than 2 ml. from
each TEGME sample and determine its water content. Remove no more than
10 ml. of fluid from each SAE TEGME sample during the humidification
procedure. When the water content of the SAE fluid reaches 3.70 0.05
percent by weight (average of the duplicates). remove the two test
fluid specimens from their desiccators and promptly cap each jar
tightly. Allow the sealed jars to cool for 60 to 90 minutes at 23 5
C. (73.4 9 F.). Measure the water contents of the test fluid
specimens in accordance with S7.2 and determine their ERBP's in
accordance with S6.1. If the two ERBPs agree within 4 C. (8 F.),
average them to determine the wet ERBP; otherwise repeat and average
the four individual ERBPs as the wet ERBP of the brake fluid.
49 CFR 571.116
S6.3 Kinematic viscosity. Determine the kinematic viscosity of a
brake fluid in centistokes (cSt.) by the following procedure. Run
duplicate samples at each of the specified temperatures, making two
timed runs on each sample.
S6.3.1 Summary of the procedure. The time is measured for a fixed
volume of the brake fluid to flow through a calibrated glass capillary
viscometer under an accurately reproducible head and at a closely
controlled temperature. The kinematic viscosity is then calculated from
the measured flow time and the calibration constant of the viscometer.
S6.3.2 Apparatus.
(a) Viscometers. Calibrated glass capillary-type viscometers, ASTM
D2515-66, ''Standard Specification for Kinematic Glass Viscometers,''
measuring viscosity within the precision limits of S6.4.7. Use suspended
level viscometers for viscosity measurements at low temperatures. Use
Cannon-Fenske Routine or other modified Ostwald viscometers at ambient
temperatures and above.
(b) Viscometer holders and frames. Mount a viscometer in the
constant-temperature bath so that the mounting tube is held within 1 of
the vertical.
(c) Viscometer bath. A transparent liquid bath of sufficient depth
such that at no time during the measurement will any portion of the
sample in the viscometer be less than 2 cm. below the surface or less
than 2 cm. above the bottom. The bath shall be cylindrical in shape,
with turbulent agitation sufficient to meet the temperature control
requirements. For measurements within 15 to 100 C. (60 to 212 F.)
the temperature of the bath medium shall not vary by more than 0.01 C.
(0.02 F.) over the length of the viscometers, or between the positions
of the viscometers, or at the locations of the thermometers. Outside
this range, the variation shall not exceed 0.03 C. (0.05 F.).
(d) Thermometers. Liquid-in-Glass Kinematic Viscosity Test
Thermometers, covering the range of test temperatures indicated in Table
IV and conforming to ASTM E1-68, ''Specifications for ASTM
Theromometers,'' and in the IP requirements for IP Standard
Thermometers. Standardize before use (see S6.3.3(b)). Use two
standardized thermometers in the bath.
(e) Timing device. Stop watch or other timing device graduated in
divisions representing not more than 0.2 second, with an accuracy of at
least 0.05 percent when tested over intervals of 15 minutes.
Electrical timing devices may be used when the current frequency is
controlled to an accuracy of 0.01 percent or better.
S6.3.3 Standardization.
(a) Viscometers. Use viscometers calibrated in accordance with
Appendix 1 of ASTM D445-65, ''Viscosity of Transparent and Opaque
Liquids (Kinematic and Dynamic Viscosities).'' The calibration constant,
C, is dependent upon the gravitational acceleration at the place of
calibration. This must, therefore, be supplied by the standardization
laboratory together with the instrument constant. Where the
acceleration of gravity, g, in the two locations differs by more than
0.1 percent, correct the calibration constant as follows:
where the subscripts 1 and 2 indicate respectively the
standardization laboratory and the testing laboratory.
(b) Thermometers. Check liquid-in-glass thermometers to the nearest
0.01 C. (0.02 F.) by direct comparison with a standardized
thermometer. Kinematic Viscosity Test Thermometers shall be
standardized at ''total immersion.'' The ice point of standardized
thermometers shall be determined before use and the official corrections
shall be adjusted to conform to the changes in ice points. (See ASTM
E77-66, ''Verification and Calibration of Liquid-in-Glass
Thermometers.'')
(c) Timers. Time signals are broadcast by the National Bureau of
Standards, Station WWV, Washington, DC at 2.5, 5, 10, 15, 20, 25, 30,
and 35 Mc/sec (MHz). Time signals are also broadcast by Station CHU
from Ottawa, Canada, at 3.330, 7.335, and 14.670 Mc/sec, and Station MSF
at Rugby, United Kingdom, at 2.5, 5, and 10 Mc/sec.
S6.3.4 Procedure.
(a) Set and maintain the bath at the appropriate test temperature
(see S5.1.3) within the limits specified in S6.3.2(c). Apply the
necessary corrections, if any, to all thermometer readings.
(b) Select a clean, dry, calibrated viscometer giving a flow time not
less than its specified minimum, or 200 seconds, whichever is the
greater.
(c) Charge the viscometer in the manner used when the instrument was
calibrated. Do not filter or dry the brake fluid, but protect it from
contamination by dirt and moisture during filling and measurements.
(1) Charge the suspended level viscometers by tilting about 30 from
the vertical and pouring sufficient brake fluid through the fill tube
into the lower reservoir so that when the viscometer is returned to
vertical position the meniscus is between the fill marks. For
measurements below 0 C. (32 F.), before placing the filled viscometer
into the constant temperature bath, draw the sample into the working
capillary and timing bulb and insert small rubber stoppers to suspend
the fluid in this position, to prevent accumulation of water condensate
on the walls of the critical portions of the viscometer. Alternatively,
fit loosely packed drying tubes into the open ends of the viscometer to
prevent water condensation, but do not restrict the flow of the sample
under test by the pressures created in the instrument.
(2) If a Cannon-Fenske Routine viscometer is used, charge by
inverting and immersing the smaller arm into the brake fluid and
applying vacuum to the larger arm. Fill the tube to the upper timing
mark, and return the viscometer to an upright position.
(d) Mount the viscometer in the bath in a true vertical position (see
S6.3.2(b)).
(e) The viscometer shall remain in the bath until it reaches the test
temperature.
(f) At temperatures below 0 C. (32 F.) conduct an untimed
preliminary run by allowing the brake fluid to drain through the
capillary into the lower reservoir after the test temperature has been
established.
(g) Adjust the head level of the brake fluid to a position in the
capillary arm about 5 mm. above the first timing mark.
(h) With brake fluid flowing freely measure to within 0.2 second the
time required for the meniscus to pass from the first timing mark to the
second. If this flow time is less than the minimum specified for the
viscometer, or 200 seconds, whichever is greater, repeat using a
viscometer with a capillary of smaller diameter.
(i) Repeat S6.3.4 (g) and (h). If the two timed runs do not agree
within 0.2 percent, reject and repeat using a fresh sample of brake
fluid.
S6.3.5 Cleaning the viscometers.
(a) Periodically clean the instrument with chromic acid to remove
organic deposits. Rinse thoroughly with distilled water and acetone,
and dry with clean dry air.
(b) Between successive samples rinse the viscometer with ethanol
(isopropanol when testing DOT 5 fluids) followed by an acetone or ether
rinse. Pass a slow stream of filtered dry air through the viscometer
until the last trace of solvent is removed.
S6.3.6 Calculation.
(a) The following viscometers have a fixed volume charged at ambient
temperature, and as a consequence C varies with test temperature:
Cannon-Fenske Routine, Pinkevitch, Cannon-Manning Semi-Micro, and Cannon
Fenske Opaque. To calculate C at test temperatures other than the
calibration temperature for these viscometers, see ASTM D2515-66,
''Kinematic Glass Viscometers'' or follow instructions given on the
manufacturer's certificate of calibration.
(b) Average the four timed runs on the duplicate samples to determine
the kinematic viscosities.
S6.3.7 Precision (at 95 percent confidence level).
(a) Repeatability. If results on duplicate samples by the same
operator differ by more than 1 percent of their mean, repeat the tests.
S6.4 pH value. Determine the pH value of a brake fluid by running
one sample according to the following procedure.
S6.4.1 Summary of the procedure. Brake fluid is diluted with an
equal volume of an ethanol-water solution. The pH of the resultant
mixture is measured with a prescribed pH meter assembly at 23 C. (73.4
F.).
S6.4.2 Apparatus. The pH assembly consists of the pH meter, glass
electrode, and calomel electrode, as specified in Appendices A1.1, A1.2,
and A1.3 of ASTM D 1121-67, ''Standard Method of Test for Reserve
Alkalinity of Engine Antifreezes and Antirusts.'' The glass electrode is
a full range type (pH 0-14), with low sodium error.
S6.4.3 Reagents. Reagent grade chemicals conforming to the
specifications of the Committee on Analytical Reagents of the American
Chemical Society.
(a) Distilled water. Distilled water (S7.1) shall be boiled for
about 15 minutes to remove carbon dioxide, and protected with a
soda-lime tube or its equivalent while cooling and in storage. (Take
precautions to prevent contamination by the materials used for
protection against carbon dioxide.) The pH of the boiled distilled water
shall be between 6.2 and 7.2 at 25 C. (77 F.).
(b) Standard buffer solutions. Prepare buffer solutions for
calibrating the pH meter and electrode pair from salts sold specifically
for use, either singly or in combination, as pH standards. Dry salts
for 1 hour at 110 C. (230 F.) before use except for borax which shall
be used as the decahydrate. Store solutions with pH less than 9.5 in
bottles of chemically resistant glass or polyethylene. Store the
alkaline phosphate solution in a glass bottle coated inside with
paraffin. Do not use a standard with an age exceeding three months.
(1) Potassium hydrogen phthalate buffer solution (0.05 M, pH=4.01 at
25 C. (77 F.)). Dissolve 10.21 g. of potassium hydrogen phthalate
(KHC8H4O4) in distilled water. Dilute to 1 liter.
(2) Neutral phosphate buffer solution (0.025 M with respect to each
phosphate salt, pH=6.86 at 25 C. (77 F.)). Dissolve 3.40 g. of
potassium dihydrogen phosphate (KH2PO4) and 3.55 g. of anhydrous
disodium hydrogen phosphate (Na2HPO4) in distilled water.
(3) Borax buffer solution (0.01 M, pH=9.18 at 25 C. (77 F.)).
Dissolve 3.81 g. of disodium tetraborate decahydrate (Na2B4O7 10H2O) in
distilled water, and dilute to 1 liter. Stopper the bottle except when
actually in use.
(4) Alkaline phosphate buffer solution (0.01 M trisodium phosphate,
pH=11.72 at 25 C. (77 F.)). Dissolve 1.42 g. of anhydrous disodium
hydrogen phosphate (Na2HPO4) in 100 ml. of a 0.1 M carbonate-free
solution of sodium hydroxide. Dilute to 1 liter with distilled water.
(5) Potassium chloride electrolyte. Prepare a saturated solution of
potassium chloride (KCl) in distilled water.
(c) Ethanol-water mixture. To 80 parts by volume of ethanol (S7.3)
add 20 parts by volume of distilled water. Adjust the pH of the mixture
to 7 0.1 using 0.1 N sodium hydroxide (NaOH) solution. If more than 4
ml. of NaOH solution per liter of mixture is required for
neutralization, discard the mixture.
S6.4.4 Preparation of electrode system.
(a) Maintenance of electrodes. Clean the glass electrode before
using by immersing in cold chromic-acid cleaning solution. Drain the
calomel electrode and fill with KCl electrolyte, keeping level above
that of the mixture at all times. When not in use, immerse the lower
halves of the electrodes in distilled water, and do not immerse in the
mixture for any appreciable period of time between determinations.
(b) Preparation of electrodes. Condition new glass electrodes and
those that have been stored dry as recommended by the manufacturer.
Before and after using, wipe the glass electrode thoroughly with a clean
cloth, or a soft absorbent tissue, and rinse with distilled water.
Before each pH determination, soak the prepared electrode in distilled
water for at least 2 minutes. Immediately before use, remove any excess
water from the tips of the electrode.
S6.4.5 Standardization of the pH assembly and testing of the
electrodes.
(a) Immediately before use, standardize the pH assembly with a
standard buffer solution. Then use a second standard buffer solution to
check the linearity of the response of the electrodes at different pH
values, and to detect a faulty glass electrode or incorrect temperature
compensation. The two buffer solutions bracket the anticipated pH value
of the test brake fluid.
(b) Allow instrument to warm up, and adjust according to the
manufacturer's instructions. Immerse the tips of the electrodes in a
standard buffer solution and allow the temperature of the buffer
solution and the electrodes to equalize. Set the temperature knob at
the temperature of the buffer solution. Adjust the standardization or
asymmetry potential control until the meter registers a scale reading,
in pH units, equal to the known pH of the standardizing buffer solution.
(c) Rinse the electrodes with distilled water and remove excess water
from the tips. Immerse the electrodes in a second standard buffer
solution. The reading of the meter shall agree with the known pH of the
second standard buffer solution within 0.05 unit without changing the
setting of the standardization of asymmetry potential control.
(d) A faulty electrode is indicated by failure to obtain a correct
value for the pH of the second standard buffer solution after the meter
has been standardized with the first.
S6.4.6 Procedure. To 50 1 ml. of the test brake fluid add 50 1 ml.
of the ethanol-water (S6.4.3(c)) and mix thoroughly. Immerse the
electrodes in the mixture. Allow the system to come to equilibrium,
readjust the temperature compensation if necessary, and take the pH
reading.
S6.5 Fluid stability. Evaluate the heat and chemical stability of a
brake fluid by the following procedure, running duplicate samples for
each test and averaging the results.
S6.5.1 Summary of the procedure. The degradation of the brake fluid
at elevated temperature, alone or in a mixture with a reference fluid,
is evaluated by determining the change in boiling point after a period
of heating under reflux conditions.
S6.5.2 Apparatus. Use the apparatus and preparation specified in
S6.1.2 and S6.1.3.
S6.5.3 High temperature stability.
S6.5.3.1 Procedure.
(a) Heat a new 60 1 ml. sample of the brake fluid to 185 2 C.
(365 3.6 F.). Hold at this temperature for 120 5 minutes. Bring to a
reflux rate in excess of 1 drop per second within 5 minutes. The reflux
rate should not exceed 5 drops per second at any time. Over the next 5
2 minutes adjust the heating rate to obtain an equilibrium reflux rate
of 1 to 2 drops per second. Maintain this rate for an additional 2
minutes, taking four temperature readings at 30-second intervals.
Average these as the observed ERBP. If no reflux is evident when the
fluid temperature reaches 260 C. (500 F), discontinue heating and
report ERBP as in excess of 260 C. (500 F.).
S6.5.3.2 Calculation. Correct the observed ERBP for thermometer and
barometric pressure factors according to S6.1.5 (a) and (b). Average
the corrected ERBP's of the duplicate samples. The difference between
this average and the original ERBP obtained in S6.1 is the change in
ERBP of the fluid.
S6.5.4 Chemical stability.
S6.5.4.1 Materials.
(a) SAE RM-66-03 Compatibility Fluid as described in Appendix A of
SAE Standard J1703Nov83, ''Motor Vehicle Brake Fluid,'' November 1983.
(b) Until November 3, 1986, a manufacturer may use either SAE
RM-66-03, or SAE RM-1 Compatibility Fluid as described in Appendix A of
SAE Standard J1703b, ''Motor Vehicle Brake Fluid,'' July 1970. See S6.
S6.5.4.2 Procedure.
(a) Mix 30 1 ml. of the brake fluid with 30 1 ml. of SAE RM-66-03
Compatibility Fluid in a boiling point flask (S6.1.2(a)). Determine the
initial ERBP of the mixture by applying heat to the flask so that the
fluid is refluxing in 10 2 minutes at a rate in excess of 1 drop per
second, but not more than 5 drops per second. Note the maximum fluid
temperature observed during the first minute after the fluid begins
refluxing at a rate in excess of 1 drop per second. Over the next 15 1
minutes. adjust and maintain the reflux rate at 1 to 2 drops per
second. Maintain this rate for an additional 2 minutes, recording the
average value of four temperature readings taken at 30 second intervals
as the final ERBP.
(b) Thermometer and barometric corrections are not required.
S6.5.4.3 Calculation. The difference between the initial ERBP and the
final average temperature is the change in temperature of the refluxing
mixture. Average the results of the duplicates to the nearest 0.5 C.
(1 F.).
S6.6 Corrosion. Evaluate the corrosiveness of a brake fluid by
running duplicate samples according to the following procedure.
S6.6.1 Summary of the procedure. Six specified metal corrosion test
strips are polished, cleaned, and weighed, then assembled as described.
Assembly is placed on a standard wheel cylinder cup in a corrosion test
jar, immersed in the water-wet brake fluid, capped and placed in an oven
at 100 C. (212 F.) for 120 hours. Upon removal and cooling, the
strips, fluid, and cups are examined and tested.
S6.6.2 Equipment.
(a) Balance. An analytical balance having a minimum capacity of 50
grams and capable of weighing to the nearest 0.1 mg.
(b) Desiccators. Desiccators containing silica gel or other suitable
desiccant.
(c) Oven. Gravity convection oven capable of maintaining the desired
set point within 2 C. (3.6 F.).
(d) Micrometer. A machinist's micrometer 25 to 50 mm. (1 to 2
inches) capacity, or an optical comparator, capable of measuring the
diameter of the SBR wheel cylinder (WC) cups to the nearest 0.02 mm.
(0.001 inch).
S6.6.3 Materials.
(a) Corrosion test strips. Two sets of strips from each of the
metals listed in Appendix C of SAE Standard J1703b. Each strip shall be
approximately 8 cm. long, 1.3 cm. wide, not more than 0.6 cm. thick,
and have a surface area of 25 5 sq. cm. and a hole 4 to 5 mm. (0.16 to
0.20 inch) in diameter on the centerline about 6 mm. from one end. The
hole shall be clean and free from burrs. Tinned iron strips shall be
unused. Other strips, if used, shall not be employed if they cannot be
polished to a high finish.
(b) SBR cups. Two unused standard SAE SBR wheel cylinder (WC) cups,
as specified in S7.6.
(c) Corrosion test jars and lids. Two screw-top straight-sided round
glass jars, each having a capacity of approximately 475 ml. and inner
dimensions of approximately 100 mm. in height and 75 mm. in diameter,
and a tinned steel lid (no insert or organic coating) vented with a hole
0.8 0.1 mm. (0.031 0.004 inch) in diameter (No. 68 drill).
(d) Machine screws and nuts. Clean, rust and oil-free, uncoated mild
steel round or fillister head machine screws, size 6 or 8-32 UNC-Class
2A, five-eighths or three-fourths inch long (or equivalent metric
sizes), and matching uncoated nuts.
(e) Supplies for polishing strips. Waterproof silicon carbide paper,
grit No. 320 A; grade 00 steel wool, lint-free polishing cloth.
(f) Distilled water as specified in S7.1.
(g) Ethanol as specified in S7.3.
(h) Isopropanol as specified in S7.7.
S6.6.4 Preparation.
(a) Corrosion test strips. Except for the tinned iron strips, abrade
corrosion test strips on all surface areas with silicon carbide paper
wet with ethanol (isopropanol when testing DOT 5 SBBF fluids) until all
surface scratches, cuts and pits are removed. Use a new piece of paper
for each different type of metal. Polish the strips with the 00 grade
steel wool. Wash all strips, including the tinned iron and the assembly
hardware, with ethanol (isopropanol when testing DOT 5 SBBF fluids);
dry the strips and assembly hardware with a clean lint free cloth or use
filtered compressed air and place the strips and hardware in a
desiccator containing silica gel or other suitable desiccant and
maintained at 23 5 C. (73.4 9 F.), for at least 1 hour. Handle the
strips with forceps after polishing. Weigh and record the weight of
each strip to the nearest 0.1 mg. Assemble the strips on a clean dry
machine screw, with matching plain nut, in the order of tinned iron,
steel, aluminum, cast iron, brass, and copper. Bend the strips, other
than the cast iron, so that there is a separation of 3 1/2 mm. ( 1/8
1/64 inch) between adjacent strips for a distance of about 5 cm. (2
inches) from the free end of the strips. (See Figure 4.) Tighten the
screw on each test strip assembly so that the strips are in electrolytic
contact, and can be lifted by either of the outer strips (tinned iron or
copper) without any of the strips moving relative to the others when
held horizontally. Immerse the strip assemblies in 90 percent ethyl
alcohol. Dry with dried filtered compressed air, then desiccate at
least 1 hour before use.
Fig. 4. Corrosion Strip Assembly
(b) SBR WC cups. Measure the base diameters of the two standard SBR
cups, using an optical comparator or micrometer, to the nearest 0.02 mm.
(0.001 inch) along the centerline of the SAE and rubber-type
identifications and at right angles to this centerline. Take the
measurements at least 0.4 mm. (0.015 inch) above the bottom edge and
parallel to the base of the cup. Discard any cup if the two measured
diameters differ by more than 0.08 mm. (0.003 inch). Average the two
readings on each cup. Determine the hardness of the cups according to
S7.4.
S6.6.5 Procedure. Rinse the cups in ethanol (isopropanol when testing
DOT 5 SBBF fluids) for not more than 30 seconds and wipe dry with a
clean lint-free cloth. Place one cup with lip edge facing up, in each
jar. Insert a metal strip assembly inside each cup with the fastened
end down and the free end extending upward. (See Figure 5.) When
testing brake fluids, except DOT 5 SBBF, mix 760 ml. of brake fluid
with 40 ml. of distilled water. When testing DOT 5 SBBF's, humidify
800 ml. of brake fluid in accordance with S6.2, eliminating
determination of the ERBP. Using this water-wet mixture, cover each
strip assembly to a minimum depth of 10 mm. above the tops of the
strips. Tighten the lids and place the jars for 120 2 hours in an oven
maintained at 100 2 C. (212 3.6 F.). Allow the jars to cool at 23
5 C. (73.4 9 F.) for 60 to 90 minutes. Immediately remove the strips
from the jars using forceps, agitating the strip assembly in the fluid
to remove loose adhering sediment. Examine the test strips and jars for
adhering crystalline deposits. Disassemble the metal strips, and remove
adhering fluid by flushing with water; clean each strip by wiping with
a clean cloth wetted with ethanol (isopropanol when testing DOT 5
fluids). Examine the strips for evidence of corrosion and pitting.
Disregard staining or discoloration. Place the strips in a desiccator
containing silica gel or other suitable desiccant, maintained at 23 5
C. (73.4 9 F.), for at least 1 hour. Weigh each strip to the nearest
0.1 mg. Determine the change in weight of each metal strip. Average
the results for the two strips of each type of metal. Immediately
following the cooling period, remove the cups from the jars with
forceps. Remove loose adhering sediment by agitation of the cups in the
mixture. Rinse the cups in ethanol (isopropanol when testing DOT 5
fluids) and air-dry. Examine the cups for evidence of sloughing,
blisters, and other forms of disintegration. Measure the base diameter
and hardness of each cup within 15 minutes after removal from the
mixture. Examine the mixture for gelling. Agitate the mixture to
suspend and uniformly disperse sediment. From each jar, transfer a 100
ml. portion of the mixture to an ASTM cone-shaped centrifuge tube.
Determine the percent sediment after centrifuging as described in S7.5.
Measure the pH value of the corrosion text fluid according to S6.4.6.
Measure the pH value of the test mixture according to S6.4.6.
Fig. 5. Corrosion Test Apparatus
S6.6.6 Calculation.
(a) Measure the area of each type of test strip to the nearest square
centimeter. Divide the average change in weight for each type by the
area of that type.
(b) Note other data and evaluations indicating compliance with
S5.1.6. In the event of a marginal pass on inspection by attributes, or
of a failure in one of the duplicates, run another set of duplicate
samples. Both repeat samples shall meet all requirements of S5.1.6.
S6.7 Fluidity and appearance at low temperatures. Determine the
fluidity and appearance of a sample of brake fluid at each of two
selected temperatures by the following procedure.
S6.7.1 Summary of procedure. Brake fluid is chilled to expected
minimum exposure temperatures and observed for clarity, gellation,
sediment, separation of components, excessive viscosity or thixotropy.
S6.7.2 Apparatus.
(a) Oil sample bottle. Two clear flint glass 4-ounce bottles made
especially for sampling oil and other liquids, with a capacity of
approximately 125 ml., an outside diameter of 37 0.05 mm. and an overall
height of 165 2.5 mm.
(b) Cold chamber. An air bath cold chamber capable of maintaining
storage temperatures down to minus 55 C. (minus 67 F.) with an
accuracy of 2 C. (3.6 F.).
(c) Timing device. A timing device in accordance with S6.3.2(e).
S6.7.3 Procedure.
(a) Place 100 1 ml. of brake fluid at room temperature in an oil
sample bottle. Stopper the bottle with an unused cork and place in the
cold chamber at the higher storage temperature specified in Table II
(S5.1.7(c)). After 144 4 hours remove the bottle from the chamber,
quickly wipe it with a clean, lint-free cloth, saturated with ethanol
(isopropanol when testing DOT 5 fluids) or acetone. Examine the fluid
for evidence of sludging, sedimentation, crystallization, or
stratification. Invert the bottle and determine the number of seconds
required for the air bubble to travel to the top of the fluid. Let
sample warm to room temperature and examine.
(b) Repeat S6.7.3(a), substituting the lower cold chamber temperature
specified in Table II, and a storage period of 6 hours 12 minutes.
Note: Test specimens from either storage temperature may be used for
the other only after warming up to room temperature.
S6.8 Evaporation. The evaporation residue, and pour point of the
evaporation residue of brake fluid, are determined by the following
procedure. Four replicate samples are run.
S6.8.1 Summary of the procedure. The volatile diluent portion of a
brake fluid is evaporated in an oven at 100 C. (212 F.). The
nonvolatile lubricant portion (evaporation residue) is measured and
examined for grittiness; the residues are then combined and checked to
assure fluidity at minus 5 C. (23 F.).
S6.8.2 Apparatus.
(a) Petri dishes. Four covered glass petri dishes approximately 100
mm. in diameter and 15 mm. in height.
(b) Oven. A top-vented gravity-convection oven capable of
maintaining a temperature of 100 2 C. (212 3.6 F.).
(c) Balance. A balance having a capacity of at least 100 grams,
capable of weighing to the nearest 0.01 gram, and suitable for weighing
the petri dishes.
(d) Oil sample bottle. A glass sample bottle as described in
S6.7.2(a).
(e) Cold chamber. Air bath cold chamber capable of maintaining an
oil sample bottle at minus 5 1 C. (23 2 F.).
(f) Timing device. A timing device as described in S6.3.2(e).
S6.8.3 Procedure. Obtain the tare weight of each of the four covered
petri dishes to the nearest 0.01 gram. Place 25 1 ml. of brake fluid in
each dish, replace proper covers and reweigh. Determine the weight of
each brake fluid test specimen by the difference. Place the four
dishes, each inside its inverted cover, in the oven at 100 2 C. (212
3.6 F.) for 46 2 hours. (Note: Do not simultaneously heat more than
one fluid in the same oven.) Remove the dishes from the oven, allow to
cool to 23 5 C. (73.4 9 F.), and weigh. Return to the oven for an
additional 24 2 hours. If at the end of 72 4 hours the average loss by
evaporation is less than 60 percent, discontinue the evaporation
procedure and proceed with examination of the residue. Otherwise,
continue this procedure either until equilibrium is reached as evidenced
by an incremental weight loss of less than 0.25 gram in 24 hours on all
individual dishes or for a maximum of 7 days. During the heating and
weighing operation, if it is necessary to remove the dishes from the
oven for a period of longer than 1 hour, the dishes shall be stored in a
desiccator as soon as cooled to room temperature. Calculate the
percentage of fluid evaporated from each dish. Examine the residue in
the dishes at the end of 1 hour at 23 5 C. (73.4 9 F.). Rub any
sediment with the fingertip to determine grittiness or abrasiveness.
Combine the residues from all four dishes in a 4-ounce oil sample bottle
and store vertically in a cold chamber at minus 5 1 C. (23 2 F.) for
60 10 minutes. Quickly remove the bottle and place in the horizontal
position. The residue must flow at least 5 mm. (0.2 inch) along the
tube within 5 seconds.
S6.8.4 Calculation. The average of the percentage evaporated from all
four dishes is the loss by evaporation.
S6.9 Water tolerance. Evaluate the water tolerance characteristics
of a brake fluid by running one test specimen according to the following
procedure.
S6.9.1 Summary of the procedure.
Brake fluid, except DOT 5 SBBF, is diluted with 3.5 percent water
(DOT 5 SBBF is humidified), then stored at minus 40 C. (minus 40 F.)
for 120 hours. The cold, water-wet fluid is first examined for clarity,
stratification, and sedimentation, then placed in an oven at 60 C.
(140 F.) for 24 hours. On removal, it is again examined for
stratification, and the volume percent of sediment determined by
centrifuging.
S6.9.2 Apparatus.
(a) Centrifuge tube. See S7.5.1(a).
(b) Centrifuge. See S7.5.1(b).
(c) Cold chamber. See S6.7.2(b).
(d) Oven. Gravity or forced convection oven.
(e) Timing device. See S6.3.2(e).
S6.9.3 Procedure.
(a) At low temperature. Humidify 100 1 ml. of DOT 5 SBBF brake
fluid in accordance with S6.2 eliminating determination of the ERBP.
When testing brake fluids except DOT 5 SBBF, mix 3.5 0.1 ml. of
distilled water with 100 1 ml. of the brake fluid; pour into a
centrifuge tube. Stopper the tube with a clean cork and place in the
cold chamber maintained at minus 40 2 C. (minus 40 3.6 F.). After 120
hours 2 hours remove the tube, quickly wipe with clean lint-free cloth
saturated with ethanol or acetone and examine the fluid for evidence of
sludging, sedimentation, crystallization, or stratification. Invert the
tube and determine the number of seconds required for the air bubble to
travel to the top of the fluid. (The air bubble is considered to have
reached the top of the fluid when the top of the bubble reaches the 2
ml. graduation of the centrifuge tube.) If the wet fluid has become
cloudy, warm to 23 5 C. (73.4 9 F.) and note appearance and fluidity.
(b) At 60 C. (140 F.). Place tube and brake fluid from S6.9.3(a)
in an oven maintained at 60 2 C. (140 3.6 F.) for 24 2 hours.
Remove the tube and immediately examine the contents for evidence of
stratification. Determine the percent sediment by centrifuging as
described in S7.5.
S6.10 Compatibility. The compatibility of a brake fluid with other
brake fluids shall be evaluated by running one test sample according to
the following procedure.
S6.10.1 Summary of the procedure.
Brake fluid is mixed with an equal volume of SAE RM-66-03
Compatibility Fluid, then tested in the same way as for water tolerance
(S6.9) except that the bubble flow time is not measured. This test is
an indication of the compatibility of the test fluid with other motor
vehicle brake fluids at both high and low temperatures.
S6.10.2 Apparatus and materials.
(a) Centrifuge tube. See S7.5.1(a).
(b) Centrifuge. See S7.5.1(b).
(c) Cold chamber. See S6.7.2(b).
(d) Oven. See S6.9.2(d).
(e) SAE RM-66-03 Compatibility Fluid. As described in Appendix A of
SAE Standard J1703Nov83. ''Motor Vehicle Brake Fluid.'' November 1983.
S6.10.3 Procedure.
(a) At low temperature.
Mix 50 '0.5 ml. of brake fluid with 50 0.5 ml of SAE RM-66-03
Compatibility Fluid. Pour this mixture into a centrifuge tube and
stopper with a clean dry cork. Place tube in the cold chamber
maintained at minus 40 2 C. (minus 40 3.6 F.) After 24 2 hours,
remove tube, quickly wipe with a clean lint-free cloth saturated with
ethanol (isopropanol when testing DOT 5 fluids) or acetone. Examine the
test specimen for evidence of sludging, sedimentation. or
crystallization. Test fluids, except DOT 5 SBBF, shall be examined for
stratification.
(b) At 60 C. (140 F.)
Place tube and test fluid from S6.10.3(a) for 24 2 hours in an oven
maintained at 60 2 C. (140 3.6 F.). Remove the tube and immediately
examine the contents of the test mixtures, except DOT 5 SBBFs, for
evidence of stratification. Determine percent sediment by centrifuging
as described in S7.5.
S6.11 Resistance to oxidation. The stability of a brake fluid under
oxidative conditions shall be evaluated by running duplicate samples
according to the following procedure.
S6.11.1 Summary of procedure.
Brake fluids, except DOT 5 SBBF, are activated with a mixture of
approximately 0.2 percent benzoyl peroxide and 5 percent water. DOT 5
SBBF is humidified in accordance with S6.2 eliminating determination of
the ERBP, and then approximately 0.2 percent benzoyl peroxide is added.
A corrosion test strip assembly consisting of cast iron and an aluminum
strip separated by tinfoil squares at each end is then rested on a piece
of SBR WC cup positioned so that the test strip is half immersed in the
fluid and oven aged at 70 C. (158 F.) for 168 hours. At the end of
this period, the metal strips are examined for pitting. etching, and
weight loss.
S6.11.2 Equipment.
(a) Balance. See S6.6.2(a).
(b) Desiccators. See S6.6.2(b).
(c) Oven. See S6.6.2(c).
(d) Three glass test tubes approximately 22 mm. outside diameter by
175 mm. in length.
S6.11.3 Reagents and materials.
(a) Benzoyl peroxide, reagent grade, 96 percent. (Benzoyl peroxide
that is brownish, or dusty, or has less than 90 percent purity, must be
discarded.) Reagent strength may be evaluated by ASTM E298-68,
''Standard Methods for Assay of Organic Peroxides.''
(b) Corrosion test strips. Two sets of cast iron and aluminum metal
test strips as described in Appendix C of SAE Standard J1703b.
(c) Tinfoil. Four unused pieces of tinfoil approximately 12 mm. (
1/2 inch) square and between 0.02 and 0.06 mm. (0.0008 and 0.0024 inch)
in thickness. The foil shall be at least 99.9 percent tin and contain
not more than 0.025 percent lead.
(d) SBR cups. Two unused, approximately one-eighth sections of a
standard SAE SBR WC cup (as described in S7.6).
(e) Machine screw and nut. Two clean oil-free, No. 6 or 8-32 3/8^
or 1/2-inch long (or equivalent metric size), round or fillister head,
uncoated mild steel machine screws, with matching plain nuts.
S6.11.4 Preparation.
(a) Corrosion test strips. Prepare two sets of aluminum and cast
iron test strips according to S6.6.4(a) except for assembly. Weigh each
strip to the nearest 0.1 mg. and assemble a strip of each metal on a
machine screw, separating the strips at each end with a piece of
tinfoil. Tighten the nut enough to hold both pieces of foil firmly in
place.
(b) Test mixture.
Place 30 1 ml. of the brake fluid under test in a 22 by 175 mm.
test tube. For all fluids except DOT 5 SBBF, add 0.060 .002 grams of
benzoyl peroxide, and 1.50 0.05 ml. of distilled water. For DOT 5 SBBF,
use test fluid humidified in accordance with S6.2, and add only the
benzoyl peroxide. Stopper the tube loosely with a clean dry cork,
shake, and place in an oven for 2 hours at 70 2 C. (158 3.6 F.).
Shake every 15 minutes to effect solution of the peroxide, but do not
wet cork. Remove the tube from the oven and allow to cool to 23 5 C.
(73.4 9 F.) Begin testing according to paragraph S6.11.5 not later
than 24 hours after removal of tube from oven.
S6.11.5 Procedure. Place a one-eighth SBR cup section in the bottom
of each tube. Add 10 ml. of prepared test mixture to each test tube.
Place a metal-strip assembly in each, the end of the strip without the
screw resting on the rubber, and the solution covering about one-half
the length of the strips. Stopper the tubes with clean dry corks and
store upright for 70 2 hours at 23 5 C. (73.4 9 F.). Loosen the
corks and place the tubes for 168 2 hours in an oven maintained at 70 2
C. (158 3.6 F.). Afterwards remove and disassemble strips. Examine
the strips and note any gum deposits. Wipe the strips with a clean
cloth wet with ethanol (isopropanol when testing DOT 5 fluids) and note
any pitting, etching or roughening of surface disregarding stain or
discoloration. Place the strips in a desiccator over silica gel or
other suitable desiccant, at 23 5 C. (73.4 9 F.) for at least 1
hour. Again weigh each strip to the nearest 0.1 mg.
S6.11.6 Calculation. Determine corrosion loss by dividing the change
in weight of each metal strip by the total surface area of each strip
measured in square centimeters, to the nearest square centimeter.
Average the results for the two strips of each type of metal, rounding
to the nearest 0.05 mg. per square centimeter. If only one of the
duplicates fails for any reason, run a second set of duplicate samples.
Both repeat samples shall meet all requirements of S5.1.11.
S6.12 Effect on SBR cups. The effects of a brake fluid in swelling,
softening, and otherwise affecting standard SBR WC cups shall be
evaluated by the following procedure.
S6.12.1 Summary of the procedure. Four standard SAE SBR WC cups are
measured and their hardnesses determined. The cups, two to a jar, are
immersed in the test brake fluid. One jar is heated for 70 hours at 70
C. (158 F), and the other for 70 hours at 120 C (248 F).
Afterwards, the cups are washed, examined for disintegration, remeasured
and their hardnesses redetermined.
S6.12.2 Equipment and supplies.
(a) Oven. See S6.6.2(c).
(b) Glass jars and lids. Two screw-top, straight-sided round glass
jars, each having a capacity of approximately 250 ml. and inner
dimensions of approximately 125 mm. in height and 50 mm. in diameter,
and a tinned steel lid (no insert or organic coating).
(c) SBR cups. See S7.6.
S6.12.3 Preparation. Measure the base diameters of the SBR cups as
described in S6.6.4(b), and the hardness of each as described in S7.4.
S6.12.4 Procedure. Wash the cups in 90 percent ethanol (isopropanol
when testing DOT 5 fluids) (see S7.3), for not longer than 30 seconds
and quickly dry with a clean, lint-free cloth. Using forceps, place two
cups into each of the two jars; add 75 ml. of brake fluid to each jar
and cap tightly. Place one jar in an oven held at 70 2 C. (158 3.6
F.) for 70 2 hours. Place the other jar in an oven held at 120 2 C.
(248 3.6 F.) for 70 2 hours. Allow each jar to cool for 60 to 90
minutes at 23 5 C. (73.4 9 F.). Remove cups, wash with ethanol
(isopropanol when testing DOT 5 fluids) for not longer than 30 seconds,
and quickly dry. Examine the cups for disintegration as evidenced by
stickiness, blisters, or sloughing. Measure the base diameter and
hardness of each cup within 15 minutes after removal from the fluid.
S6.12.5 Calculation.
(a) Calculate the change in base diameter for each cup. If the two
values, at each temperature, do not differ by more than 0.10 mm. (0.004
inch) average them to the nearest 0.02 mm. (0.001 inch). If the two
values differ by more than 0.10 mm., repeat the test at the appropriate
temperature and average the four values as the change in base diameter.
(b) Calculate the change in hardness for each cup. The average of
the two values for each pair is the change in hardness.
(c) Note disintegration as evidenced by stickiness, blisters, or
sloughing.
S6.13 Stroking properties. Evaluate the lubricating properties,
component compatibility, resistance to leakage, and related qualities of
a brake fluid by running one sample according to the following
procedures.
S6.13.1 Summary of the procedure. Brake fluid is stroked under
controlled conditions at an elevated temperature in a simulated motor
vehicle hydraulic braking system consisting of three slave wheel
cylinders and an actuating master cylinder connected by steel tubing.
Referee standard parts are used. All parts are carefully cleaned,
examined, and certain measurements made immediately prior to assembly
for test. During the test, temperature, rate of pressure rise, maximum
pressure, and rate of stroking are specified and controlled. The system
is examined periodically during stroking to assure that excessive
leakage of fluid is not occurring. Afterwards, the system is torn down.
Metal parts and SBR cups are examined and remeasured. The brake fluid
and any resultant sludge and debris are collected, examined, and tested.
S6.13.2 Apparatus and equipment.
Either the drum and shoe type of stroking apparatus (see Figure 1 of
SAE Standard J1703b) except using only three sets of drum and shoe
assemblies, or the stroking fixture type apparatus as shown in Figure 2
of SAE J1703Nov83, with the components arranged as shown in Figure 1 of
SAE J1703Nov83. The following components are required.
(a) Brake assemblies. With the drum and shoe apparatus: three drum
and shoe assembly units (SAE RM-29a) consisting of three forward brake
shoes and three reverse brake shoes with linings and three front wheel
brake drum assemblies with assembly component parts. With stroking
fixture type apparatus: three fixture units including appropriate
adapter mounting plates to hold brake wheel cylinder assemblies.
(b) Braking pressure actuation mechanism. An actuating mechanism for
applying a force to the master cylinder pushrod without side thrust.
The amount of force applied by the actuating mechanism shall be
adjustable and capable of applying sufficient thrust to the master
cylinder to create a pressure of at least 70 kg./sq. cm. (1,000 p.s.i.)
in the simulated brake system. A hydraulic gage or pressure recorder,
having a range of at least 0 to 70 kg./sq. cm. (0 to 1,000 p.s.i.),
shall be installed between the master cylinder and the brake assemblies
and shall be provided with a shutoff valve and with a bleeding valve for
removing air from the connecting tubing. The actuating mechanism shall
be designed to permit adjustable stroking rates of approximately 1,000
strokes per hour. Use a mechanical or electrical counter to record the
total number of strokes.
(c) Heated air bath cabinet. An insulated cabinet or oven having
sufficient capacity to house the three mounted brake assemblies or
stroking fixture assemblies, master cylinder, and necessary connections.
A thermostatically controlled heating system is required to maintain a
temperature of 70 5 C (158 9 F) or 120 5 C (248 9 F). Heaters
shall be shielded to prevent direct radiation to wheel or master
cylinder.
(d) Master cylinder (MC) assembly (SAE RM-15a). One cast iron
housing hydraulic brake system cylinder having a diameter of
approximately 28 mm. (1 1/8 inch) and fitted for a filler cap and
standpipe (see S6.13.2(e)). The MC piston shall be made from SAE CA360
copperbase alloy (half hard). A new MC assembly is required for each
test.
(e) Filler cap and standpipe. MC filler cap provided with a glass or
uncoated steel standpipe. Standpipe must provide adequate volume for
thermal expansion, yet permit measurement and adjustment of the fluid
level in the system to 3 ml. Cap and standpipe may be cleaned and
reused.
(f) Wheel cylinder (WC) assemblies (SAE RM-14a). Three unused cast
iron housing straight bore hydraulic brake WC assemblies having
diameters of approximately 28 mm (1 1/8 inch) for each test. Pistons
shall be made from unanodized SAE AA 2024 aluminum alloy.
(g) Micrometer. Same as S6.6.2(d).
S6.13.3 Materials.
(a) Standard SBR brake cups. Six standard SAE SBR wheel cylinder
test cups, one primary MC test cup, and one secondary MC test cup, all
as described in S7.6, for each test.
(b) Steel tubing. Double wall steel tubing meeting SAE specification
J527. A complete replacement of tubing is essential when visual
inspection indicates any corrosion or deposits on inner surface of
tubing. Tubing from master cylinder to one wheel cylinder shall be
replaced for each test (minimum length 3 feet). Uniformity in tubing
size is required between master cylinder and wheel cylinder. The
standard master cylinder has two outlets for tubing, both of which must
be used.
S6.13.4 Preparation of test apparatus.
(a) Wheel cylinder assemblies. Use unused wheel cylinder assemblies.
Disassemble cylinders and discard cups. Clean all metal parts with
ethanol (isopropanol when testing DOT 5 fluids). Inspect the working
surfaces of all metal parts for scoring, galling, or pitting and
cylinder bore roughness, and discard all defective parts. Remove any
stains on cylinder walls with crocus cloth and ethanol (isopropanol when
testing DOT 5 fluids). If stains cannot be removed, discard the
cylinder. Measure the internal diameter of each cylinder at a location
approximately 19 mm. (0.75 inch) from each end of the cylinder bore,
taking measurements in line with the hydraulic inlet opening and at
right angles to this centerline. Discard the cylinder if any of these
four readings exceeds the maximum or minimum limits of 28.66 to 28.60
mm. (1.128 to 1.126 inch). Measure the outside diameter of each piston
at two points approximately 90 apart. Discard any piston if either
reading exceeds the maximum or minimum limits of 28.55 to 28.52 mm.
(1.124 to 1.123 inch). Select parts to insure that the clearance between
each piston and mating cylinder is within 0.08 to 0.13 mm. (0.003 to
0.005 inch). Use unused SBR cups. To remove dirt and debris, rinse the
cups in 90 percent ethyl alcohol for not more than 30 seconds and wipe
dry with a clean lint-free cloth. Discard any cups showing defects such
as cuts, molding flaws, or blisters. Measure the lip and base diameters
of all cups with an optical comparator or micrometer to the nearest 0.02
mm. (0.001 inch) along the centerline of the SAE and rubber-type
identifications and at right angles to this centerline. Determine base
diameter measurements at least 0.4 mm. (0.015 inch) above the bottom
edge and parallel to the base of the cup. Discard any cup if the two
measured lip or base diameters differ by more than 0.08 mm. (0.003
inch). Average the lip and base diameters of each cup. Determine the
hardness of all cups according to S7.4. Dip the rubber and metal parts
of wheel cylinders, except housing and rubber boots, in the fluid to be
tested and install them in accordance with the manufacturer's
instructions. Manually stroke the cylinders to insure that they operate
easily. Install cylinders in the simulated brake system.
(b) Master cylinder assembly. Use an unused master cylinder and
unused standard SBR primary and secondary MC cups which have been
inspected, measured and cleaned in the manner specified in S6.13.4(a),
omitting hardness of the secondary MC cup. However, prior to
determining the lip and base diameters of the secondary cup, dip the cup
in test brake fluid, assemble on the MC piston, and maintain the
assembly in a vertical position at 23 5 C. (73.4 9 F.) for at least
12 hours. Inspect the relief and supply ports of the master cylinder;
discard the cylinder if ports have burrs or wire edges. Measure the
internal diameter of the cylinder at two locations (approximately midway
between the relief and supply ports and approximately 19 mm. (0.75 inch)
beyond the relief port toward the bottom or discharge end of the bore),
taking measurements at each location on the vertical and horizontal
centerline of the bore. Discard the cylinder if any reading exceeds the
maximum or minimum limits of 28.65 to 28.57 mm. (1.128 to 1.125 inch).
Measure the outside diameter of each end of the master cylinder piston
at two points approximately 90 apart. Discard the piston if any of
these four readings exceed the maximum or minimum limits of 28.55 to
28.52 mm. (1.124 to 1.123 inch). Dip the rubber and metal parts of the
master cylinder, except the housing and push rod-boot assembly, in the
brake fluid and install in accordance with manufacturer's instructions.
Manually stroke the master cylinder to insure that it operates easily.
Install the master cylinder in the simulated brake system.
(c) Assembly and adjustment of test apparatus.
(1) When using a shoe and drum type apparatus, adjust the brake shoe
toe clearances to 1.0 0.1 mm. (0.040 0.004 inch). Fill the system with
brake fluid, bleeding all wheel cylinders and the pressure gage to
remove entrapped air. Operate the actuator manually to apply a pressure
greater than the required operating pressure and inspect the system for
leaks. Adjust the actuator and/or pressure relief valve to obtain a
pressure of 70 3.5 kg./sq. cm. (1,000 50 p.s.i.). A smooth
pressure-stroke pattern is required when using a shoe and drum type
apparatus. The pressure is relatively low during the first part of the
stroke and then builds up smoothly to the maximum stroking pressure at
the end of the stroke, to permit the primary cup to pass the
compensating hole at a relatively low pressure. Using stroking
fixtures, adjust the actuator and/or pressure relief valve to obtain a
pressure of 70 3.5 kg./sq. cm. (1,000 50 p.s.i.).
(2) Adjust the stroking rate to 1,000 100 strokes per hour. Record
the fluid level in the master cylinder standpipe.
S6.13.5 Procedure. Operate the system for 16,000 1,000 cycles at 23
5 C. (73.4 9 F.). Repair any leakage, readjust the brake shoe
clearances, and add fluid to the master cylinder standpipe to bring to
the level originally recorded, if necessary. Start the test again and
raise the temperature of the cabinet within 6 2 hours to 120 5 C.
(248 9 F.). During the test observe operation of wheel cylinders for
improper functioning and record the amount of fluid required to
replenish any loss, at intervals of 24,000 strokes. Stop the test at
the end of 85,000 total recorded strokes. These totals shall include
the number of strokes during operation at 23 5 C. (73.4 9 F.) and
the number of strokes required to bring the system to the operating
temperature. Allow equipment to cool to room temperature. Examine the
wheel cylinders for leakage. Stroke the assembly an additional 100
strokes, examine wheel cylinders for leakage and record volume loss of
fluid. Within 16 hours after stopping the test, remove the master and
wheel cylinders from the system, retaining the fluid in the cylinders by
immediately capping or plugging the ports. Disassemble the cylinders,
collecting the fluid from the master cylinder and wheel cylinders in a
glass jar. When collecting the stroked fluid, remove all residue which
has deposited on rubber and metal internal parts by rinsing and
agitating such parts in the stroked fluid and using a soft brush to
assure that all loose adhering sediment is collected. Clean SBR cups in
ethanol (isopropanol when testing DOT 5 fluids) and dry. Inspect the
cups for stickiness, scuffing, blistering, cracking, chipping, and
change in shape from original appearance. Within 1 hour after
disassembly, measure the lip and base diameters of each cylinder cup by
the procedures specified in S6.13.4 (a) and (b) with the exception that
lip or base diameters of cups may now differ by more than 0.08 mm.
(0.003 inch). Determine the hardness of each cup according to S7.4. Note
any sludge or gel present in the test fluid. Within 1 hour after
draining the cylinders, agitate the fluid in a glass jar to suspend and
uniformly disperse sediment and transfer a 100 ml. portion of this
fluid to a centrifuge tube and determine percent sediment as described
in S7.5. Allow the tube and fluid to stand for 24 hours, recentrifuge
and record any additional sediment recovered. Inspect cylinder parts,
note any gumming or any pitting on pistons and cylinder walls.
Disregard staining or discoloration. Rub any deposits adhering to
cylinder walls with a clean soft cloth wetted with ethanol (isopropanol
when testing DOT 5 fluids) to determine abrasiveness and removability.
Clean cylinder parts in ethanol (isopropanol when testing DOT 5 fluids)
and dry. Measure and record diameters of pistons and cylinders
according to S6.13.4(a) and (b). Repeat the test if mechanical failure
occurs that may affect the evaluation of the brake fluid.
S6.13.6 Calculation.
(a) Calculate the changes in diameters of cylinders and pistons (see
S5.1.13(b)).
(b) Calculate the average decrease in hardness of the seven cups
tested, as well as the individual values (see S5.1.13(c)).
(c) Calculate the increases in base diameters of the eight cups (see
S5.1.13(e)).
(d) Calculate the lip diameter interference set for each of the eight
cups by the following formula and average the eight values (see
S5.1.13(f)).
((D1^D2)/(D1^D2)) 100=percentage Lip Diameter Interference Set
where:
D1=Original lip diameter.
D2=Final lip diameter.
D3=Original cylinder bore diameter.
S6.14 Container information. Each container with information marked
directly on the container surface or on a label (labels) affixed to the
container pursuant to S5.2.2.2 or S5.2.2.3 is subjected to the following
procedure:
(a) If the container has a label affixed to it, make a single
vertical cut all the way through the label with the container in the
vertical position.
(b) Immerse the container in the same brake fluid or hydraulic system
mineral oil contained therein for 15 minutes at room temperature (23 5
C; 73.4 9 F).
(c) Within 5 minutes after removing the container from the fluid or
oil, remove excess liquid from the surface of the container by wiping
with a clean dry cloth.
S7. Auxiliary test methods and reagent standards.
S7.1 Distilled water. Nonreferee reagent water as specified in ASTM
D1193-70, ''Standard Specifications for Reagent Water,'' or water of
equal purity.
S7.2 Water content of motor vehicle brake fluids. Use analytical
methods based on ASTM D1123-59, ''Standard Method of Test for Water in
Concentrated Engine Antifreezes by the Iodine Reagent Method,'' for
determining the water content of brake fluids, or other methods of
analysis yielding comparable results. To be acceptable for use, such
other method must measure the weight of water added to samples of the
SAE RM-66-03 and TEGME Compatibility Fluids within 5 percent of the
water added for additions up to 0.8 percent by weight, and within
percent of the water added for additions greater than 0.8 percent by
weight. The SAE RM-66-03 Compatibility Fluid used to prepare the
samples must have an original ERBP of not less than 205 C (401 F) when
tested in accordance with S6.1. The SAE TEGME fluid used to prepare the
samples must have an original ERBP of not less than 240 C (464 F) when
tested in accordance with S6.1.
S7.3 Ethanol. 95 percent (190 proof) ethyl alcohol, USP or ACS, or
Formula 3-A Specially Denatured Alcohol of the same concentration (as
specified at 27 CFR 21.35). For pretest washings of equipment, use
approximately 90 percent ethyl alcohol, obtained by adding 5 parts of
distilled water to 95 parts of ethanol.
S7.4 Measuring the hardness of SBR brake cups. Hardness measurements
on SBR wheel cylinder cups and master cylinder primary cups shall be
made by using the following apparatus and the following procedure.
S7.4.1 Apparatus.
(a) Anvil. A rubber anvil having a flat circular top 20 1 mm. (
13/16 1/16 inch) in diameter, a thickness of at least 9 mm. ( 3/8
inch) and a hardness within 5 IRHDs of the SBR test cup.
(b) Hardness tester. A hardness tester meeting the requirements for
the standard instrument as described in ASTM D1415-68, ''Standard Method
of Test for International Hardness of Vulcanized Natural and Synthetic
Rubbers,'' and graduated directly in IRHD units.
S7.4.2 Procedure. Make hardness measurements at 23 2 C. (73.4 3.6
F.). Equilibrate the tester and anvils at this temperature prior to
use. Center brake cups lip side down on an anvil of appropriate
hardness. Following the manufacturer's operating instructions for the
hardness tester, make one measurement at each of four points one-fourth
inch from the center of the cup and spaced 90 apart. Average the four
values, and round off to the nearest IRHD.
S7.5 Sediment by centrifuging. The amount of sediment in the test
fluid shall be determined by the following procedure.
S7.5.1 Apparatus.
(a) Centrifuge tube. Cone-shaped centrifuge tubes conforming to the
dimensions given in Figure 6, and made of thoroughly annealed glass.
The graduations shall be numbered as shown in Figure 6, and shall be
clear and distinct. Scale-error tolerances and smallest graduations
between various calibration marks are given in Table V and apply to
calibrations made with air-free water at 20 C. (68 F.).
Fig. 6. ASTM 8-in. Centrifuge Tube
(b) Centrifuge. A centrifuge capable of whirling two or more filled
centrifuge tubes at a speed which can be controlled to give a relative
centrifugal force (r.c.f.) between 600 and 700 at the tip of the tubes.
The revolving head, trunnion rings, and trunnion cups, including the
rubber cushion, shall withstand the maximum centrifugal force capable of
being delivered by the power source. The trunnion cups and cushions
shall firmly support the tubes when the centrifuge is in motion.
Calculate the speed of the rotating head using this equation:
where:
r.c.f.=Relative centrifugal force, and
d=Diameter of swing, in inches, measured between tips of opposite
tubes when in rotating position.
Table VI shows the relationship between diameter, swing, relative
centrifugal force (r.c.f.), and revolutions per minute.
S7.5.2 Procedure. Balance the corked centrifuge tubes with their
respective trunnion cups in pairs by weight on a scale, according to the
centrifuge manufacturer's instructions, and place them on opposite sides
of the centrifuge head. Use a dummy assembly when one sample is tested.
Then whirl them for 10 minutes, at a rate sufficient to produce a
r.c.f. between 600 and 700 at the tips of the whirling tubes. Repeat
until the volume of sediment in each tube remains constant for three
consecutive readings.
S7.5.3 Calculation. Read the volume of the solid sediment at the
bottom of the centrifuge tube and report the percent sediment by volume.
Where replicate determinations are specified, report the average value.
S7.6 Standard styrene-butadiene rubber (SBR) brake cups. SBR brake
cups for testing motor vehicle brake fluids shall be manufactured using
the following formulation:
Compounding, vulcanization, physical properties, size of the finished
cups, and other details shall be as specified in Appendix B of SAE
J1703b. The cups shall be used in testing brake fluids either within 6
months from date of manufacture when stored at room temperature below 30
C. (86 F.) or within 36 months from date of manufacture when stored
at temperatures below minus 15 C. (+5 F.). After removal of cups
from refrigeration they shall be conditioned base down on a flat surface
for at least 12 hours at room temperature in order to allow cups to
reach their true configuration before measurement.
S7.7 Isopropanol. ACS or reagent grade.
(36 FR 22902, Dec. 2, 1971)
Editorial Note: For Federal Register citations affecting 571.116,
see the List of Sections Affected in the Finding Aids section of this
volume.
49 CFR 571.117Standard No. 117; Retreaded pneumatic tires.
S1. Scope. This standard specifies performance, labeling, and
certification requirements for retreaded pneumatic passenger car tires.
S2. Purpose. The purpose of this standard is to require retreaded
pneumatic passenger car tires to meet safety criteria similar to those
for new pneumatic passenger car tires.
S3. Application. This standard applies to retreaded pneumatic tires
for use on passenger cars manufactured after 1948.
S4. Definitions.
S4.1 Casing means a used tire to which additional tread may be
attached for the purpose of retreading.
Retreaded means manufactured by a process in which a tread is
attached to a casing.
S4.2 All terms defined in 571.109 and 571.110 are used as defined
therein.
S5. Requirements.
S5.1 Retreaded tires.
S5.1.1 Except as specified in S5.1.3, each retreaded tire, when
mounted on a test rim of the width specified for the tire's size
designation in Appendix A of 571.109 shall comply with the following
requirements of 571.109:
(a) S4.1 (Size and construction).
(b) S4.2.1 (General).
(c) S4.2.2.3 (Tubeless tire resistance to bead unseating).
(d) S4.2.2.4 (Tire strength).
S5.1.2 Except as specified in S5.1.3, each retreaded tire, when
mounted on a test rim of the width specified for the tire's size
designation in Appendix A of 571.109, shall comply with the
requirements of S4.2.2.2 of 571.109, except that the tire's section
width shall not be more than 110 percent of the section width specified,
and the tire's size factor shall be at least 97 percent of the size
factor specified, in Appendix A of 571.109 for the tire's size
designation.
S5.1.3 Each retreaded tire shall be capable of meeting the
requirements of S5.1.1 and S5.1.2 when mounted on any rim in accordance
with those sections.
S5.1.4 No retreaded tire shall have a size designation, recommended
maximum load rating, or maximum permissible inflation pressure that is
greater than that originally specified on the casing pursuant to S4.3 of
571.109, or specified for the casing in Table I.
S5.2 Casings.
S5.2.1 No retreaded tire shall be manufactured with a casing --
(a) On which bead wire or cord fabric is exposed before processing.
(b) On which any cord fabric is exposed during processing, except
that cord fabric that is located at a splice, i.e., where two or more
segments of the same ply overlap, or cord fabric that is part of the
belt material, may be exposed but shall not be penetrated or removed to
any extent whatsoever.
S5.2.2 No retreaded tire shall be manufactured with a casing --
(a) From which a belt or ply, or part thereof, is removed during
processing; or
(b) On which a belt or ply, or part thereof, is added or replaced
during processing.
S5.2.3 Each retreaded tire shall be manufactured with a casing that
bears, permanently molded at the time of its original manufacture into
or onto the tire sidewall, each of the following:
(a) The symbol DOT;
(b) The size of the tire; and
(c) The actual number of plies or ply rating.
S5.2.4 (Reserved)
S6. Certification and labeling.
S6.1 Except as specified in S6.2, each manufacturer of a retreaded
tire shall certify that his product complies with this standard,
pursuant to section 114 of the National Traffic and Motor Vehicle Safety
Act of 1966, by labeling the tire with the symbol DOT in the location
specified in 574.5 of this chapter.
S6.2 From June 1, 1973, to July 31, 1973, a manufacturer may certify
compliance by affixing to the tread or sidewall of the tire, in such a
manner that it is not easily removable, a label that states in letters
not less than three thirty-seconds of an inch high:
This retreaded tire was manufactured after June 1, 1973, and conforms
to all applicable Federal motor vehicle safety standards.
S6.3 Labeling.
S6.3.1 Each retreaded pneumatic tire manufactured on or after June 1,
1973, shall be labeled, in at least one location on the tire sidewall in
letters and numerals not less than 0.078 inch high, with the following
information:
(a) The tire's size designation;
(b) The tire's maximum permissible inflation pressure, either as it
appears on the casing or as set forth in Table 1;
(c) The tire's maximum load, either as it appears on the casing or as
set forth in Table 1;
(d) The actual number of plies, ply rating, or both;
(e) The word ''tubeless'' if the tire is a tubeless tire, or the
words ''tube-type'' if the tire is a tube-type tire;
(f) If the tire is of bias/belted construction, the words
''bias/belted'', or the actual number of plies in the sidewall and the
actual number of plies in the tread area.
(g) The word ''radial'' if the tire is of radial construction.
The information shall either be retained from the casing used in the
manufacture of the tire, or may be labeled into or onto the tire during
the retreading process, either permanently (through molding, branding,
or other method that will produce a permanent label) or by the addition
of a label that is not easily removable.
S6.3.2 Each retreaded tire manufactured on or after May 12, 1975,
shall bear permanent labeling (through molding, branding, or other
method that will produce a permanent label, or through the retention of
original casing labeling) in at least one location on the tire sidewall,
in letters and numbers not less than 0.078 inch high, consisting of the
following information:
(a) The tires maximum permissible load,
(b) The actual number of plies in the tire sidewall, and the actual
number of plies in the tire tread area, if different; and
(c) The generic name of each cord material used in the plies (both
sidewall and tread area) of the tire.
(37 FR 5952, Mar. 23, 1972, as amended at 37 FR 11775, June 14, 1972;
38 FR 2982, Jan. 31, 1973; 38 FR 6999, Mar. 15, 1973; 38 FR 9688,
Apr. 19, 1973; 39 FR 1443, Jan. 9, 1974; 39 FR 3553, Jan. 28, 1974;
39 FR 36016, Oct. 7, 1974; 39 FR 39884, Nov. 12, 1974)
Editorial Note: For an interpretation of 571.117, see 38 FR 10940,
May 3, 1973.
49 CFR 571.118Standard No. 118; Power-operated window systems.
S1. Purpose and scope. This standard specifies requirements for
power-operated window and partition systems to minimize the likelihood
of death or injury from their accidental operation.
S2. Application. This standard applies to passenger cars,
multipurpose passenger vehicles, and trucks with a gross vehicle weight
rating of 10,000 pounds or less.
S3. Operating Requirements. Power window or partition systems may be
closed only in the following circumstances:
(a) When the key that controls activation of the vehicle's engine is
in the ''ON'', ''START'', or ''ACCESSORY'' position;
(b) By muscular force unassisted by a vehicle power source;
(c) Upon activation by a key-locking system on the exterior of the
vehicle; or
(d) During the interval between the time the locking device which
controls the activation of the vehicle's engine is turned off and the
opening of either of a two-door vehicle's doors or, in the case of a
vehicle with more than two doors, the opening of either of its front
doors.
(36 FR 22902, Dec. 2, 1971, as amended at 40 FR 31773, July 29, 1975;
48 FR 20239, May 5, 1983; 48 FR 46794, Oct. 14, 1983; 53 FR 23769,
June 24, 1988)
Effective Date Note: At 56 FR 15294, Apr. 16, 1991, 571.118 was
revised, effective September 1, 1992. For the convenience of the user,
the revised text follows:
571.118 Standard No. 118; Power-operated window systems.
S1. Purpose and scope. This standard specifies requirements for
power operated window, partition, and roof panel systems to minimize the
likelihood of death or injury from their accidental operation.
S2. Application. This standard applies to passenger cars,
multipurpose passenger vehicles, and trucks with a gross vehicle weight
rating of 10,000 pounds or less.
S3. Definition. ''Power operated roof panel systems'' mean moveable
panels in the vehicle roof which close by vehicle supplied power either
by a sliding or hinged motion, and do not include convertible top
systems.
S4. Operating requirements. Except as provided in S5, power operated
window, partition, or roof panel systems may be closed only in the
following circumstances:
(a) When the key that controls activation of the vehicle's engine is
in the ''ON'', ''START'', or ''ACCESSORY'' position;
(b) By muscular force unassisted by vehicle supplied power;
(c) Upon continuous activation by a locking system on the exterior of
the vehicle;
(d) Upon continuous activation of any remote actuation device,
provided that the remote actuation device shall be incapable of closing
the power window, partition or roof panel from a distance of more than
20 feet from the vehicle;
(e) During the interval between the time the locking device which
controls the activation of the vehicle's engine is turned off and the
opening of either of a two-door vehicle's doors or, in the case of a
vehicle with more than two doors, the opening of either of its front
doors.
S5. (a) Notwithstanding S4, power window, partition or roof panel
systems which, while closing, reverse direction when they meet a
resistive force of 22 pounds or more from a solid cylinder of 4 to 200
mm in diameter and open to at least 200 mm, may close:
(1) Upon the one-time activation of a locking system on the exterior
of the vehicle,
(2) Upon the one-time activation of any remote actuation device, or
(3) Upon continuous activation of any remote actuation device capable
of closing the power window, partition or roof panel from a distance of
more than 20 feet from the vehicle.
(b) The 4 to 200 mm dimension cited in S5(a) is measured from the
window or panel's leading edge to the daylight opening.
(56 FR 15294, Apr. 16, 1991)
49 CFR 571.119Standard No. 119; New pneumatic tires for vehicles
other than passenger cars.
S1. Scope. This standard establishes performance and marking
requirements for tires for use on multipurpose passenger vehicles,
trucks, buses, trailers, and motorcycles.
S2. Purpose. The purpose of this standard is to provide safe
operational performance levels for tires used on motor vehicles other
than passenger cars, and to place sufficient information on the tires to
permit their proper selection and use.
S3. Application. This standard applies to new pneumatic tires
designed for highway use on multipurpose passenger vehicles, trucks,
buses, trailers, and motorcycles manufactured after 1948.
S4. Definitions. All terms defined in the Act and the rules and
standards issued under its authority are used as defined therein.
Light truck tire means a tire designated by its manuafacturer as
primarily intended for use on lightweight trucks or multipurpose
passenger vehicles.
Model rim assembly means a test device that (a) includes a rim which
conforms to the published dimensions of a commercially available rim,
(b) includes an air valve assembly when used for testing tubeless tires
or an innertube and flap (as required) when used for testing tubetype
tires, and (c) undergoes no permanent rim deformation and allows no loss
of air through the portion that it comprises of the tire-rim pressure
chamber when a tire is properly mounted on the assembly and subjected to
the requirements of this standard.
S5. Tire and rim matching information.
S5.1 Each manufacturer of tires shall ensure that a listing of the
rims that may be used with each tire that he produces is provided to the
public. For purposes of this section each rim listing shall include
dimensional specifications and a diagram of the rim. However a listing
compiled in accordance with paragraph (a) of this section need not
include dimensional specifications or a diagram of a rim if the rim's
dimensional specifications and diagram are contained in each listing
published in accordance with paragraph (b) of this standard. The
listing shall be in one of the following forms:
(a) Listed by manufacturer name or brand name in a document furnished
to dealers of the manufacturer's tires to any person upon request and in
duplicate to: Tire Division, National Highway Safety Administration,
400 Seventh Street SW., Washington, DC 20590; or
(b) Contained in publications, current at the date of manufacture of
the tire or any later date, of at least one of the following
organizations:
The Tire and Rim Association
The European Tyre and Rim Technical Organisation
Japan Automobile Tire Manufacturers' Association, Inc.
Deutsche Industrie Norm
British Standards Institution
Scandinavian Tire and Rim Organization
The Tyre and Rim Association of Australia
S5.2 Information contained in a publication specified in S5.1(b)
which lists general categories of tires and rims by size designation,
type of construction, and/or intended use, shall be considered to be
manufacturer's information pursuant to S5.1 for the listed tires, unless
the publication itself or specific information provided according to
S5.1(a) indicates otherwise.
S6. Requirements. Each tire shall be capable of meeting any of the
applicable requirements set forth below, when mounted on a model rim
assembly corresponding to any rim designated by the tire manufacturer
for use with the tire in accordance with S5. However, a particular tire
need not meet further requirements after having been subjected to and
met the endurance test (S6.1), strength test (S6.2), or high speed
performance test (S6.3).
S6.1 Endurance.
S6.1.1 Prior to testing in accordance with the procedures of S7.2, a
tire shall exhibit no visual evidence of tread, sidewall, ply, cord,
innerliner, or bead separation, chunking, broken cords, cracking, or
open splices.
S6.1.2 When tested in accordance with the procedures of S7.2:
(a) There shall be no visual evidence of tread, sidewall, ply, cord,
innerliner, or bead separation, chunking, broken cords, cracking, or
open splices.
(b) The tire pressure at the end of the test shall be not less than
the initial pressure specified in S7.2(a).
S6.2 Strength. When tested in accordance with the procedures of S7.3
a tire's average breaking energy value shall be not less than the value
specified in Table II for that tire's size and load range.
S6.3 High speed performance. When tested in accordance with the
procedures of S7.4, a tire shall meet the requirements set forth in
S6.1.1 and S6.1.2 (a) and (b). However, this requirement applies only
to motorcycle tires and to non-speed-restricted tires of 14.5-in nominal
rim diameter or less marked load range A, B, C, or D.
S6.4 Treadwear indicators. Except as specified below, each tire
shall have at least six treadwear indicators spaced approximately
equally around the circumference of the tire that enable a person
inspecting the tire to determine visually whether the tire has worn to a
tread depth of one-sixteenth of an inch. Tires with 12-inch or smaller
rim diameter shall have at least three such treadwear indicators.
Motorcycle tires shall have at least three such indicators which permit
visual determination that the tire has worn to a tread depth of
one-thirty-second of an inch.
S6.5 Tire markings. Except as specified below, each tire shall be
marked on each sidewall with the information specified in paragraphs (a)
through (j) of this section. The markings shall be placed between the
maximum section width (exclusive of sidewall decorations or curb ribs)
and the bead on at least one sidewall, unless the maximum section width
of the tire is located in an area which is not more than one-fourth of
the distance from the bead to the shoulder of the tire. If the maximum
section width falls within that area, the markings shall appear between
the bead and a point one-half the distance from the bead to the shoulder
of the tire, on at least one sidewall. The markings shall be in letters
and numerals not less than 0.078 inch high and raised above or sunk
below the tire surface not less than 0.015 inch, except that the marking
depth shall be not less than 0.010 inch in the case of motorcycle tires.
The tire identification and the DOT symbol labeling shall comply with
Part 574 of this chapter. Markings may appear on only one sidewall and
the entire sidewall area may be used in the case of motorcycle tires and
recreational, boat, baggage, and special trailer tires.
(a) The symbol DOT, which shall constitute a certification that the
tire conforms to applicable Federal motor vehicle safety standards.
This symbol may be marked on only one sidewall.
(b) The tire identification number required by Part 574 of this
chapter. This number may be marked on only one sidewall.
(c) The tire size designation as listed in the documents and
publications designated in S5.1.
(d) The maximum load rating and corresponding inflation pressure of
the tire, shown as follows:
(Mark on tires rated for single and dual load):
Max load single ------ lbs at ------ psi cold.
Max load dual ------ lbs at ------ psi cold.
(Mark on tires rated only for single load:)
Max load ------ lbs at ------ psi cold.
(e) The speed restriction of the tire, if 55 mi/h or less, shown as
follows:
Max speed ------ mph.
(f) The actual number of piles and the composition of the ply cord
material in the sidewall, and, if different, in the tread area.
(g) The words ''tubeless'' or ''tube type'' as applicable.
(h) The word ''regroovable'' if the tire is designed for regrooving.
(i) The word ''radial'' if a radial tire.
(j) The letter designating the tire load range.
S6.6 Maximum load rating. If the maximum load rating for a
particular tire size is shown in one or more of the publications
described in S5.1(b), each tire of that size designation shall have a
maximum load rating that is not less than the published maximum load
rating, or if there are differing published ratings for the same tire
size designation, not less than the lowest published maximum load rating
for the size designation.
S7. Test procedures.
S7.1 General conditions.
S7.1.1 The tests are performed using an appropriate new tube, tube
valve and flap assembly (as required) that allows no loss of air for
testing of tube-type tires under S7.2, S7.3, and S7.4, and tubeless
tires under S7.3.
S7.1.2 The tire must be capable of meeting the requirements of S7.2
and S7.4 when conditioned to a temperature of 95 F for 3 hours before
the test is conducted, and with an ambient temperature maintained at 95
F during all phases of testing. The tire must be capable of meeting the
requirements of S7.3 when conditioned at a temperature of 70 F for 3
hours before the test is conducted.
S7.2 Endurance. (a) Mount the tire on a model rim assembly and
inflate it to the inflation pressure corresponding to the maximum load
rating marked on the time. Use single maximum load value when the tire
is marked with both single and dual maximum load.
(b) After conditioning the tire-rim assembly in accordance with
S7.1.2, adjust the tire pressure to that specified in (a) immediately
before mounting the tire rim assembly.
(c) Mount the tire-rim assembly on an axle and press it against a
flat-faced steel test wheel that is 67.23 inches in diameter and at
least as wide as the tread of the tire.
(d) Apply the test load and rotate the test wheel as indicated in
Table III for the type of tire tested conducting each successive phase
of the test without interruption.
(e) Immediately after running the tire the required time, measure the
tire inflation pressure. Remove the tire from the model rim assembly,
and inspect the tire.
S7.3 Strength. (a) Mount the tire on a model rim assembly and inflate
it to the pressure corresponding to the maximum load, or maximum dual
load where there is both a single and dual load marked on the tire. If
the tire is tubeless, a tube may be inserted to prevent loss of air
during the test in the event of puncture.
(b) After conditioning the tire-rim assembly in accordance with
S7.1.2, adjust the tire pressure to that specified in (a).
(c) Force a cylindrical steel plunger, with a hemispherical end and
of the diameter specified in Table I for the tire size, perpendicularly
into a raised tread element as near as possible to the centerline of the
tread, at a rate of 2 inches per minute, until the tire breaks or the
plunger is stopped by the rim.
(d) Record the force and the distance of penetration just before the
tire breaks, or if it fails to break, just before the plunger is stopped
by the rim.
(e) Repeat the plunger application at 72 intervals around the
circumference of the tire, until five measurements are made. However,
in the case of tires of 12-in rim diameter or less, repeat the plunger
application at 120 intervals around the circumference of the tire,
until three measurements are made.
(f) Compute the breaking energy for each test point by the following
formula:
where:
W=Breaking energy,
F=Force in pounds, and
P=Penetration in inches.
(g) Determine the average breaking energy value for the tire by
computing the average of the values obtained in accordance with
paragraph (f).
S7.4 High speed performance. (a) Perform steps (a) through (c) of
S7.2.
(b) Apply a force of 88 percent of the maximum load rating marked on
the tire (use single maximum load value when the tire is marked with
both single and dual maximum loads), and rotate the test wheel at 250
rpm for 2 hours.
(c) Remove the load, allow the tire to cool to 95 F., and then
adjust the pressure to that marked on the tire for single tire use.
(d) Reapply the same load, and without interruption or readjustment
of inflation pressure, rotate the test wheel at 375 rpm for 30 minutes,
then at 400 rpm for 30 minutes, and then at 425 rpm for 30 minutes.
(e) Immediately after running the tire the required time, measure the
tire inflation pressure. Remove the tire from the model rim assembly,
and inspect the tire.
(Secs. 113, 201, 80 Stat. 718 (15 U.S.C. 1402, 1421); secs. 103,
112, 119, 201, 203, Pub. L. 89-563, 80 Stat. 718 (15 U.S.C. 1392, 1401,
1421, 1423); delegation of authority at 49 CFR 1.50)
(38 FR 31301, Nov. 13, 1973, as amended at 39 FR 4087, Feb. 1, 1974;
39 FR 5192, Feb. 11, 1974; 39 FR 12105, Apr. 3, 1974; 39 FR 19481,
June 3, 1974; 40 FR 5530, Feb. 6, 1975; 43 FR 30542, July 17, 1978;
43 FR 50441, Oct. 30, 1978; 48 FR 25209, June 6, 1983; 50 FR 10773,
Mar. 18, 1985; 54 FR 38386, Sept. 18, 1989)
49 CFR 571.120Standard No. 120; Tire selection and rims for motor
vehicles other than passenger cars.
S1. Scope. This standard specifies tire and rim selection
requirements and rim marking requirements.
S2. Purpose. The purpose of this standard is to provide safe
operational performance by ensuring that vehicles to which it applies
are equipped with tires of adequate size and load rating and with rims
of appropriate size and type designation.
S3 Application. This standard applies to multipurpose passenger
vehicles, trucks, buses, trailers, and motorcycles, to rims for use on
those vehicles, and to non-pneumatic spare tire assemblies for use on
those vehicles.
S4. Definitions. All terms defined in the Act and the rules and
standards issued under its authority are used as defined therein.
Rim base means the portion of a rim remaining after removal of all
split or continuous rim flanges, side rings, and locking rings that can
be detached from the rim.
Rim size designation means rim diameter and width.
Rim diameter means nominal diameter of the bead seat.
Rim width means nominal distance between rim flanges.
Rim type designation means the industry or manufacturer's designation
for a rim by style or code.
Weather side means the surface area of the rim not covered by the
inflated tire.
S5. Requirements.
S5.1 Tire and rim selection.
S5.1.1 Except as specified in S5.1.3, each vehicle equipped with
pneumatic tires for highway service shall be equipped with tires that
meet the requirements of 571.109, New Pneumatic Tires -- Passenger
Cars, or 571.119, New Pneumatic Tires for Vehicles Other Than Passenger
Cars, and rims that are listed by the manufacturer of the tires as
suitable for use with those tires, in accordance with S4.4 with
571.109, or S5.1 of 571.119, as applicable, except that vehicles may be
equipped with a non-pneumatic spare tire assembly that meets the
requirements of 571.129, New Non-Pneumatic Tires for Passenger Cars,
and S8 and S10 of this standard. Vehicles equipped with such an
assembly shall meet the requirements of S5.3.6, S7, and S9 of this
standard.
S5.1.2 Except in the case of a vehicle which has a speed attainable
in 2 miles of 50 mph or less, the sum of the maximum load ratings of the
tires fitted to an axle shall be not less than the gross axle weight
rating (GAWR) of the axle system as specified on the vehicle's
certification label required by 49 CFR Part 567. If the certification
label shows more than one GAWR for the axle system, the sum shall be not
less than the GAWR corresponding to the size designation of the tires
fitted to the axle. If the size designation of the tires fitted to the
axle does not appear on the certification label, the sum shall be not
less than the lowest GAWR appearing on the label. When a tire listed in
Appendix A of Standard No. 109 is installed on a multipurpose passenger
vehicle, truck, bus, or trailer, the tire's load rating shall be reduced
by dividing by 1.10 before calculating the sum.
S5.1.3 In place of tires that meet the requirements of Standard No.
119, a truck, bus, or trailer may at the request of a purchaser be
equipped at the place of manufacture of the vehicle with retreaded or
used tires owned or leased by the purchaser, if the sum of the maximum
load ratings meets the requirements of S5.1.2. Used tires employed under
this provision must have been originally manufactured to comply with
Standard No. 119, as evidenced by the DOT symbol.
S5.2 Rim marking. On and after August 1, 1977, each rim or, at the
option of the manufacturer in the case of a singlepiece wheel, wheel
disc shall be marked with the information listed in paragraphs (a)
through (e) of this paragraph, in lettering not less than one-eighth
inch high, impressed to a depth or, at the option of the manufacturer,
embossed to a height of not less than 0.005 inch. The information listed
in paragraphs (a) through (c) of this paragraph shall appear on the
weather side. In the case of rims of multipiece construction, the
information listed in paragraphs (a) through (e) of this paragraph shall
appear on the rim base and the information listed in paragraphs (b) and
(d) of this paragraph shall also appear on each other part of the rim.
(a) A designation which indicates the source of the rim's published
nominal dimensions, as follows:
(1) ''T'' indicates The Tire and Rim Association.
(2) ''E'' indicates The European Tyre and Rim Technical Organisation
(3) ''J'' indicates Japan Automobile Tire Manufacturers' Association,
Inc.
(4) ''D'' indicates Deutsche Industrie Norm.
(5) ''B'' indicates British Standards Institution.
(6) ''S'' indicates Scandinavian Tire and Rim Organization.
(7) ''A'' indicates The Tyre and Rim Association of Australia.
(8) ''N'' indicates an independent listing pursuant to S4.4.1(a) of
Standard No. 109 or S5.1(a) of Standard No. 119.
(b) The rim size designation, and in case of multipiece rims, the rim
type designation. For example: 20 x 5.50, or 20 x 5.5.
(c) The symbol DOT, constituting a certification by the manufacturer
of the rim that the rim complies with all applicable motor vehicle
safety standards.
(d) A designation that identifies the manufacturer of the rim by
name, trademark, or symbol.
(e) The month, day, and year, or the month and year, of manufacture,
expressed in numerals. For example,
S5.3 Label information.
S5.3.1 Vehicles manufactured before December 1, 1984. Each vehicle
manufactured before December 1, 1984, shall show the information
specified in S5.3.3 through S5.3.5 in the format set forth following
this section. The information shall appear either --
(a) After each GAWR listed on the certification label required by
567.4 or 567.5 of this chapter; or, at the option of the manufacturer,
(b) On a tire information label affixed to the vehicle in the manner,
location, and form described in 567.4 (b) through (f) of this chapter,
as appropriate for each GVWR-GAWR combination listed on the
certification label.
S5.3.2 Vehicles Manufactured on or after December 1, 1984. Each
vehicle manufactured on or after December 1, 1984, shall show the
information specified in S5.3.3 through S5.3.5, and in the case of a
vehicle equipped with a non-pneumatic spare tire, also that specified in
S5.3.6, in the English language, lettered in block capitals and numerals
not less than three thirty-seconds of an inch high and in the format set
forth following this section. This information shall appear either --
(a) After each GAWR listed on the certification label required by
567.4 or 567.5 of this chapter; or, at the option of the manufacturer,
(b) On a tire information label affixed to the vehicle in the manner,
location, and form described in 567.4 (b) through (f) of this chapter,
as appropriate for each GVWR-GAWR combination listed on the
certification label.
S5.3.3 The size designation of tires (not necessarily those on the
vehicle) appropriate (as specified in S5.1.2) for the GAWR.
S5.3.4 The size designation and, if applicable, the type designation
of rims (not necessarily those on the vehicle) appropriate for those
tires.
S5.3.5 Cold inflation pressure for those tires.
GVWR: 17280
GAWR: Front -- 6280 with 7.50 -- 20(D) tires, 20x6.00 rims, at 75
psi cold single.
GAWR: Rear -- 11000 with 7.50 -- 20(D) tires, 20x6.00 rims, at 65
psi cold dual.
GVWR: 17340.
GAWR: Front -- 6300 with 7.00 -- 20(E) tires, 20x5.50 rims, at 90
psi cold single.
GAWR: Rear -- 11040 with 7.00 -- 20(E) tires, 20x5.50 rims, at 80
psi cold dual.
S5.3.6 The non-pneumatic tire identification code, with which that
assembly is labeled pursuant to S4.3(a) of 571.129.
S6. Vehicles manufactured from September 1, 1976, to February 28,
1977. Notwithstanding any other provision of this standard, a vehicle
to which this standard applies that is manufactured during the period
from September 1, 1976, to February 28, 1977, shall meet each
requirement of this standard, with the following exception: In place of
tires that meet Standard No. 119 ( 571.119), the vehicle may be
equipped with tires that meet every requirement of that standard other
than the tire marking requirements of S6.5 of that standard.
S7 Load Limits for Non-Pneumatic Spare Tires. The highest vehicle
maximum load on the tire for the vehicle shall not be greater than the
load rating for the non-pneumatic spare tire.
S8 Labeling Requirements for Non-Pneumatic Spare Tires or Tire
Assemblies. Each non-pneumatic tire or, in the case of a non-pneumatic
tire assembly in which the non-pneumatic tire is an integral part of the
assembly, each non-pneumatic tire assembly shall include, in letters or
numerals not less than 0.156 inches high, the information specified in
paragraphs S8 (a) and (b). The information shall be permanently molded,
stamped, or otherwise permanently marked into or onto the non-pneumatic
tire or non-pneumatic tire assembly, or shall appear on a label that is
permanently attached to the tire or tire assembly. If a label is used,
it shall be subsurface printed, made of material that is resistant to
fade, heat, moisture and abrasion, and attached in such a manner that it
cannot be removed without destroying or defacing the label on the
non-pneumatic tire or tire assembly. The information specified in
paragraphs S8 (a) and (b) shall appear on both sides of the
non-pneumatic tire or tire assembly, except, in the case of a
non-pneumatic tire assembly which has a particular side that must always
face outward when mounted on a vehicle, in which case the information
specified in paragraphs S8 (a) and (b) shall only be required on the
outward facing side. The information shall be positioned on the tire or
tire assembly such that it is not placed on the tread or the outermost
edge of the tire and is not obstructed by any portion of any
non-pneumatic rim or wheel center member designated for use with that
tire in this standard or in Standard No. 129.
(a) FOR TEMPORARY USE ONLY; and
(b) MAXIMUM 50 M.P.H.
S9 Requirements for Vehicles Equipped with Non-Pneumatic Spare Tire
Assemblies
S9.1 Vehicle Placarding Requirements. A placard, permanently affixed
to the inside of the spare tire stowage area or equally accessible
location adjacent to the non-pneumatic spare tire assembly, shall
display the information set forth in S8 in block capitals and numerals
not less than 0.25 inches high preceded by the words ''IMPORTANT -- USE
OF SPARE TIRE'' in letters not less than 0.375 inches high.
S9.2 Supplementary Information. The owner's manual of the vehicle
shall contain, in writing in the English language and in not less than
10 point type, the following information under the heading ''IMPORTANT
-- USE OF SPARE TIRE'':
(a) A statement indicating the information related to appropriate use
for the non-pneumatic spare tire including at a minimum the information
set forth in S8 (a) and (b) and either the information set forth in
S5.3.6 or a statement that the information set forth in S5.3.6 is
located on the vehicle placard and on the non-pneumatic tire;
(b) An instruction to drive carefully when the non-pneumatic spare
tire is in use, and to install the proper pneumatic tire and rim at the
first reasonable opportunity; and
(c) A statement that operation of the vehicle is not recommended with
more than one non-pneumatic spare tire in use at the same time.
S10 Non-Pneumatic Rims and Wheel Center Members
S10.1 Non-Pneumatic Rim Requirements. Each non-pneumatic rim that is
part of a separable non-pneumatic spare tire assembly shall be
constructed to the dimensions of a non-pneumatic rim that is listed
pursuant to S4.4 of 571.129 for use with the non-pneumatic tire,
designated by its non-pneumatic tire identification code, with which the
vehicle is equipped.
S10.2 Wheel Center Member Requirements. Each wheel center member
that is part of a separable non-pneumatic spare tire assembly shall be
constructed to the dimensions of a wheel center member that is listed
pursuant to S4.4 of 571.129 for use with the non-pneumatic tire,
designated by its non-pneumatic tire identification code, with which the
vehicle is equipped.
(Secs. 102, 119, and 202, Pub. L. 89-563, 80 Stat. 718 (15 U.S.C.
1392, 1407, and 1422); delegation of authority at 49 CFR 1.50)
(42 FR 7144, Feb. 7, 1977, as amended at 49 FR 20824, May 17, 1984;
54 FR 38386, Sept. 18, 1989; 55 FR 29589, July 20, 1990; 56 FR 19311,
Apr. 26, 1991)
49 CFR 571.121Standard No. 121; Air brake systems.
S1. Scope. This standard establishes performance and equipment
requirements for braking systems on vehicles equipped with air brake
systems.
S2. Purpose. The purpose of this standard is to insure safe braking
performance under normal and emergency conditions.
S3. Application. This standard applies to trucks, buses, and trailers
equipped with air brake systems. However, it does not apply to:
(a) Any trailer that has a width of more than 102.36 inches with
extendable equipment in the fully retracted position and is equipped
with two short track axles in a line across the width of the trailer.
(b) Any vehicle equipped with an axle that has a GAWR of 29,000
pounds or more;
(c) Any truck or bus that has a speed attainable in 2 miles of not
more than 33 mph;
(d) Any truck that has a speed attainable in 2 miles of not more than
45 mph, an unloaded vehicle weight that is not less than 95 percent of
its GVWR, and no capacity to carry occupants other than the driver and
operating crew;
(e) Any trailer that has a GVWR of more than 120,000 pounds and whose
body conforms to that described in the definition of Heavy hauler
trailer set forth in S4;
(f) Any trailer that has an unloaded vehicle weight which is not less
than 95 percent of its GVWR; and
(g) Any load divider dolly.
Notwithstanding any language to the contrary, sections S5.3.1,
S5.3.1.1, S5.3.2, S5.3.2.1, S5.3.2.2, S5.7.1, S5.7.3(a) and S5.7.3(b) of
this standard are not applicable to trucks and trailers, and section
S5.3.1 of this standard is not applicable to buses.
S4. Definitions.
Agricultural commodity trailer means a trailer that is designed to
transport bulk agricultural commodities in off-road harvesting sites and
to a processing plant or storage location, as evidenced by skeletal
construction that accommodates harvest containers, a maximum length of
28 feet, and an arrangement of air control lines and reservoirs that
minimizes damage in field operations.
Air brake system means a system that uses air as a medium for
transmitting pressure or force from the driver control to the service
brake, but does not include a system that uses compressed air or vacuum
only to assist the driver in applying muscular force to hydraulic or
mechanical components.
Antilock system means a portion of a service brake system that
automatically controls the degree of rotational wheel slip at one or
more road wheels of the vehicle during braking.
Auto transporter means a truck and a trailer designed for use in
combination to transport motor vehicles, in that the towing vehicle is
designed to carry cargo at a location other than the fifth wheel and to
load this cargo only by means of the towed vehicle.
Container chassis trailer means a semitrailer of skeleton
construction limited to a bottom frame, one or more axles, specially
built and fitted with locking devices for the transport of intermodal
shipping containers, so that when the chassis and container are
assembled, the units serve the same function as an over the road
trailer.
Heavy hauler trailer means a trailer which has one or more of the
following characteristics, but which is not a container chassis trailer:
(1) Its brake lines are designed to adapt to separation or extension
of the vehicle frame; or
(2) Its body consists only of a platform whose primary cargo-carrying
surface is not more than 40 inches above the ground in an unloaded
condition, except that it may include sides that are designed to be
easily removable and a permanent ''front end structure'' as that term is
used in 393.106 of this title.
Initial brake temperature means the average temperature of the
service brakes on the hottest axle of the vehicle 0.2 mile before any
brake application.
Intermodal shipping container means a reusable, transportable
enclosure that is especially designed with integral locking devices for
securing the container to the trailer to facilitate the efficient and
bulk shipping and transfer of goods by, or between various modes of
transport, such as highway, rail, sea and air.
Load divider dolly means a trailer composed of a trailer chassis and
one or more axles, with no solid bed, body, or container attached, and
which is designed exclusively to support a portion of the load on a
trailer or truck excluded from all the requirements of this standard.
Pulpwood trailer means a trailer that is designed exclusively for
harvesting logs or pulpwood and constructed with a skeletal frame with
no means for attachment of a solid bed, body, or container, and with an
arrangement of air control lines and reservoirs designed to minimize
damage in off-road operations.
Skid number means the frictional resistance of a pavement measured in
accordance with American Society for Testing and Materials Method
E-274-70 (as revised July 1974), at 40 m.p.h., omitting water delivery
as specified in paragraphs S7.1 and 7.2 of that method.
Straddle trailer means a trailer that is designed to transport bulk
agricultural commodities from the harvesting location as evidenced by a
framework that is driven over the cargo and lifting arms that suspend
the cargo for transit.
S5. Requirements. Each vehicle shall meet the following requirements
under the conditions specified in S6.
S5.1 Required equipment -- trucks and buses. Each truck and bus
shall have the following equipment:
S5.1.1 Air compressor. An air compressor of sufficient capacity to
increase air pressure in the supply and service reservoirs from 85
pounds per square inch (p.s.i.) to 100 p.s.i. when the engine is
operating at the vehicle manufacturer's maximum recommended r.p.m.
within a time, in seconds, determined by the quotient
(Actual reservoir capacity 25)/Required reservoir capacity.
S5.1.2 Reservoirs. One or more service reservoir systems, from which
air is delivered to the brake chambers, and either an automatic
condensate drain valve for each service reservoir or a supply reservoir
between the service reservoir system and the source of air pressure.
S5.1.2.1 The combined volume of all service reservoirs and supply
reservoirs shall be at least 12 times the combined volume of all service
brake chambers at maximum travel of the pistons or diaphragms. However,
the reservoirs on the truck portion of an auto transporter need not meet
this requirement.
S5.1.2.2 Each reservoir shall be capable of withstanding an internal
hydrostatic pressure of five times the compressor cutout pressure or 500
p.s.i., whichever is greater, for 10 minutes.
S5.1.2.3 Each service reservoir system shall be protected against
loss of air pressure due to failure or leakage in the system between the
service reservoir and the source of air pressure, by check valves or
equivalent devices whose proper functioning can be checked without
disconnecting any air line or fitting.
S5.1.2.4 Each reservoir shall have a condensate drain valve that can
be manually operated.
S5.1.3 Towing vehicle protection system. If the vehicle is intended
to tow another vehicle equipped with air brakes, a system to protect the
air pressure in the towing vehicle from the effects of a loss of air
pressure in the towed vehicle.
S5.1.4 Pressure gauge. A pressure gauge in each service brake
system, readily visible to a person seated in the normal driving
position, that indicates the service reservoir system air pressure. The
accuracy of the gauge shall be within plus or minus 7 percent of the
compressor cut-out pressure.
S5.1.5 Warning signal. A signal, other than a pressure gage, that
gives a continuous warning to a person in the normal driving position
when the ignition is in the ''on'' or ''run'' position and the air
pressure in the service reservoir system is below 60 p.s.i. The signal
shall be either visible within the driver's forward field of view, or
both audible and visible.
S5.1.6 Antilock warning signal. A signal on each vehicle equipped
with an antilock system that gives a continuous warning to a person in
the normal driving position when the ignition is in the ''on'' or
''run'' position in the event of a total electrical failure of the
antilock system. The signal shall be either visible within the driver's
forward field of view or both audible, for a duration of at least 10
seconds, and continuously visible. The signal shall operate in the
specified manner each time the ignition is returned to the ''on'' or
''run'' position.
S5.1.7 Service brake stop lamp switch. A switch that lights the stop
lamps when the service brake control is statically depressed to a point
that produces a pressure of 6 p.s.i. or less in the service brake
chambers.
S5.1.8 Brake distribution. Each vehicle shall be equipped with a
service brake system acting on all wheels.
S5.2 Required equipment -- trailers. Each trailer shall have the
following equipment:
S5.2.1 Reservoirs. One or more reservoirs to which the air is
delivered from the towing vehicle.
S5.2.1.1 A reservoir shall be provided that is capable, when
pressurized to 90 p.s.i., of releasing the vehicle's parking brakes at
least once and that is unaffected by a loss of air pressure in the
service brake system.
S5.2.1.2 Total service reservoir volume shall be at least eight times
the combined volume of all service brake chambers at maximum travel of
the pistons or diaphragms. However, the reservoirs on a heavy hauler
trailer and on the trailer portion of an auto transporter need not meet
this requirement.
S5.2.1.3 Each reservoir shall be capable of withstanding an internal
hydrostatic pressure of 500 p.s.i. for 10 minutes.
S5.2.1.4 Each reservoir shall have a condensate drain valve that can
be manually operated.
S5.2.1.5 Each service reservoir shall be protected against loss of
air pressure due to failure or leakage in the system between the service
reservoir and its source of air pressure by check valves or equivalent
devices.
S5.2.2 Brake distribution. Each trailer shall be equipped with a
service brake system acting on all wheels.
S5.3 Service brakes -- road tests. The service brake system on each
truck and bus shall, under the conditions of S6.1, meet the requirements
of S5.3.1, S5.3.3, and S5.3.4 when tested without adjustments other than
those specified in this standard. The service brake system on each
trailer shall, under the conditions of S6.1, meet the requirements of
S5.3.2, S5.3.3, and S5.3.4 when tested without adjustments other than
those specified in this standard. However, a heavy hauler trailer and
the truck and trailer portions of an auto transporter need not meet the
requirements of S5.3.
S5.3.1 Stopping distance -- trucks and buses. When stopped six times
for each combination of weight, speed, and road condition specified in
S5.3.1.1, in the sequence specified in Table I, the vehicle shall stop
at least once in not more than the distance specified in Table II,
measured from the point at which movement of the service brake control
begins, without any part of the vehicle leaving the roadway and without
lockup of any wheel at speeds above 10 mph except for:
(a) Controlled lockup of wheels allowed by an antilock system, or
(b) Lockup of wheels on nonsteerable axles other than the two
rearmost nonliftable, nonsteerable axles on a vehicle with more than two
nonsteerable axles.
49 CFR 571.121 Table I -- Stopping Sequence
1. Burnish.
2. Control trailer service brake stops at 60 mi/h (for truck-tractors
tested with a control trailer in accordance with S6.1.10.6).
3. Control trailer emergency brake stops at 60 mi/h (for
truck-tractors tested with a control trailer in accordance with
S6.1.10.7).
4. Stops with vehicle at gross vehicle weight rating:
(a) 20 mi/h service brake stops on skid number of 81.
(b) 60 mi/h service brake stops on skid number of 81.
(c) 20 mi/h service brake stops on skid number range 30.
(d) 20 mi/h emergency brake stops on skid number of 81.
(e) 60 mi/h emergency brake stops on skid number of 81.
5. Parking brake test with vehicle loaded to gross vehicle weight
rating.
6. Stops with vehicle at unloaded weight plus 500 lb:
(a) 20 mi/h service brake stops on skid number of 81.
(b) 60 mi/h service brake stops on skid number of 81.
(c) 20 mi/h service brake stops on skid number range 30.
(d) 20 mi/h emergency brake stops on skid number of 81.
(e) 60 mi/h emergency brake stops on skid number of 81.
7. Parking brake test with vehicle at unloaded weight plus 500 lb.
S5.3.1.1 Stop the vehicle from 60 m.p.h. and 20 m.p.h. on a surface
with a skid number of 81, and from 20 m.p.h. on a wet surface with a
skid number of 30, with the vehicle (a) loaded to its gross vehicle
weight rating, and (b) at its unloaded vehicle weight plus 500 pounds
(including driver and instrumentation). If the speed attainable in 2
miles is less than 60 m.p.h., the vehicle shall stop from a speed in
Table II that is 4 to 8 m.p.h. less than the speed attainable in 2
miles.
S5.3.2 Stopping capability -- trailers. When tested at each
combination of weight, speed, and road condition specified in S5.3.2.1,
in the sequence specified in Table I, with air pressure of 90 p.s.i. in
the control line and service reservoir system and with no application of
the towing vehicle's brakes, a trailer shall stop without any part of
the trailer leaving the roadway and without lockup of any wheel at
speeds above 10 m.p.h., except for
(a) Controlled lockup of wheels allowed by an antilock system, or
(b) Lockup of wheels on nonsteerable axles other than the two
rearmost nonliftable, nonsteerable axles on a trailer with more than two
nonsteerable axles, or
(c) In the case of an axle system having more than four wheels,
lockup of any wheel other than the outermost wheel at each end of the
axle system.
S5.3.2.1 Stop the vehicle from 60 m.p.h. and 20 m.p.h. on a surface
with skid number of 81, and from 20 m.p.h. on a wet surface with a skid
number of 30 with the vehicle (a) loaded to its gross vehicle weight
rating, and (b) at its unloaded vehicle weight plus 500 pounds
(including instrumentation).
S5.3.2.2 When stopped in accordance with S5.3.2, a pulpwood trailer
need not meet the requirements relating to wheel lockup, but must
nevertheless meet the requirements of staying within the 12-foot lane.
S5.3.3 Brake actuation time. Each service brake system shall meet
the requirements of S5.3.3.1, except that, at the option of the
manufacturer, vehicles manufactured before May 3, 1991 may meet the
requirements specified in either S5.3.3.2 or S5.3.3.3.
S5.3.3.1(a) With an initial service reservoir system air pressure of
100 p.s.i., the air pressure in each brake chamber shall, when measured
from the first movement of the service brake control, reach 60 p.s.i. in
not more than 0.45 second in the case of trucks and buses, 0.50 second
in the case of trailers, other than trailer converter dollies, designed
to tow another vehicle equipped with air brakes, 0.55 second in the case
of trailer converter dollies, and 0.60 second in the case of trailers
other than trailers designed to tow another vehicle equipped with air
brakes. A vehicle designed to tow another vehicle equipped with air
brakes shall meet the above actuation time requirement with a
50-cubic-inch test reservoir connected to the control line output
coupling. a trailer, including a trailer converter dolly, shall meet
the above actuation time requirement with its control line input
coupling connected to the test rig shown in Figure 1.
(b) For a vehicle that is manufactured after May 3, 1991 and is
designed to tow another vehicle equipped with air brakes, the pressure
in the 50-cubic-inch test reservoir referred to in S5.3.3.1(a) shall,
when measured from the first movement of the service brake control,
reach 60 p.s.i. not later than the time the fastest brake chamber on the
vehicle reaches 60 p.s.i. or, at the option of the manufacturer, in not
more than 0.35 second in the case of trucks and buses, 0.55 second in
the case of trailer converter dollies, and 0.50 second in the cae of
trailers other than trailer converter dollies.
S5.3.3.2 (Optional requirement for vehicles manufactured before May
3, 1991.) With an initial service reservoir system air pressure of 100
p.s.i., the air pressure in each brake chamber shall, when measured from
the first movement of the service brake control, reach 60 p.s.i. in not
more than 0.45 second in the case of trucks and buses, and 0.60 second
in the case of trailers. A vehicle designed to tow another vehicle
equipped air brakes shall meet the above actuation time requirement with
a 50-cubic-inch test reservoir connected to the control line output
coupling. A trailer, including a trailer converter dolly, shall meet
the above actuation time requirement with its control line input
coupling connected to the test rig shown in Figure 1.
S5.3.3.3 (Optional requirement for vehicles manufactured before May
3, 1991.) With an initial service reservoir system air pressure of 100
p.s.i., the air pressure in each brake chamber shall, when measured from
the first movement of the service brake control, reach 60 p.s.i. in not
more than 0.45 second in the case of trucks and buses, 0.35 second in
the case of trailer converter dollies, and 0.30 second in the case of
trailers other than trailer converter dollies. A vehicle designed to
tow another vehicle equipped with air brakes shall meet the above
actuation time requirement with a 50-cubic-inch test reservoir connected
to the control line output coupling. A trailer, including a trailer
converter dolly, shall meet the above actuation time requirement with
its control line input coupling connected to the test rig shown in
Figure 1(a).
S5.3.4 Brake release time. Each service brake system shall meet the
requirements of S5.3.4.1, except that, at the option of the
manufacturer, vehicles manufactured before May 3, 1991 may meet the
requirements specified in either S5.3.4.2 or S5.3.4.3.
S5.3.4.1(a) With an initial service brake chamber air pressure of 95
p.s.i., the air pressure in each brake chamber shall, when measured from
the first movement of the service brake control, fall to 5 p.s.i. in
not more than 0.55 second in the case of trucks and buses, 1.00 second
in the case of trailers, other than trailer converter dollies, designed
to tow another vehicle equipped with air brakes, 1.10 seconds in the
case of trailer converter dollies, and 1.20 seconds in the case of
trailers other than trailers designed to tow another vehicle equipped
with air brakes. A vehicle designated to tow another vehicle equipped
with air brakes shall meet the above release time requirement with a
50-cubic-inch test reservoir connected to the control line output
coupling. A trailer, including a trailer converter dolly, shall meet
the above release time requirement with its control line input coupling
connected to the test rig shown in Figure 1.
(b) For vehicles designed to tow another vehicle equipped with air
brakes, effective May 3, 1991, the pressure in the 50-cubic-inch test
reservior referred to in S5.3.4.1(a) shall, when measured from the first
movement of the service brake control, fall to 5 p.s.i. in not more than
0.75 seconds in the case of trucks and buses, 1.10 seconds in the case
of trailer converter dollies, and 1.00 seconds in the case of trailers
other than trailer converter dollies.
S5.3.4.2 (Optional requirement for vehicles manufactured before May
3, 1989.) With an initial service brake chamber air pressure of 95
p.s.i., the air pressure in each brake chamber shall, when measured from
the first movement of the service brake control, fall to 5 p.s.i. in
not more than 0.55 seconds in the case of trucks and buses, and 1.20
seconds in the case of trailers. A vehicle designed to tow another
vehicle equipped with air brakes shall meet the above release time
requirement with a 50-cubic-inch test reservoir connected to the control
line output coupling. A trailer, including a trailer converter dolly,
shall meet the above release time requirement with its control line
input coupling connected to the test rig shown in Figure 1.
S5.3.4.3 (Optional requirement for vehicles manufactured before May
3, 1991.) With an initial service brake chamber air pressure of 95
p.s.i., the air pressure in each brake chamber shall, when measured from
the first movement of the service brake control, fall to 5 p.s.i. in
not more than 0.55 seconds in the case of trucks and buses, and 0.65
seconds in the case of trailers. A vehicle designed to tow another
vehicle equipped with air brakes shall meet the above release time
requirement with a 50-cubic-inch test reservoir connected to the control
line output coupling. A trailer, including a trailer converter dolly,
shall meet the above release time requirement with its control line
input coupling connected to the test rig shown in Figure 1(a).
S5.4 Service brake system -- dynamometer tests. When tested without
prior road testing, under the conditions of S6.2, each brake assembly
shall meet the requirements of S5.4.1, S5.4.2, and S5.4.3 when tested in
sequence and without adjustments other than those specified in the
standard. For purposes of the requirements of S5.4.2 and S5.4.3, an
average deceleration rate is the change in velocity divided by the
deceleration time measured from the onset of deceleration.
S5.4.1 Brake retardation force. The sum of the retardation forces
exerted by the brakes on each vehicle designed to be towed by another
vehicle equipped with air brakes shall be such that the quotient
sum of the brake retardation forces/sum of GAWR's
relative to brake chamber air pressure, shall have values not less
than those shown in Column 1 of Table III. Retardation force shall be
determined as follows:
S5.4.1.1 After burnishing the brake pursuant to S6.2.6, retain the
brake assembly on the inertia dynamometer. With an initial brake
temperature between 125 F. and 200 F., conduct a stop from 50 m.p.h.,
maintaining brake chamber air pressure at a constant 20 p.s.i. Measure
the average torque exerted by the brake from the time the specified air
pressure is reached until the brake stops and divide by the static
loaded tire radius specified by the tire manufacturer to determine the
retardation force. Repeat the procedure six times, increasing the brake
chamber air pressure by 10 p.s.i. each time. After each stop, rotate
the brake drum or disc until the temperature of the brake falls to
between 125 F., and 200 F.
S5.4.2 Brake power. When mounted on an inertia dynamometer, each
brake shall be capable of making 10 consecutive decelerations at an
average rate of 9 f.p.s.p.s. from 50 m.p.h. to 15 m.p.h., at equal
intervals of 72 seconds, and shall be capable of decelerating to a stop
from 20 m.p.h. at an average deceleration rate of 14 f.p.s.p.s. 1 minute
after the 10th deceleration. The series of decelerations shall be
conducted as follows:
S5.4.2.1 With an initial brake temperature between 150 F. and 200
F. for the first brake application, and the drum or disc rotating at a
speed equivalent to 50 m.p.h., apply the brake and decelerate at an
average deceleration rate of 9 f.p.s.p.s. to 15 m.p.h. Upon reaching 15
m.p.h., accelerate to 50 m.p.h. and apply the brake for a second time 72
seconds after the start of the first application. Repeat the cycle
until 10 decelerations have been made. The service line air pressure
shall not exceed 100 p.s.i. during any deceleration.
S5.4.2.2 One minute after the end of the last deceleration required
by S5.4.2.1 and with the drum or disc rotating at a speed of 20 m.p.h.,
decelerate to a stop at an average deceleration rate of 14 f.p.s.p.s.
S5.4.3 Brake recovery. Starting 2 minutes after completing the tests
required by S5.4.2, the brake of a vehicle other than either front axle
brake of a truck-tractor shall be capable of making 20 consecutive stops
from 30 mph at an average deceleration rate of 12 ft/s/s, at equal
intervals of 1 minute measured from the start of each brake application.
The service line air pressure needed to attain a rate of 12 ft/s/s
shall be not more than 85 lb/in2, and not less than 20 lb/in2 for a
brake not subject to the control of an antilock system, or 12 lb/in2 for
brake subject to the control of an antilock system.
S5.5 Antilock system.
S5.5.1 Antilock system failure. On a vehicle equipped with an
antilock system, electrical failure of any part of the antilock system
shall not increase the actuation and release times of the service
brakes.
S5.5.2 Antilock system power -- trailers. On a trailer equipped with
an antilock system that requires electrical power for operation, the
power shall be obtained from the stop lamp circuit. Additional circuits
may also be used to obtain redundant sources of electrical power.
S5.6 Parking brake system. Each vehicle other than a trailer
converter dolly shall have a parking brake system that under the
conditions of S6.1 meets the requirements of S5.6.1 or S5.6.2, at the
manufacturer's option, and the requirements of S5.6.3, S5.6.4, S5.6.5,
and S5.6.6. However, the trailer portion of any agricultural commodity
trailer, heavy hauler trailer, or pulpwood trailer, shall meet the
requirements of this section, or, at the option of the manufacturer, the
requirements of 393.43 of this title.
S5.6.1 Static retardation force. With all other brakes rendered
inoperative, during a static drawbar pull in a forward or rearward
direction, the static retardation force produced by the application of
the parking brakes shall be:
(a) In the case of a vehicle other than a truck-tractor that is
equipped with more than two axles, such that the quotient
is not less than 0.28 for any axle other than a steerable front axle;
and
(b) In the case of a truck-tractor that is equipped with more than
two axles, such that the quotient
is not less than 0.14.
S5.6.2 Grade holding. With all parking brakes applied, the vehicle
shall remain stationary facing uphill and facing downhill on a smooth,
dry portland cement concrete roadway with a 20-percent grade, both (a)
when loaded to its gross vehicle weight rating, and (b) at its unloaded
vehicle weight plus 500 pounds (including driver and instrumentation).
S5.6.3 Application and holding. Each parking brake system shall meet
the requirements of S5.6.3.1 through S5.6.3.4, except that, at the
option of the manufacturer, the parking brake system in each vehicle
manufactured before December 9, 1991 may meet either those requirements
or the requirements specified in S5.6.3.5.
S5.6.3.1 The parking brake system shall be capable of achieving the
minimum performance specified either in S5.6.1 or S5.6.2 with any single
leakage-type failure, in any other brake system, of a part designed to
contain compressed air or brake fluid (excluding failure of a component
of a brake chamber housing but including failure of any brake chamber
diaphragm that is part of any other brake system including a diaphragm
which is common to the parking brake system and any other brake system),
when the pressures in the vehicle's parking brake chambers are at the
levels determined in S5.6.3.4.
S5.6.3.2 A mechanical means shall be provided that, after a parking
brake application is made with the pressures in the vehicle's parking
brake chambers at the levels determined in S5.6.3.4, and all air and
fluid pressures in the vehicle's braking systems are then bled down to
zero, and without using electrical power, holds the parking brake
application with sufficient parking retardation force to meet the
minimum performance specified in S5.6.3.1 and in either S5.6.1 or
S5.6.2.
S5.6.3.3 For trucks and buses, with an initial reservoir system
pressure of 100 psi and, if designed to tow a vehicle equipped with air
brakes, with a 50 cubic inch test reservoir connected to the supply line
coupling, no later than three seconds from the time of actuation of the
parking brake control, the mechanical means referred to in S5.6.3.2
shall be actuated. For trailers, with the supply line initially
pressurized to 100 psi using the supply line portion of the trailer test
rig (Figure 1) and, if designed to tow a vehicle equipped with air
brakes, with a 50 cubic inch test reservoir connected to the rear supply
line coupling, no later than three seconds from the time venting to the
atmosphere of the front supply line coupling is initiated, the
mechanical means referred to in S5.6.3.2 shall be actuated. This
requirement shall be met for trucks, buses and trailers both with and
without any single leakage-type failure, in any other brake system, of a
part designed to contain compressed air or brake fluid (excluding
failure of a component of a brake chamber housing but including failure
of any brake chamber diaphragm that is part of any other brake system
including a diaphragm which is common to the parking brake system and
any other brake system).
S5.6.3.4 The parking brake chamber pressures for S5.6.3.1 and
S5.6.3.2 are determined as follows. For trucks and buses, with an
initial reservoir system pressure of 100 psi and, if designed to tow a
vehicle equipped with air brakes, with a 50 cubic inch test reservoir
connected to the supply line coupling, any single leakage type failure,
in any other brake system, of a part designed to contain compressed air
or brake fluid (excluding failure of a component of a brake chamber
housing but including failure of any brake chamber diaphragm that is
part of any other brake system including a diaphragm which is common to
the parking brake system and any other brake system), is introduced in
the brake system. The parking brake control is actuated and the
pressures in the vehicle's parking brake chambers are measured three
seconds after that actuation is initiated. For trailers, with the
supply line initially pressurized to 100 psi using the supply line
portion of the trailer test rig (Figure 1) and, if designed to tow a
vehicle equipped with air brakes, with a 50 cubic inch test reservoir
connected to the rear supply line coupling, any single leakage type
failure, in any other brake system, of a part designed to contain
compressed air or brake fluid (excluding failure of a component of a
brake chamber housing but including failure of any brake chamber
diaphragm that is part of any other brake system including a diaphragm
which is common to the parking brake system and any other brake system),
is introduced in the brake system. The front supply line coupling is
vented to the atmosphere and the pressures in the vehicle's parking
brake chambers are measured three seconds after that venting is
initiated.
S5.6.3.5 Optional requirement for vehicles manufactured before
December 9, 1991. The parking brake system shall be capable of
achieving the minimum performance specified either in S5.6.1 or S5.6.2
with any single leakage-type failure, in any other brake system, of a
part designed to contain compressed air or brake fluid (excluding
failure of a component of a brake chamber housing but including failure
of any brake chamber diaphragm that is part of any other brake system
including a diaphragm which is common to the parking brake system and
any other brake system). Once applied, the parking brakes shall be held
in the applied position solely by mechanical means.
S5.6.4 Parking brake control -- trucks and buses. The parking brake
control shall be separate from the service brake control. It shall be
operable by a person seated in the normal driving position. The control
shall be identified in a manner that specifies the method of control
operation. The parking brake control shall control the parking brakes
of the vehicle and of any air braked vehicle that it is designed to tow.
S5.6.5 Release Performance. Effective December 9, 1991, each parking
brake system shall meet the requirements specified in S5.6.5.1 through
S5.6.5.4.
S5.6.5.1 For trucks and buses, with initial conditions as specified
in S5.6.5.2, at all times after an application actuation of the parking
brake control, and with any subsequent level of pressure, or combination
of levels of pressure, in the reservoirs of any of the vehicle's brake
systems, no reduction in parking brake retardation force shall result
from a release actuation of the parking brake control unless the parking
brakes are capable, after such release, of being reapplied at a level
meeting the minimum performance specified either in S5.6.1 or S5.6.2.
This requirement shall be met both with and without the engine on, and
with and without single leakage-type failure, in any other brake system,
of a part designed to contain compressed air or brake fluid (excluding
failure of a component of a brake chamber housing but including failure
of any brake chamber diaphragm that is part of any other brake system
including a diaphragm which is common to the parking brake system and
any other brake system).
S5.6.5.2 The initial conditions for S5.6.5.1 are as follows. The
reservoir system pressure is 100 psi. If the vehicle is designed to tow
a vehicle equipped with air brakes, a 50 cubic inch test reservoir is
connected to the supply line coupling.
S5.6.5.3 For trailers, with initial conditions as specified in
S5.6.5.4, at all times after actuation of the parking brakes by venting
the front supply line coupling to the atmosphere, and with any
subsequent level of pressure, or combination of levels of pressure, in
the reservoirs of any of the vehicle's brake systems, the parking brakes
shall not be releasable by repressurizing the supply line using the
supply line portion of the trailer test rig (Figure 1) to any pressure
above 70 psi, unless the parking brakes are capable, after such release,
of reapplication by subsequent venting of the front supply line coupling
to the atmosphere, at a level meeting the minimum performance specified
either in S5.6.1 or S5.6.2. This requirement shall be met both with and
without any single leakage-type failure, in any other brake system, of a
part designed to contain compressed air or brake fluid (excluding
failure of a component of a brake chamber housing but including failure
of any brake chamber diaphragm that is part of any other brake system
including a diaphragm which is common to the parking brake system and
any other brake system).
S5.6.5.4 The initial conditions for S5.6.5.3 are as follows. The
reservoir system and supply line are pressurized to 100 psi, using the
supply line portion of the trailer test rig (Figure 1). If the vehicle
is designed to tow a vehicle equipped with air brakes, a 50 cubic inch
test reservoir is connected to the rear supply line coupling.
S5.6.6 Accumulation of Actuation Energy. Effective December 9, 1991,
each parking brake system shall meet the requirements specified in
S5.6.6.1 through S5.6.6.6.
S5.6.6.1 For trucks and buses, with initial conditions as specified
in S5.6.6.2, the parking brake system shall be capable of meeting the
minimum performance specified either in S5.6.1 or S5.6.2, with any
single leakage-type failure, in any other brake system, of a part
designed to contain compressed air or brake fluid (excluding failure of
a component of a brake chamber housing but including failure of any
brake chamber diaphragm that is part of any other brake system including
a diaphragm which is common to the parking brake system and any other
brake system), at the conclusion of the test sequence specified in
S5.6.6.3.
S5.6.6.2 The initial conditions for S5.6.6.1 are as follows. The
engine is on. The reservoir system pressure is 100 psi. If the vehicle
is designed to tow a vehicle equipped with air brakes, a 50 cubic inch
test reservoir is connected to the supply line coupling.
S5.6.6.3 The test sequence for S5.6.6.1 is as follows. The engine is
turned off. Any single leakage type failure, in any other brake system,
of a part designed to contain compressed air or brake fluid (excluding
failure of a component of a brake chamber housing but including failure
of any brake chamber diaphragm that is part of any other brake system
including a diaphragm which is common to the parking brake system and
any other brake system), is then introduced in the brake system. An
application actuation of the parking brake control is then made. Thirty
seconds after such actuation, a release actuation of the parking brake
control is made. Thirty seconds after the release actuation, a final
application actuation of the parking brake control is made.
S5.6.6.4 For trailers, with initial conditions as specified in
S5.6.6.5, the parking brake system shall be capable of meeting the
minimum performance specified either in S5.6.1 or S5.6.2, with any
single leakage-type failure, in any other brake system, of a part
designed to contain compressed air or brake fluid (excluding failure of
a component of a brake chamber housing but including failure of any
brake chamber diaphragm that is part of any other brake system including
a diaphragm which is common to the parking brake system and any other
brake system), at the conclusion of the test sequence specified in
S5.6.6.6.
S5.6.6.5 The initial conditions for S5.6.6.4 are as follows. The
reservoir system and supply line are pressurized to 100 psi, using the
supply line portion of the trailer test rig (Figure 1). If the vehicle
is designed to tow a vehicle equipped with air brakes, a 50 cubic inch
test reservoir is connected to the rear supply line coupling.
S5.6.6.6 The test sequence for S5.6.6.4 is as follows. Any single
leakage type failure, in any other brake system, of a part designed to
contain compressed air or brake fluid (excluding failure of a component
of a brake chamber housing but including failure of any brake chamber
diaphragm that is part of any other brake system including a diaphragm
which is common to the parking brake system and any other brake system),
is introduced in the brake system. The front supply line coupling is
vented to the atmosphere. Thirty seconds after the initiation of such
venting, the supply line is repressurized with the trailer test rig
(Figure 1). Thirty seconds after the initiation of such repressurizing
of the supply line, the front supply line is vented to the atmosphere.
This procedure is conducted either by connection and disconnection of
the supply line coupling or by use of a valve installed in the supply
line portion of the trailer test rig near the supply line coupling.
S5.7 Emergency brake system-trucks and buses. Each vehicle shall be
equipped with an emergency brake system which, under the conditions of
S6.1, conforms to the requirements of S5.7.1 through S5.7.3. However,
the truck portion of an auto transporter need not meet the road test
requirements of S5.7.1 and S5.7.3.
S5.7.1 Emergency brake system performance. When stopped six times
for each combination of weight and speed specified in S5.3.1.1 on a road
surface with a skid number of 81, with a single failure in the service
brake system of a part designed to contain compressed air or brake fluid
(except failure of a common valve, manifold, brake fluid housing, or
brake chamber housing), the vehicle shall stop at least once in not more
than the distance specified in Column 3 of Table II, measured from the
point at which movement of the service brake control begins, without any
part of the vehicle leaving the roadway, except that a truck-tractor
tested at its unloaded vehicle weight plus 500 pounds shall stop at
least once in not more than the distance specified in Column 4 of Table
II.
S5.7.2 Emergency brake system operation. The emergency brake system
shall be applied and released, and be capable of modulation, by means of
the service brake control.
S5.7.3 Towing vehicle emergency brake requirements. In addition to
meeting the other requirements of S5.7, a vehicle designed to tow
another vehicle equipped with air brakes shall --
(a) In the case of a truck-tractor in the unloaded condition and a
single unit truck which is capable of towing an airbrake equipped
vehicle and is loaded to gross vehicle weight rating, be capable of
meeting the requirements of S5.7.1 by operation of the service brake
control only, with the trailer air supply line and air control line from
the towing vehicle vented to the atmosphere in accordance with S6.1.14;
(b) In the case of a truck-tractor loaded to gross vehicle weight
rating, be capable of meeting S5.7.1 by operation of the service brake
control only, with the air control line from the towing vehicle vented
to the atmosphere in accordance with S6.1.14; and
(c) Be capable of modulating the air in the supply or control line to
the trailer by means of the service brake control with a single failure
in the towing vehicle service brake system as specified in S5.7.1.
S5.8 Emergency braking capability -- trailers. Each trailer other
than a trailer converter dolly shall have a parking brake system that
conforms to S5.6 and that applies with the force specified in S5.6.1 or
S5.6.2 when the air pressure in the supply line is at atmospheric
pressure. A trailer converter dolly shall have, at the manufacturer's
option, (a) a parking brake system that conforms to S5.6 and that
applies with the force specified in S5.6.1 or S5.6.2 when the air
pressure in the supply line is at atmospheric pressure, or (b) an
emergency system that automatically controls the service brakes when the
service reservoir is at any pressure above 20 lb/in2 and the supply line
is at atmospheric pressure. However, the trailer portion of an auto
transporter manufactured before January 1, 1980, and any agricultural
commodity trailer, heavy hauler trailer, or pulpwood trailer shall meet
the requirements of this section or, at the option of the manufacturer,
the requirements of 393.43 of this title.
S6 Conditions. The requirements of S5 shall be met by a vehicle when
it is tested according to the conditions set forth below, without
replacing any brake system part or making any adjustments to the brake
system except as specified. Unless otherwise specified, where a range
of conditions is specified, the vehicle must be capable of meeting the
requirements at all points within the range. On vehicles equipped with
automatic brake adjusters, the automatic brake adjusters must remain
activated at all times. Compliance of vehicles manufactured in two or
more stages may, at the option of the final-stage manufacturer, be
demonstrated to comply with this standard by adherence to the
instructions of the incomplete vehicle manufacturer provided with the
vehicle in accordance with 568.4(a)(7)(ii) and 568.5 of title 49 of
the Code of Federal Regulations.
S6.1 Road test conditions.
S6.1.1. Except as otherwise specified, the vehicle is loaded to its
gross vehicle weight rating, distributed proportionally to its gross
axle weight ratings. During the burnish procedure specified in S6.1.8,
truck tractors shall be loaded to their GVWR, by coupling them to an
unbraked flatbed semitrailer, which semitrailer shall be loaded so that
the weight of the tractor-trailer combination equals the GVWR of the
truck tractor. The load on the unbraked flatbed semitrailer shall be
located so that the truck tractor's wheels do not lock during burnish.
S6.1.2 The inflation pressure is as specified by the vehicle
manufacturer for the gross vehicle weight rating.
S6.1.3 Unless otherwise specified, the transmission selector control
is in neutral or the clutch is disengaged during all decelerations and
during static parking brake tests.
S6.1.4 All vehicle openings (doors, windows, hood, trunk, cargo
doors, etc.) are in a closed position except as required for
instrumentation purposes.
S6.1.5 The ambient temperature is between 32 F. and 100 F.
S6.1.6 The wind velocity is zero.
S6.1.7 Unless otherwise specified, stopping tests are conducted on a
12-foot wide level, straight roadway having a skid number of 81. The
vehicle is alined in the center of the roadway at the beginning of a
stop.
S6.1.8 The brakes are burnished before testing in accordance with
S6.1.8.1. However, for vehicles with parking brake systems not utilizing
the service brake friction elements, burnish the friction elements of
such systems prior to the parking bake test according to the
manufacturer's recommendations.
S6.1.8.1 Vehicles manufactured before September 1, 1993 may be
burnished according to the procedures set forth in S6.1.8.1(a) or
S6.1.8.1(b) of this section, at the manufacturers option. Vehicles
manufactured on or after September 1, 1993 shall be burnished according
to the procedures set forth in S6.1.8.1(b) of this section.
(a) With the transmission in the highest gear appropriate for the
series given in Table IV, make 500 brake applications at a decleration
rate of 10 fsps, or at the vehicles maximum deceleration rate if less
than 10 fsps, in the sequence specified. Except where an adjustment is
specified, after each brake application accelerate to the next speed
specified 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 a vehicle cannot attain any speed specified in 1
mile, continue to accelerate until the specified speed is reached or
until the vehicle has traveled 1.5 miles from the initial point of the
previous brake application, whichever occurs first. If during any of
the brake applications specified in Table IV the hottest brake reaches
550 F, make the remainder of the 500 brake applications from that snub
condition, except that a higher or lower snub condition shall be used as
necessary to maintain an after-stop temperature of 500 F 50 F.
However, if at a snub condition of 40 to 20 mph, the temperature of the
hottest brake exceeds 550 F, make the remainder of the 500 brake
applications from that snub condition, without regard to brake
temperature. The brakes shall be adjusted three times during the
burnish procedure, after 125, 250, and 375 snubs and after completing
this burnish, with each adjustment made in accordance with the
manufacturer's recommendations. Any automatic pressure limiting valve
is in use to limit pressure as designed, except that any automatic front
axle pressure limiting valve is bypassed if the temperature of the
hottest brake on a rear axle exceeds the temperature of the hottest
brake on a front axle by more than 125 F. A bypassed valve is
reconnected if the temperature of the hottest brake on a front axle
exceeds the temperature of the hottest brake on a rear axle by 100 F or
more.
(b) With the transmission in the highest gear appropriate for a speed
of 40 mph, make 500 snubs between 40 mph and 20 mph at a deceleration
rate of 10 fsps, or at the vehicle's maximum deceleration rate if less
than 10 fsps. 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 mile, continue to accelerate until the vehicle reaches 40
mph or until the vehicle has traveled 1.5 miles from the initial point
of the previous brake application, whichever occurs first. Any
automatic pressure limiting valve is in use to limit pressure as
designed. The brakes shall be adjusted three times during the burnish
procedure, in accordance with the manufacturer's recommendations, after
125, 250, and 375 snubs, and shall be adjusted after burnish in
accordance with the manufacturer's recommendations.
S6.1.9 Static parking brake tests for a semitrailer are conducted
with the front-end supported by an unbraked dolly. The weight of the
dolly is included as part of the trailer load.
S6.1.10 In a test other than a static parking brake test, a
truck-tractor is tested at its gross vehicle weight rating by coupling
it to a flatbed semitrailer (hereafter, control trailer) as specified in
S6.1.10.1 to S6.1.10.7.
S6.1.10.1 The control trailer conforms to this standard.
S6.1.10.2 The center of gravity of the loaded control trailer is on
the trailer's longitudinal centerline at a height of 66 3 in. above the
ground.
S6.1.10.3 For a truck-tractor with a rear axle gross axle weight
rating of 26,000 lb or less, the control trailer has a single axle with
a gross axle weight rating of 18,000 lb and a length, measured from the
transverse centerline of the axle to the centerline of the kingpin, of
258 6 in.
S6.1.10.4 For a truck-tractor with a total rear axle gross axle
weight rating of more than 26,000 lb the control trailer has a tandem
axle with a combined gross axle weight rating of 32,000 lb and a length,
measured from the transverse centerline between the axles to the
centerline of the kingpin, of 390 6 in.
S6.1.10.5 The control trailer is loaded so that its axle is loaded to
its gross axle weight rating and the tractor is loaded to its gross
vehicle weight rating, with the tractor's fifth wheel adjusted so that
the load on each axle measured at the tire-ground interface is most
nearly proportional to the axles' respective gross axle weight ratings.
S6.1.10.6 Test equipment specification. The control trailer's
service brakes are capable of stopping the combination from the maximum
speed at which the tractor is tested, under the conditions of S6.1,
without assistance from the tractor brakes, in the distance found by
multiplying the value 68, 90, 115, 143, 174, 208, or 245 (corresponding
to a speed of 30, 35, 40, 45, 50, 55, or 60 mph as appropriate for the
truck-tractor tested) by the ratio:
weight on all axles of combination/weight on trailer axles
with the tractor's fifth wheel adjusted as specified in S6.1.10.5,
the trailer service reservoirs pressurized to 100 lb/in2, and the
trailer loaded so that its axle is at gross axle weight rating and its
kingpin is at empty vehicle weight. The stopping distance is measured
from the point at which movement of the valve controlling the trailer
brakes begins. The service brake chambers on the trailer reach 60
lb/in2 in not less than 0.20 second and not more than 0.30 second,
measured from the instant at which movement of the valve controlling the
trailer brakes begins.
S6.1.10.7 Test equipment specification. The control trailer's
emergency brakes are capable of stopping the combination under the
conditions of S6.1 from the maximum speed at which the tractor is
tested, without assistance from the tractor's brakes, in the distance
found by multiplying the emergency brake stopping distance in column 3
of table II by the ratio:
weight on all axles of combination/weight on trailer axles
with the combination loaded in accordance with S6.1.10.5. Stopping
distance is measured from the point at which movement of the valve
controlling the trailer brakes begins. The pressure in trailer brakes
begins. In the case of control trailers that utilize parking brakes for
emergency stopping capability, the pressure in the trailer's spring
parking brake chambers falls from 95 lb/in2 to 5 lb/in2 in not less than
0.50 second and not more than 0.60 second, measured from the instant at
which movement of the valve controlling the trailer's spring parking
brakes begins.
S6.1.11 Special drive conditions. A vehicle equipped with an
interlocking axle system or a front wheel drive system that is engaged
and disengaged by the driver is tested with the system disengaged.
S6.1.12 Liftable axles. A vehicle with a liftable axle is tested at
gross vehicle weight rating with the liftable axle down and at unloaded
vehicle weight with the liftable axle up.
S6.1.13 Trailer test rig.
(a) The trailer test rig shown in Figure 1 is calibrated in
accordance with the calibration curves shown in Figure 3. For the
requirements of S5.3.3.1 and S5.3.4.1, the pressure in the trailer test
rig reservoir is initially set at 100 p.s.i. for actuation tests and 95
p.s.i. for release tests.
(b) The trailer test rig shown in Figure 1(a) is capable of
increasing the pressure in a 50 cubic inch reservoir from atmospheric to
60 lb/in /2/ in 0.06 second, measured from the first movement of the
service brake control to apply service brake pressure and of releasing
pressure in such a reservoir from 95 to 5 lb/in /2/ in 0.22 second
measured from the first movement of the service brake control to release
service brake pressure.
S6.1.14 In testing the emergency braking system of towing vehicles
under S5.7.3(a) and S5.7.3(b), the hose(s) is vented to the atmosphere
at any time not less than 1 second and not more than 1 minute before the
emergency stop begins, while the vehicle is moving at the speed from
which the stop is to be made and any manual control for the towing
vehicle protection system is in the position to supply air and brake
control signals to the vehicle being towed. No brake application is
made from the time the line(s) is vented until the emergency stop begins
and no manual operation of the parking brake system or towing vehicle
protection system occurs from the time the line(s) is vented until the
stop is completed.
S6.2 Dynamometer test conditions.
S6.2.1 The dynamometer inertia for each wheel is equivalent to the
load on the wheel with the axle loaded to its gross axle weight rating.
For a vehicle having additional gross axle weight ratings specified for
operation at reduced speeds, the GAWR used is that specified for a speed
of 50 mph, or, at the option of the manufacturer, any speed greater than
50 mph.
S6.2.2 The ambient temperature is between 75 F. and 100 F.
S6.2.3 Air at ambient temperature is directed uniformly and
continuously over the brake drum or disc at a velocity of 2,200 feet per
minute.
S6.2.4 The temperature of each brake is measured by a single
plug-type thermocouple installed in the center of the lining surface of
the most heavily loaded shoe or pad as shown in Figure 2. The
thermocouple is outside any center groove.
S6.2.5 The rate of brake drum or disc rotation on a dynamometer
corresponding to the rate of rotation on a vehicle at a given speed is
calculated by assuming a tire radius equal to the static loaded radius
specified by the tire manufacturer.
S6.2.6 Brakes are burnished before testing as follows: Place the
brake assembly on an inertia dynamometer and adjust the brake as
recommended by the brake manufacturer. Make 200 stops from 40 m.p.h.
at a deceleration of 10 f.s.p.s., with an initial brake temperature on
each stop of not less than 315 F and not more than 385 F. Make 200
additional stops from 40 m.p.h. at a deceleration of 10 f.s.p.s. with an
initial brake temperature on each stop of not less than 450 F and not
more than 550 F. The brakes shall be adjusted three times during the
burnish procedure, after 100, 200, and 300 stops, and at the conclusion
of the burnishing, in accordance with the manufacturer's
recommendations.
S6.2.7 The brake temperature is increased to a specified level by
conducting one or more stops from 40 m.p.h. at a deceleration of 10
f.p.s.p.s. The brake temperature is decreased to a specified level by
rotating the drum or disc at a constant 30 m.p.h.
Insert Illus. 0378
Insert ILLUS. 86A
Insert ILLUS. 87A
Insert Illus. 0163
(Secs. 102, 103, 119, Pub. L. 89-563, 80 Stat. 718 (15 U.S.C. 1391,
1392, 1407); delegation of authority at 49 CFR 1.50 and 501.8)
(41 FR 29703, July 19, 1976)
Editorial Note: For Federal Register citations affecting 571.121,
see the List of CFR Sections Affected in the Finding Aids section of
this volume.
Effective Date Note: At 56 FR 26931, June 12, 1991, 571.121 was
amended by revising sections S5.6 introductory text, S5.6.3 through
S5.6.3.5, and Figure 1, and by adding sections S5.6.5 through S5.6.5.4
and S5.6.6 through 5.6.6.6, effective December 9, 1991. For the
convenience of the user, the superseded text follows:
571.121 Standard No. 121; Air brake systems.
S5.6 Parking brake system. Each vehicle other than a trailer
converter dolly shall have a parking brake system that under the
conditions of S6.1 meets the requirements of S5.6.1 or S5.6.2, at the
manufacturer's option, and the requirements of S5.6.3 and S5.6.4.
However, any agricultural commodity trailer, heavy hauler trailer, or
pulpwood trailer shall meet the requirements of this section or, at the
option of the manufacturer, the requirements of 393.43 of this title.
S5.6.3 Application and holding. Each parking brake system shall meet
the requirements of S5.6.3.1 through S5.6.3.4, except that, at the
option of the manufacturer, vehicles manufactured before September 7,
1991 may meet the requirements specified in S5.6.3.5.
S5.6.3.1 The parking brake system shall be capable of achieving the
minimum performance specified either in S5.6.1 or S5.6.2 with any single
leakage-type failure, in any other brake system, of a part designed to
contain compressed air or brake fluid (except failure of a component of
a brake chamber housing).
S5.6.3.2 For trucks and buses, with an initial reservoir system
pressure of 100 psi and, if designed to tow a vehicle equipped with air
brakes, with a 50 cubic inch test reservoir connected to the supply line
coupling, at all times after three seconds from the time of actuation of
the parking brake control, the parking brake system shall achieve the
minimum parking retardation performance specified in S5.6.3.1. For
trailers, with an initial supply line pressure of 100 psi and, if
designed to tow a vehicle equipped with air brakes, with a 50 cubic inch
test reservoir connected to the supply line coupling, at all times after
three seconds from the time venting to the atmosphere of the front
supply line connection is initiated, the parking brake system shall
achieve the minimum retardation performance specified in S5.6.3.1.
S5.6.3.3 A mechanical means shall be provided which is capable, with
zero air pressure and zero fluid pressure in the vehicle and without
electrical power, of holding the parking brake application at a level
meeting the minimum parking retardation performance specified in
S5.6.3.1.
S5.6.3.4 For trucks and buses, with an initial reservoir system
pressure of 100 psi and, if designed to tow a vehicle equipped with air
brakes, with a 50 cubic inch test reservoir connected to the supply line
coupling, no later than three seconds from the time of operation of the
parking brake control, the mechanical means referred to in S5.6.3.3
shall be actuated. For trailers, with an initial supply line pressure
of 100 psi and, if designed to tow a vehicle equipped with air brakes,
with a 50 cubic inch test reservoir connected to the supply line
coupling, no later than three seconds from the time venting to the
atmosphere of the front supply line connection is initiated, the
mechanical means referred to in S5.6.3.3 shall be actuated.
S5.6.3.5 (Optional requirement for vehicles manufactured before
September 7, 1991). The parking brake system shall be capable of
achieving the minimum performance specified either in S5.6.1 or S5.6.2
with any single leakage-type failure, in any other brake system, of a
part designed to contain compressed air or brake fluid (except failure
of a component of a brake chamber housing). Once applied, the parking
brakes shall be held in the applied position solely by mechanical means.
Insert Illus. 0161
49 CFR 571.122Standard No. 122; Motorcycle brake systems.
S1. Scope. This standard specifies performance requirements for
motorcycle brake systems.
S2. Purpose. The purpose of the standard is to insure safe motorcycle
braking performance under normal and emergency conditions.
S3. Application. This standard applies to motorcycles.
S4. Definitions.
Braking interval means the distance measured from the start of one
brake application to the start of the next brake application.
Initial brake temperature means the temperature of the hottest
service brake of the vehicle 0.2 mile before any brake application.
Skid number means the frictional resistance of a pavement measured in
accordance with American Society for Testing and Materials (ASTM) Method
E-274-70 (as revised July, 1974) at 40 mph, omitting water delivery as
specified in paragraphs 7.1 and 7.2 of that method.
Stopping distance means the distance traveled by a vehicle from the
start of the brake application to the point where the vehicle stops.
Split service brake system means a brake system consisting of two or
more subsystems actuated by a single control designed so that a
leakage-type failure of a pressure component in a single subsystem
(except structural failure of a housing that is common to all
subsystems) shall not impair the operation of the other subsystem(s).
S5. Requirements. Each motorcycle shall meet the following
requirements under the conditions specified in S6, when tested according
to the procedures and in the sequence specified in S7. Corresponding
test procedures of S7 are indicated in parentheses. If a motorcycle is
incapable of attaining a specified speed, its service brakes shall be
capable of stopping the vehicle from the multiple of 5 m.p.h. that is 4
m.p.h. to 8 m.p.h. less than the speed attainable in 1 mile, within
stopping distances that do not exceed the stopping distances specified
in Table 1.
S5.1 Required equipment -- split service brake system. Each
motorcycle shall have either a split service brake system or two
independently actuated service brake systems.
S5.1.1 Mechanical service brake system. Failure of any component in
a mechanical service brake system shall not result in a loss of braking
ability in the other service brake system on the vehicle.
S5.1.2 Hydraulic service brake system. A leakage failure in a
hydraulic service brake system shall not result in a loss of braking
ability in the other service brake system on the vehicle. Each
motorcycle equipped with a hydraulic brake system shall have the
equipment specified in S5.1.2.1 and S5.1.2.2.
S5.1.2.1 Master cylinder reservoirs. Each master cylinder shall have
a separate reservoir for each brake circuit, with each reservoir filler
opening having its own cover, seal, and cover retention device. Each
reservoir shall have a minimum capacity equivalent to one and one-half
times the total fluid displacement resulting when all the wheel
cylinders or caliper pistons serviced by the reservoir move from a new
lining, fully retracted position to a fully worn, fully applied
position. Where adjustment is a factor, the worst condition of
adjustment shall be used for this measurement.
S5.1.2.2 Reservoir labeling. Each motorcycle shall have a brake
fluid warning statement that reads as follows, in letters at least three
thirty-seconds of an inch high:
Warning: Clean filler cap before removing. Use only -------- fluid
from a sealed container. (Inserting the recommended type of brake fluid
as specified in 49 CFR 571.116, e.g., DOT 3.)
The lettering shall be: --
(a) Permanently affixed, engraved, or embossed;
(b) Located so as to be visible by direct view, either on or within 4
inches of the brake-fluid reservoir filler plug or cap; and
(c) Of a color that contrasts with its background, if it is not
engraved or embossed.
S5.1.3 Split service brake system. In addition to the equipment
required by S5.1.2 each motorcycle equipped with a split service brake
system shall have a failure indicator lamp as specified in S5.1.3.1.
S5.1.3.1 Failure indicator lamp.
(a) One or more electrically operated service brake system failure
indicator lamps that is mounted in front of and in clear view of the
driver, and that is activated --
(1) In the event of pressure failure in any part of the service brake
system, other than a structural failure of either a brake master
cylinder body in a split integral body type master cylinder system or a
service brake system failure indicator body, before or upon application
of not more than 20 pounds of pedal force upon the service brake.
(2) Without the application of pedal force, when the level of brake
fluid in a master cylinder reservoir drops to less than the recommended
safe level specified by the manufacturer or to less than one-half the
fluid reservoir capacity, whichever is the greater.
(b) All failure indicator lamps shall be activated when the ignition
switch is turned from the ''off'' to the ''on'' or to the ''start''
position.
(c) Except for the momentary activation required by S5.1.3.1(b), each
indicator lamp, once activated, shall remain activated as long as the
condition exists, whenever the ignition switch is in the ''on''
position. An indicator lamp activated when the ignition is turned to
the ''start'' position shall be deactivated upon return of the switch to
the ''on'' position unless a failure exists in the service brake system.
(d) Each indicator lamp shall have a red lens with the legend ''Brake
Failure'' on or adjacent to it in letters not less than three
thirty-seconds of an inch high that shall be legible to the driver in
daylight when lighted.
S5.1.4 Parking brake. Each three-wheeled motorcycle shall be
equipped with a parking brake of a friction type with a solely
mechanical means to retain engagement.
S5.1.5 Other requirements. The brake system shall be installed so
that the lining thickness of drum brake shoes may be visually inspected,
either directly or by use of a mirror without removing the drums, and so
that disc brake friction lining thickness may be visually inspected
without removing the pads.
S5.2 Service brake system -- first (preburnish) effectiveness.
S5.2.1 Service brake system. The service brakes shall be capable of
stopping the motorcycle from 30 m.p.h. and 60 m.p.h. within stopping
distances which do not exceed the stopping distances specified in Column
I of Table I (S7.3.1).
S5.2.2 Partial service brake system. Each independently actuated
service brake system on each motorcycle shall be capable of stopping the
motorcycle from 30 m.p.h. and 60 m.p.h. within stopping distances which
do not exceed the stopping distances specified in Column II of Table I
(S7.3.2).
S5.3 Service brake system -- second effectiveness. The service
brakes shall be capable of stopping the motorcycle from 30 m.p.h., 60
m.p.h., 80 m.p.h., and the multiple of 5 m.p.h. that is 4 m.p.h. to 8
m.p.h. less than the speed attainable in 1 mile if this speed is 95
m.p.h. or greater, within stopping distances that do not exceed the
stopping distances specified in Column III of Table I (S7.5).
S5.4 Service brake system -- fade and recovery. These requirements
do not apply to a motor-driven cycle whose speed attainable in 1 mile is
30 m.p.h. or less.
S5.4.1 Baseline check -- minimum and maximum pedal forces. The pedal
and lever forces used in establishing the fade baseline check average
shall be within the limits specified in S6.10 (S7.6.1).
S5.4.2 Fade. Each motorcycle shall be capable of making 10 fade stops
from 60 m.p.h. at not less than 15 f.p.s.p.s. for each stop (S7.6.2).
S5.4.3 Fade recovery. Each motorcycle shall be capable of making
five recovery stops with a pedal force that does not exceed 90 pounds,
and a hand lever force that does not exceed 55 pounds for any of the
first four recovery stops and that for the fifth recovery stop is within
plus 20 pounds and minus 10 pounds of the fade test baseline check
average force (S7.6.3).
S5.5 Service brake system -- final effectiveness. These requirements
do not apply to a motor-driven cycle whose speed attainable in 1 mile is
30 mph or less.
S5.5.1 Service brake system. The service brakes shall be capable of
stopping the motorcycle in a manner that complies with S5.3 (S7.8.1).
S5.5.2 Hydraulic service brake system -- partial failure. In the
event of a pressure component leakage failure, other than a structural
failure of either a brake master cylinder body in a split integral body
type master cylinder system or a service brake system failure indicator
body, the remaining portion of the service brake system shall continue
to operate and shall be capable of stopping the motorcycle from 30
m.p.h. and 60 m.p.h. within stopping distances that do not exceed the
stopping distances specified in Column IV of Table I (S7.8.2).
S5.6 Parking brake system. The parking brake system shall be capable
of holding the motorcycle stationary (to the limits of traction of the
braked wheels), for 5 minutes, in both forward and reverse directions,
on a 30 percent grade, with an applied force of not more than 90 pounds
for a foot-operated system and 55 pounds for a hand-operated system
(S7.9).
S5.7 Service brake system -- water recovery.
S5.7.1 Baseline check. The pedal and lever forces used in
establishing the water recovery baseline check average shall be within
the limits specified in S6.10 (S7.10.1).
S5.7.2 Water recovery test. Each motorcycle shall be capable of
making five recovery stops with a pedal force that does not exceed 90
pounds, and a hand lever force that does not exceed 55 pounds, for any
of the first four recovery stops, and that for the fifth recovery stop,
is within plus 20 pounds and minus 10 pounds of the baseline check
average force (S7.10.2).
S5.8 Service brake system design durability. Each motorcycle shall
be capable of completing all braking requirements of S5 without
detachment of brake linings from the shoes or pad, detachment or
fracture of any brake system components, or leakage of fluid or
lubricant at the wheel cylinder, and master cylinder reservoir cover,
seal, or retention device (S7.11).
S6.1 Vehicle weight. Motorcycle weight is unloaded vehicle weight
plus 200 pounds (including driver and instrumentation), with the added
weight distributed in the saddle or carrier if so equipped.
S6.2 Tire inflation pressure. Tire inflation pressure is the
pressure recommended by the manufacturer for the vehicle weight
specified in paragraph S6.1.
S6.3 Transmission. Unless otherwise specified, all stops are made
with the clutch disengaged.
S6.4 Engine. Engine idle speed and ignition timing settings are
according to the manufacturer's recommendations. If the vehicle is
equipped with an adjustable engine speed governor, it is adjusted
according to the manufacturer's recommendation.
S6.5 Ambient temperature. The ambient temperature is between 32 F.
and 100 F.
S6.6 Wind velocity. The wind velocity is zero.
S6.7 Road surface. Road tests are conducted on level roadway having
a skid number of 81. The roadway is 8 feet wide for two-wheeled
motorcycles, and overall vehicle width plus 5 feet for three-wheeled
motorcycles. The parking brake test surface is clean, dry, smooth
portland cement concrete.
S6.8 Vehicle position. The motorcycle is aligned in the center of
the roadway at the start of each brake application. Stops are made
without any part of the motorcycle leaving the roadway and without
lockup of any wheel.
S6.9 Thermocouples. The brake temperature is measured by plug-type
thermocouples installed in the approximate center of the facing length
and width of the most heavily loaded shoe or disc pad, one per brake, as
shown in Figure 1.
S6.10 Brake actuation forces. Except for the requirements of the
fifth recovery stop in S5.4.3 and S5.7.2 (S7.6.3 and S7.10.2) the hand
lever force is not less than five and not more than 55 pounds and the
foot pedal force is not less than 10 and not more than 90 pounds. The
point of initial application of the lever forces is 1.2 inches from the
end of the brake lever grip. The direction of the force is
perpendicular to the handle grip on the plane along which the brake
lever rotates, and the point of application of the pedal force is the
center of the foot contact pad of the brake pedal. The direction of the
force is perpendicular to the foot contact pad on the plane along which
the brake pedal rotates, as shown in Figure 2.
S7. Test procedures and sequence. Each motorcycle shall be capable
of meeting all the requirements of this standard when tested according
to the procedures and in the sequence set forth below without replacing
any brake system part, or making any adjustments to the brake system
other than as permitted in S7.4. A motorcycle shall be deemed to comply
with S5.2, S5.3 and S5.5 if at least one of the stops specified in S7.3,
S7.5 and S7.8 is made within the stopping distances specified in Table
I.
S7.1 Braking warming. If the initial brake temperature for the first
stop in a test procedure (other than S7.10) has not been reached, heat
the brakes to the initial brake temperature by making up to 10 stops
from 30 m.p.h. at a deceleration of not more than 10 f.p.s.p.s. On
independently operated brake systems, the coldest brake shall be within
10 F. of the hottest brake.
S7.2 Pretest instrumentation check. Conduct a general check of test
instrumentation by making not more than 10 stops from a speed of not
more than 30 m.p.h. at a deceleration of not more than 10 f.p.s.p.s. If
test instrument repair, replacement, or adjustment is necessary, make
not more than 10 additional stops after such repair, replacement or
adjustment.
S7.3 Service brake system -- first (preburnished) effectiveness test.
S7.3.1 Service brake system. Make six stops from 30 m.p.h. and then
six stops from 60 m.p.h. with an initial brake temperature between 130
F. and 150 F.
S7.3.2 Partial service brake system. For a motorcycle with two
independently actuated service brake systems, repeat S7.3.1 using each
service brake system individually.
S7.4 Service brake system -- burnish procedure. Burnish the brakes
by making 200 stops from 30 m.p.h. at 12 f.p.s.p.s. The braking interval
shall be either the distance necessary to reduce the initial brake
temperature to between 130 F. and 150 F. or 1 mile, whichever occurs
first. Accelerate at maximum rate to 30 m.p.h. immediately after each
stop and maintain that speed until making the next stop. After
burnishing adjust the brakes in accordance with the manufacturer's
recommendation.
S7.5 Service brake system -- second effectiveness test. Repeat
S7.3.1. Then, make four stops from 80 m.p.h. and four stops from the
multiple of 5 m.p.h. that is 4 m.p.h. to 8 m.p.h. less than the speed
attainable in 1 mile if that speed is 95 m.p.h. or greater.
S7.6 Service brake system -- fade and recovery test. These
requirements do not apply to a motor-driven cycle whose speed attainable
in 1 mile is 30 m.p.h. or less.
S7.6.1 Baseline check stops. Make three stops from 30 m.p.h. at 10
to 11 f.p.s.p.s. for each stop. Compute the average of the maximum
brake pedal forces and the maximum brake lever forces required for the
three stops.
S7.6.2 Fade stops. Make 10 stops from 60 m.p.h. at not less than 15
f.p.s.p.s. for each stop. The initial brake temperature before the
first brake application shall be between 130 F. and 150 F. Initial
brake temperatures before brake applications for subsequent stops shall
be those occurring at the distance intervals. Attain the required
deceleration as quickly as possible and maintain at least this rate for
not less than three-fourths of the total stopping distance for each
stop. The interval between the starts of service brake applications
shall be 0.4 mile. Drive 1 mile at 30 m.p.h. after the last fade stop
and immediately conduct the recovery test specified in S7.6.3.
S7.6.3 Recovery test. Make five stops from 30 m.p.h. at 10 to 11
f.p.s.p.s. for each stop. The braking interval shall not be more than 1
mile. Immediately after each stop accelerate at maximum rate to 30
m.p.h. and maintain that speed until making the next stop.
S7.7 Service brake system -- reburnish. Repeat S7.4 except make 35
burnish stops instead of 200 stops. Brakes may be adjusted after
reburnish if no tools are used. These requirements do not apply to a
motor-driven cycle whose speed attainable in 1 mile is 30 m.p.h. or
less.
S7.8 Service brake system -- final effectiveness test. These
requirements do not apply to a motor-driven cycle whose speed attainable
in 1 mile is 30 m.p.h. or less.
S7.8.1 Service brake system. Repeat S7.5 including S7.3.1.
S7.8.2 Partial service brake system test. Alter the service brake
system on three-wheeled motorcycles to induce a complete loss of braking
in any one subsystem. Determine the line pressure or pedal force
necessary to cause the brake system failure indicator to operate. Make
six stops from 30 m.p.h. and then six stops from 60 m.p.h. with an
initial brake temperature between 130 F. and 150 F. Repeat for each
subsystem. Determine that the brake failure indicator is operating when
the master cylinder fluid level is less than the level specified in
S5.1.3.1(a)(2), and that it complies with S5.1.3.1(c). Check for proper
operation with each reservoir in turn at a low level. Restore the
service brake system to normal at completion of this test.
S7.9 Parking brake test. Starting with an initial brake temperature
of not more than 150 F., drive the motorcycle downhill on the 30
percent grade with the longitudinal axis of the motorcycle in the
direction of the grade. Apply the service brakes with a force not
exceeding 90 pounds to stop the motorcycle and place the transmission in
neutral. Apply the parking brake by exerting a force not exceeding
those specified in S5.6. Release the service brake and allow the
motorcycle to remain at rest (to the limit of traction of the braked
wheels) for 5 minutes. Repeat the test with the motorcycle parked in
the reversed (uphill) position on the grade.
S7.10 Service brake system -- water recovery test.
S7.10.1 Baseline check stops. Make three stops from 30 m.p.h. at 10
to 11 f.p.s.p.s. for each stop. Compute the average of the maximum
brake pedal forces and of the maximum brake lever forces required for
the three stops.
S7.10.2 Wet brake recovery stops. Completely immerse the rear brake
assembly of the motorcycle in water for 2 minutes with the brake fully
released. Next completely immerse the front brake assembly of the
motorcycle in water for 2 minutes with the brake fully released.
Perform the entire wetting procedure in not more than 7 minutes.
Immediately after removal of the front brake from water, accelerate at a
maximum rate to 30 mi/h without a brake application. Immediately upon
reaching that speed make five stops, each from 30 mi/h at 10 to 11 ft/s2
for each stop. After each stop (except the last) accelerate the
motorcycle immediately at a maximum rate to 30 mi/h and begin the next
stop.
S7.11 Final inspection. Upon completion of all the tests inspect the
brake system in an assembled condition, for compliance with the brake
lining inspection requirements. Disassemble all brakes and inspect:
(a) The entire brake system for detachment or fracture of any
component.
(b) Brake linings for detachment from the shoe or pad.
(c) Wheel cylinder, master cylinder, and axle seals for fluid or
lubricant leakage.
(d) Master cylinder for reservoir capacity and retention device.
(e) Master cylinder label for compliance with S5.1.2.2.
Insert ILLUS. 88A-89A
(Delegation of authority at 38 FR 12147; secs. 102, 103, 119, Pub.
L. 89-563, 80 Stat. 718 (15 U.S.C. 1391, 1392, 1407); delegations of
authority at 49 CFR 1.50 and 49 CFR 501.8)
(37 FR 5034, Mar. 9, 1972, as amended at 37 FR 11974, June 16, 1972;
38 FR 14753, June 5, 1973; 39 FR 32914, Sept. 12, 1974; 39 FR 43075,
Dec. 10, 1974; 41 FR 24593, June 17, 1976; 43 FR 9606, Mar. 9, 1978;
43 FR 46548, Oct. 10, 1978)
49 CFR 571.123Standard No. 123; Motorcycle controls and displays.
S1. Scope. This standard specifies requirements for the location,
operation, identification, and illumination of motorcycle controls and
displays, and requirements for motorcycle stands and footrests.
S2. Purpose. The purpose of this standard is to minimize accidents
caused by operator error in responding to the motoring environment, by
standardizing certain motorcycle controls and displays.
S3. Application. This standard applies to motorcycles equipped with
handlebars, except for motorcycles that are designed, and sold
exclusively for use by law enforcement agencies.
S4. Definitions. Clockwise and counterclockwise mean opposing
directions of rotation around the following axes, as applicable.
(a) The operational axis of the ignition control, viewed from in
front of the ignition lock opening;
(b) The axis of the right handlebar on which the twist-grip throttle
is located, viewed from the end of that handlebar;
(c) The axis perpendicular to the center of the speedometer, viewed
from the operator's normal eye position.
S5. Requirements.
S5.1. Each motorcycle shall be equipped with a supplemental engine
stop control, located and operable as specified in Table 1.
S5.2 Each motorcycle to which this standard applies shall meet the
following requirements:
S5.2.1 Control location and operation. If any item of equipment
listed in Table 1, Column 1, is provided, the control for such item
shall be located as specified in Column 2, and operable as specified in
Column 3. Each control located on a right handlebar shall be operable
by the operator's right hand throughout its full range without removal
of the operator's right hand from the throttle. Each control located on
a left handlebar shall be operable by the operator's left hand
throughout its full range without removal of the operator's left hand
from the handgrip. If a motorcycle with an automatic clutch is equipped
with a supplemental rear brake control, the control shall be located on
the left handlebar. If a motorcycle is equipped with self-proportioning
or antilock braking devices utilizing a single control for front and
rear brakes, the control shall be located and operable in the same
manner as a rear brake control.
S5.2.2 Display illumination and operation. If an item of equipment
listed in Table 2, Column 1, is provided, the display for such item
shall be visible to a seated operator under daylight conditions, shall
illuminate as specified in Column 2, and shall operate as specified in
Column 3.
S5.2.3 Control and display identification. If an item of equipment
in Table 3, Column 1, is provided, the item and its operational function
shall be identified by:
(a) A symbol substantially in the form shown in Column 3; or
(b) Wording shown in both Column 2 and Column 4; or
(c) A symbol substantially in the form shown in Column 3 and wording
shown in both Column 2 and Column 4.
The abbreviations ''M.P.H.'', ''r/min'', ''Hi'', ''Lo'', ''L'',
''R'', and ''Res'' appearing in Column 2 and Column 4 may be spelled in
full. Symbols and words may be provided for equipment items where none
are shown in Column 2, Column 3, and Column 4. Any identification
provided shall be placed on or adjacent to the control or display
position, and shall appear upright to the operator.
S5.2.4 Stands. A stand shall fold rearward and upward if it contacts
the ground when the motorcycle is moving forward.
S5.2.5 Footrests. Footrests shall be provided for each designated
seating position. Each footrests for a passenger other than an operator
shall fold rearward and upward when not in use.
Insert Illustration 0 283
(37 FR 7207, Apr. 12, 1972, as amended at 37 FR 17475, Aug. 29, 1972;
39 FR 32915, Sept. 12, 1974; 48 FR 42819, Sept. 20, 1983; 49 FR
35381, Sept. 7, 1984; 49 FR 35504, Sept. 10, 1984)
49 CFR 571.124Standard No. 124; Accelerator control systems.
S1. Scope. This standard establishes requirements for the return of a
vehicle's throttle to the idle position when the driver removes the
actuating force from the accelerator control, or in the event of a
severance or disconnection in the accelerator control system.
S2. Purpose. The purpose of this standard is to reduce deaths and
injuries resulting from engine overspeed caused by malfunctions in the
accelerator control system.
S3. Application. This standard applies to passenger cars,
multi-purpose passenger vehicles, trucks, and buses.
S4. Definitions.
S4.1 Driver-operated accelerator control system means all vehicle
components, except the fuel metering device, that regulate engine speed
in direct response to movement of the driver-operated control and that
return the throttle to the idle position upon release of the actuating
force.
Fuel metering device means the carburetor, or in the case of certain
engines the fuel injector, fuel distributor or fuel injection pump.
Throttle means the component of the fuel metering device that
connects to the driver-operated accelerator control system and that by
input from the driver-operated accelerator control system controls the
engine speed.
Idle position means the position of the throttle at which it first
comes in contact with an engine idle speed control appropriate for
existing conditions according to the manufacturers' recommendations.
These conditions include, but are not limited to, engine speed
adjustments for cold engine, air conditioning, and emission control, and
the use of throttle setting devices.
Ambient temperature means the surrounding air temperature, at a
distance such that it is not significantly affected by heat from the
vehicle under test.
S4.2 In the case of vehicles powered by electric motors, the words
throttle and idle refer to the motor speed controller and motor
shutdown, respectively.
S5. Requirements. The vehicle shall meet the following requirements
when the engine is running under any load condition, and at any ambient
temperature between ^40 F. and +125 F. after 12 hours of
conditioning at any temperature within that range.
S5.1 There shall be at least two sources of energy capable of
returning the throttle to the idle position within the time limit
specified by S5.3 from any accelerator position or speed whenever the
driver removes the opposing actuating force. In the event of failure of
one source of energy by a single severance or disconnection, the
throttle shall return to the idle position within the time limits
specified by S5.3, from any accelerator position or speed whenever the
driver removes the opposing actuating force.
S5.2 The throttle shall return to the idle position from any
accelerator position or any speed of which the engine is capable
whenever any one component of the accelerator control system is
disconnected or severed at a single point. The return to idle shall
occur within the time limit specified by S5.3, measured either from the
time of severance or disconnection or from the first removal of the
opposing actuating force by the driver.
S5.3 Except as provided below, maximum time to return to idle
position shall be 1 second for vehicles of 10,000 pounds or less GVWR,
and 2 seconds for vehicles of more than 10,000 pounds GVWR. Maximum
time to return to idle position shall be 3 seconds for any vehicle that
is exposed to ambient air at 0 to ^40 F. during the test or for any
portion of the 12-hour conditioning period.
(38 FR 2980, Jan. 31, 1973)
49 CFR 571.125Standard No. 125; Warning devices.
S1. Scope. This standard establishes requirements for devices,
without self-contained energy sources, that are designed to be carried
in motor vehicles and used to warn approaching traffic of the presence
of a stopped vehicle, except for devices designed to be permanently
affixed to the vehicle.
S2. Purpose. The purpose of this standard is to reduce deaths and
injuries due to rear end collisions between moving traffic and disabled
vehicles.
S3. Application. This standard applies to devices, without
self-contained energy sources, that are designed to be carried in motor
vehicles and used to warn approaching traffic of the presence of a
stopped vehicle, except for devices designed to be permanently affixed
to the vehicle.
S4. Definitions. Entrance angle means the angle having as its sides
the line through the center, and normal to the face, of the object to be
tested, and the line from the center of the object to the center of the
source of illumination (Figure 2).
Fluorescent means the property of emitting visible light due to the
absorption of radiation of a shorter wavelength which may be outside the
visible spectrum.
Observation angle means the angle having as its sides the line from
the observation point to the center of the object to be tested and the
line from the center of that object to the center of the source of
illumination (Figure 2).
Reflex reflective means reflective of light in directions close to
the direction of incident light, over a wide range of variations in the
direction of incident light.
S5. Requirements.
S5.1 Equipment.
S5.1.1 Reflex reflective material and fluorescent material that meet
the requirements of this standard shall be affixed to both faces of the
warning device. Alternatively, a dual purpose orange fluorescent and
red reflective material that meets the requirements of this standard
(hereafter referred to as ''dual purpose material'') may be affixed to
both faces in places of the reflective and fluorescent materials.
S5.1.2 Each warning device shall be protected from damage and
deterioration --
(a) By enclosure in an opaque protective reusable container, except
that two or three warning devices intended to be sold for use as a set
with a single vehicle may be enclosed in a single container; or
(b) By secure attachment to any light-tight, enclosed, and easily
accessible compartment of a new motor vehicle with which it is supplied
by the vehicle manufacturer.
S5.1.3 The warning device shall be designed to be erected, and
replaced in its container, without the use of tools.
S5.1.4 The warning device shall be permanently and legibly marked
with:
(a) Name of manufacturer;
(b) Month and year of manufacture, which may be expressed
numerically, as ''6/72''; and
(c) The symbol DOT, or the statement that the warning device complies
with all applicable Federal motor vehicle safety standards.
S5.1.5 Each warning device shall have instructions for its erection
and display.
(a) The instructions shall be either indelibly printed on the warning
device or attached in such a manner that they cannot be easily removed.
(b) Instructions for each warning device shall include a
recommendation that the driver activate the vehicular hazard warning
signal lamps before leaving the vehicle to erect the warning device.
(c) Instructions shall include the illustration depicted in Figure 3
indicating recommended positioning.
S5.2 Configuration.
S5.2.1 When the warning device is erected on level ground:
(a) Part of the warning device shall form an equilateral triangle
that stands in a plane not more than 10 from the vertical, with the
lower edge of the base of the triangle horizontal and not less than 1
inch above the ground.
(b) None of the required portion of the reflective material and
fluorescent material shall be obscured by any other part of the warning
device except for any portion of the material over which it is necessary
to provide fasteners, pivoting beads or other means to allow
collapsibility or support of the device. In any event, sufficient
reflective and fluorescent material shall be used on the triangle to
meet the requirements of S5.4 and S5.5.
S5.2.2 Each of the three sides of the triangular portion of the
warning device shall not be less than 17 and not more than 22 inches
long, and not less than 2 and not more than 3 inches wide (Figure 1).
S5.2.3 Each face of the triangular portion of the warning device
shall have an outer border of red reflex reflective material of uniform
width and not less than 0.75 and not more than 1.75 inches wide, and an
inner border of orange fluorescent material of uniform width and not
less than 1.25 and not more than 1.30 inches wide (Figure 1). However,
this requirement shall not apply if the dual purpose material is used.
S5.2.4 Each vertex of the triangular portion of the warning device
shall have a radius of not less than 0.25 inch and not more than 0.50
inch.
S5.2.5 All edges shall be rounded or chamfered, as necessary, to
reduce the possibility of cutting or harm to the user.
S5.2.6 The device shall consist entirely of the triangular portion
and attachments necessary for its support and enclosure, without
additional visible shapes or attachments.
S5.3 Color.
S5.3.1 The color of the red reflex reflective material on the warning
device shall have the following characteristics, both before and after
the warning device has been conditioned in accordance with S6.1, when
the source of illumination is a lamp with a tungsten filament operating
at 2856 Kelvin color temperature. Expressed in terms of the
International Commission on Illumination (CIE) 1931 standard
colorimetric observer system (CIE chromaticity diagram, Figure 4), the
chromaticity coordinates of the red reflex reflective material shall lie
within the region bounded by the spectrum locus and the lines on the
diagram defined by the following equations:
S5.3.2 The color of the orange fluorescent material on the warning
device shall have the following characteristics, both before and after
the warning device has been conditioned in accordance with S6.1, when
the source of illumination is a 150-watt high pressure xenon compact arc
lamp. Expressed in terms of the International Commission on
Illumination (CIE) 1931 standard colorimetric observer system, the
chromaticity coordinates of the orange fluorescent material shall lie
within the region bounded by the spectrum locus and the lines on the
diagram defined by the following equations:
The 150-watt high pressure xenon compact arc lamp shall illuminate
the sample using the unmodified spectrum at an angle of incidence of 45
and an angle of observation of 90 . If dual purpose material is being
tested, it shall be illuminated by a 150-watt high pressure xenon
compact arc lamp, whose light is diffused by an integrating sphere.
S5.4 Reflectivity. When the red reflex reflective material on the
warning device is tested in accordance with S6.2, both before and after
the warning device has been conditioned in accordance with S6.1, its
total candlepower per incident foot candle shall be not less than the
values specified in Table I for each of the listed entrance angles.
S5.5 Luminance. When the orange fluorescent material on the warning
device is tested in accordance with S6.3, both before and after the
warning device has been conditioned in accordance with S6.1, it shall
have a minimum relative luminance of 25 percent of a flat magnesium
oxide surface and a minimum product of that relative luminance and width
in inches of 44.
S5.6 Stability. When the warning device is erected on a horizontal
brushed concrete surface both with and against the brush marks and
subjected to a horizontal wind of 40 miles per hour in any direction for
3 minutes --
(a) No part of it shall slide more than 3 inches from its initial
position;
(b) Its triangular portion shall not tilt to a position that is more
than 10 from the vertical; and
(c) Its triangular position shall not turn through a horizontal angle
of more than 10 in either direction from the initial position.
S5.7 Durability. When the warning device is conditioned in accordance
with S6.1, no part of the warning device shall become warped or
separated from the rest of the warning device.
S6. Test Procedures.
S6.1 Conditions.
S6.1.1 Submit the warning device to the following conditioning
sequence, returning the device after each step in the sequence to
ambient air at 68 F. for at least 2 hours.
(a) Minus 40 F. for 16 hours in a circulating air chamber using
ambient air which would have not less than 30 percent and not more than
70 percent relative humidity at 70 F.;
(b) 150 F. for 16 hours in a circulating air oven using ambient air
which would have not less than 30 percent and not more than 70 percent
relative humidity at 70 F.;
(c) 100 F. and 90 percent relative humidity for 16 hours;
(d) Salt spray (fog) test in accordance with American Society of
Testing and Materials Standard B-117, Standard Method of Salt Spray
(fog) testing, August 1964, except that the test shall be for 4 hours
rather than 40 hours; and
(e) Immersion for 2 hours in water at a temperature of 100 F.
S6.2 Reflectivity Test. Test the red reflex reflective materials as
follows:
(a) Unless dual purpose material is used, prevent the orange
fluorescent material from affecting the photometric measurement of the
reflectivity of the red reflex reflective material, either by separation
or masking.
(b) Use a lamp with a tungsten filament operating at 2856 Kelvin
color temperature as the source of illumination.
(c) Place the source of illumination 100 feet from the red reflex
reflective material (Figure 2).
(d) Place the observation point directly above the source of
illumination (Figure 2).
(e) Calculate the total candlepower per incident foot candle of the
red reflex reflective material at each of the entrance and observation
angles specified in Table 1.
S6.3 Luminance Test. Test the orange fluorescent material as
follows:
(a) Unless dual purpose material is used, prevent the red reflex
reflective material from affecting the photometric measurement of the
luminance of the orange fluorescent material.
(b) Using a 150-watt high pressure xenon compact arc lamp as the
light source, illuminate the test sample at an angle of incidence of 45
and an angle of observation of 90 . If dual purpose material is being
tested, illuminate the sample diffusely through an integrating sphere.
(c) Measure the luminance of the material at a perpendicular viewing
angle, with no ray of the viewing beam more than 5 from the
perpendicular to the specimen.
(d) Repeat the procedure for a flat magnesium oxide surface, and
compute the quotient (percentage) of the luminance of the material
relative to that of the magnesium oxide surface.
Insert ILLUS. 92A
Insert Illustration 93A
(39 FR 28636, Aug. 9, 1974, as amended at 40 FR 4, Jan. 2, 1975)
49 CFR 571.126 Standard No. 126; Truck-camper loading.
S1. Scope. This standard requires manufacturers of slide-in campers
to affix a label to each camper that contains information relating to
certification, identification, and proper loading, and to provide more
detailed loading information in the owner's manual.
S2. Purpose. The purpose of this standard is to provide information
that can be used to reduce overloading and improper load placement in
truck-camper combinations, and unsafe truck-camper matching, in order to
prevent accidents resulting from the adverse effects on these conditions
on vehicle steering and braking.
S3. Application. This standard applies to slide-in campers.
S4. Definitions. Camper means a structure designed to be mounted in
the cargo area of a truck, or attached to an incomplete vehicle with
motive power, for the purpose of providing shelter for persons.
Cargo weight rating means the value specified by the manufacturer as
the cargo-carrying capacity, in pounds, of a vehicle, exclusive of the
weight of occupants in designated seating positions.
Slide-in camper means a camper having a roof, floor, and sides,
designed to be mounted on and removable from the cargo area of a truck
by the user.
S5. Requirements.
S5.1 Slide-in camper.
S5.1.1 Labels. Each slide-in camper shall have permanently affixed to
it, in a manner that it cannot be removed without defacing or destroying
it, in a plainly visible location on an exterior rear surface other than
the roof, steps, or bumper extension, a label containing the following
information in the English language lettered in block capitals and
numerals not less than three thirty-seconds of an inch high, of a color
contrasting with the background, in the order shown below and in the
form illustrated in Figure 1.
THIS CAMPER CONFORMS TO ALL APPLICABLE FEDERAL MOTOR VEHICLE SAFETY
STANDARDS IN EFFECT ON THE DATE OF MANUFACTURE SHOWN ABOVE
CAMPER WEIGHT IS ---- LBS. MAXIMUM WHEN IT CONTAINS STANDARD
EQUIPMENT, ---- GAL. OF WATER ---- LBS. OF BOTTLED GAS, AND ---- CUBIC
FT. REFRIGERATOR (OR ICEBOX WITH ---- LBS. OF ICE, AS APPLICABLE).
CONSULT OWNER'S MANUAL (OR DATA SHEET AS APPLICABLE) FOR WEIGHTS OF
ADDITIONAL OR OPTIONAL EQUIPMENT.
(a) Name of camper manufacturer. The full corporate or individual
name of the actual assembler of the camper shall be spelled out, except
that such abbreviations as ''Co,'' or ''Inc,'' and their foreign
equivalents, and the first and middle initials of individuals may be
used. The name of the manufacturer shall be preceded by the word
''manufactured By'' or ''Mfd By.''
(b) Month and year of manufacture. It may be spelled out (e.g.
''June 1973'') or expressed in numerals (e.g. ''6/73'').
(c) The statement: ''This camper 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.''
(d) The following statement completed as appropriate:
''Camper weight is ---- Lbs. Maximum When It Contains Standard
Equipment, ---- Gal. of Water, ---- Lbs. of Bottled Gas, and ----
Cubic Ft. Refrigerator (or Icebox with ---- Lbs. of Ice, as
applicable). Consult Owner's Manual (or Data Sheet as applicable) for
Weights of Additional or Optional Equipment.
''Gal. of water'' refers to the volume of water necessary to fill the
camper's fresh water tanks to capacity. ''Lbs. of Bottled Gas'' refers
to the weight of gas necessary to fill the camper's bottled gas tanks to
capacity. The statement regarding a ''Refrigerator'' or ''Icebox''
refers to the capacity of the refrigerator with which the vehicle is
equipped or the weight of the ice with which the icebox may be filled.
Any of these items may be omitted from the statement, if the
corresponding accessories are not included with the camper, provided
that the omission is noted in the camper owner's manual as required in
paragraph S5.1.2(a).
(e) Vehicle identification number. Each slide-in camper shall have a
number assigned by its manufacturer for identification purposes
consisting of arabic numerals, roman letters, or both. No two slide-in
campers manufactured by the same manufacturer within any 10-year period
shall have the same vehicle identification number.
S5.1.2 Owner's manual. Each slide-in camper manufacturer shall
provide with each camper a manual or other document containing the
information specified in S5.1.2 (a) through (d). The information in
paragraphs S5.1.2 (e) and (f) shall also be provided with each camper
manufactured on or after October 1, 1973.
(a) The statement and information provided on the certification label
as specified in paragraph S5.1.1. Instead of the information required by
paragraphs (b), (c), and (e) of paragraph S5.1.1, a manufacturer may use
the statements, ''See camper certification label (located on camper's
rear exterior surface) for month and year of manufacture and for the
Vehicle Identification Number'' and ''This camper conforms to all
applicable Federal Motor Vehicle Safety Standards in effect on the date
of manufacture''. If water, bottled gas, or refrigerator (icebox) has
been omitted from this statement, the manufacturer's information shall
note such omission and advise that the weight of any such item when
added to the camper, should be added to the maximum camper weight figure
used in selecting an appropriate truck.
(b) A list of other additional or optional equipment that the camper
is designed to carry, and the maximum weight of each if its weight is
more than 20 pounds when installed.
(c) The statement: ''To estimate the total cargo load that will be
placed on a truck, add the weight of all passengers in the camper, the
weight of supplies, tools, and all other cargo, the weight of installed
additional or optional camper equipment, and the manufacturer's camper
weight figure. Select a truck that has a cargo weight rating that is
equal to or greater than the total cargo load of the camper, and whose
manufacturer recommends a cargo center of gravity zone that will contain
the camper's center of gravity when it is installed.'' Until October 1,
1973, the phrase ''total load'' may be used instead of ''total cargo
load.''
(d) The statements: ''When loading this camper store heavy gear
first, keeping it on or close to the camper floor. Place heavy things
far enough forward to keep the loaded camper's center of gravity within
the zone recommended by the truck manufacturer. Store only light
objects on high shelves. Distribute weight to obtain even side-to-side
balance of the loaded vehicle. Secure loose items to prevent weight
shifts that could affect the balance of your vehicle. When the
truck-camper is loaded, drive to a scale and weigh on the front and on
the rear wheels separately to determine axle loads. The load on an axle
should not exceed its gross axle weight rating (GAWR). The total of the
axle loads should not exceed the gross vehicle weight rating (GVWR).
These weight ratings are given on the vehicle certification label that
is located on the left side of the vehicle, normally the dash panel,
hinge pillar, door latch post, or door edge next to the driver on trucks
manufactured on or after January 1, 1972. If weight ratings are
exceeded, move or remove items to bring all weights below the ratings.
(e) A picture showing the location of the longitudinal center of
gravity of the camper within an accuracy of 2 inches under the loaded
condition specified in paragraph S5.1.1(d), in the manner illustrated in
figure 2. Until October 1, 1973, the phrase ''Mount at Aft End of Truck
Cargo Area'' may be used in figure 2 instead of ''Point That Contacts
Rear End of Truck Bed.''
(f) A picture showing the proper match of a truck and slide-in camper
in the form illustrated in figure 3.
(37 FR 26606, Dec. 14, 1972, as amended at 38 FR 4399, Feb. 14, 1973;
38 FR 6392, Mar. 9, 1973; 43 FR 17947, Apr. 27, 1978)
49 CFR 571.129Standard No. 129; new non-pneumatic tires for
passsenger cars.
S1 Scope. This standard specifies tire dimensions and laboratory
test requirements for lateral strength, strength, endurance, and high
speed performance; defines the tire load rating; and specifies
labeling requirements for non-pneumatic spare tires.
S2 Application. This standard applies to new temporary spare
non-pneumatic tires for use on passenger cars.
S3 Definitions.
Carcass means the tire structure except for the tread which provides
the major portion of the tire's capability to deflect in response to the
vertical loads and tractive forces that the tire transmits from the
roadway to the non-pneumatic rim, the wheel center member, or the
vehicle and which attaches to the vehicle or attaches, either integrally
or separably, to the wheel center member or non-pneumatic rim.
Carcass separation means the pulling away of the carcass from the
non-pneumatic rim or wheel center member.
Chunking means the breaking away of pieces of the carcass or tread.
Cracking means any parting within the carcass, tread, or any
components that connect the tire to the non-pneumatic rim or wheel
center member and, if the non-pneumatic tire is integral with the
non-pneumatic rim or wheel center member, any parting within the
non-pneumatic rim, or wheel center member.
Load rating means the maximum load a tire is rated to carry.
Maximum tire width means the greater of either the linear distance
between the exterior edges of the carcass or the linear distance between
the exterior edges of the tread, both being measured parallel to the
rolling axis of the tire.
Non-pneumatic rim means a mechanical device which, when a
non-pneumatic tire assembly incorporates a wheel, supports the tire, and
attaches, either integrally or separably, to the wheel center member and
upon which the tire is attached.
Non-pneumatic test rim means with reference to a tire to be tested,
any non-pneumatic rim that is listed as appropriate for use with that
tire in accordance with S4.4.
Non-pneumatic tire means a mechanical device which transmits, either
directly or through a wheel or wheel center member, the vertical load
and tractive forces from the roadway to the vehicle, generates the
tractive forces that provide the directional control of the vehicle and
does not rely on the containment of any gas or fluid for providing those
functions.
Non-pneumatic tire assembly means a non-pneumatic tire, alone or in
combination with a wheel or wheel center member, which can be mounted on
a vehicle.
Non-pneumatic tire identification code means an alphanumeric code
that is assigned by the manufacturer to identify the tire with regard to
its size, application to a specific non-pneumatic rim or wheel center
member or application to a specific vehicle.
Test wheel center member means with reference to a tire to be tested,
any wheel center member that is listed as appropriate for use with that
tire in accordance with S4.4.
Tread means that portion of the tire that comes in contact with the
road.
Tread separation means pulling away of the tread from the carcass.
Wheel means a mechanical device which consists of a non-pneumatic rim
and wheel center member and which, in the case of a non-pneumatic tire
assembly incorporating a wheel, provides the connection between the tire
and the vehicle.
Wheel center member means, in the case of a non-pneumatic tire
assembly incorporating a wheel, a mechanical device which attaches,
either integrally or separably, to the non-pneumatic rim and provides
the connection between the non-pneumatic rim and the vehicle; or in the
case of a non-pneumatic tire assembly not incorporating a wheel, a
mechanical device which attaches, either integrally or separably, to the
non-pneumatic tire and provides the connection between the tire and the
vehicle.
S4 Requirements.
S4.1 Size and Construction. Each tire shall be designed to fit each
non-pneumatic rim or wheel center member specified for its non-pneumatic
tire identification code designation in a listing in accordance with
section S4.4.
S4.2 Performance Requirements
S4.2.1 General. Each tire shall conform to the following:
(a) Its load rating shall be that specified in a submission made by a
manufacturer, pursuant to S4.4(a), or in one of the publications
described in S4.4(b) for its non-pneumatic tire identification code
designation.
(b) It shall incorporate a tread wear indicator that will provide a
visual indication that the tire has worn to a tread depth of 1/16 inch.
(c) It shall, before being subjected to either the endurance test
procedure specified in S5.4 or the high speed performance procedure
specified in S5.5, exhibit no visual evidence of tread or carcass
separation, chunking or cracking.
(d) It shall meet the requirements of S4.2.2.5 and S4.2.2.6 when
tested on a test wheel described in S5.4.2.1 either alone or
simultaneously with up to 5 tires.
S4.2.2 Test Requirements.
S.4.2.2.1 Test Sample. For each test sample use:
(a) One tire for physical dimensions, lateral strength, and strength
in sequence;
(b) A second tire for tire endurance; and
(c) A third tire for high speed performance.
S4.2.2.2 Physical Dimensions. For a non-pneumatic tire assembly in
which the tire is separable from the non-pneumatic rim or wheel center
member, the dimensions, measured in accordance with S5.1, for that
portion of the tire that attaches to that non-pneumatic rim or wheel
center member shall satisfy the dimensional specifications contained in
the submission made by an individual manufacturer, pursuant to S4.4(a),
or in one of the publications described in S4.4(b) for that tire's
non-pneumatic tire identification code designation.
S4.2.2.3 Lateral Strength. There shall be no visual evidence of
tread or carcass separation, cracking or chunking, when a tire is tested
in accordance with S5.2 to a load of:
(a) 1,500 pounds for tires with a load rating less than 880 pounds;
(b) 2,000 pounds for tires with a load rating of 880 pounds or more
but less than 1,400 pounds.
(c) 2,500 pounds for tires with a load rating of 1,400 pounds or
more, using the load rating marked on the tire or tire assembly.
S4.2.2.4 Tire Strength. There shall be no visual evidence of tread
carcass separation, cracking or chunking, when a tire is tested in
accordance with S5.3 to a minimum energy level of:
S4.2.2.5 Tire Endurance. When the tire has been subjected to the
laboratory endurance test specified in S5.4, using, if applicable, a
non-pneumatic test rim or test wheel center member that undergoes no
permanent deformation, there shall be no visual evidence of tread or
carcass separation, cracking or chunking. In the case of a
non-pneumatic tire assembly in which the non-pneumatic tire is an
integral part of the assembly, the assembly shall undergo no permanent
deformation with the exception of wear of the tread.
S4.2.2.6 High Speed Performance. When the tire has been subjected to
the laboratory high speed performance test specified in S5.5, using if
applicable, a non-pneumatic test rim or test wheel center member that
undergoes no permanent deformation, there shall be no visual evidence of
tread or carcass separation, cracking or chunking. In the case of a
non-pneumatic tire assembly in which the non-pneumatic tire is an
integral part of the assembly, the assembly shall undergo no permanent
deformation with the exception of wear of the tread.
S4.3 Labeling Requirements. Each non-pneumatic tire or, in the case
of a non-pneumatic tire assembly in which the non-pneumatic tire is an
integral part of the assembly, each non-pneumatic tire assembly shall
include, in letters or numerals not less than 0.078 inches high, the
information specified in paragraphs S4.3 (a) through (f). The
information shall be permanently molded, stamped or otherwise
permanently marked into or onto the non-pneumatic tire or non-pneumatic
tire assembly, except that the information specified in S4.3(d) and
S4.3(g) may appear on a label that is permanently attached to the tire
or tire assembly. If a label is used, it shall be subsurface printed,
made of a material that is resistant to fade, heat, moisture, and
abrasion, and attached in such a manner that it cannot be removed
without destroying or defacing the label on the non-pneumatic tire or
tire assembly. The information shall appear on both sides of the
non-pneumatic tire or non-pneumatic tire assembly, except, in the case
of a non-pneumatic tire assembly which has a particular side that must
always face outward when mounted on a vehicle, in which case the
information shown in paragraphs S4.3 (a) through (g) shall only be
required on the outward facing side. The information shall be
positioned on the tire or tire assembly such that it is not placed on
the tread or the outermost edge of the tire and is not obstructed by any
portion of any non-pneumatic rim or wheel center member designated for
use with that tire in S4.4 of this standard or in 49 CFR 571.110 or 49
CFR 571.120.
(a) The non-pneumatic tire identification code (''NPTIC'');
(b) Load rating, which, if expressed in kilograms, shall be followed
in parenthesis by the equivalent load rating in pounds, rounded to the
nearest whole pound;
(c) For a non-pneumatic tire that is not an integral part of a
non-pneumatic tire assembly, the size and type designation of the
non-pneumatic rim or wheel center member that is contained in the
submission made by a manufacturer, pursuant to S4.4(a), or in one of the
publications described in S4.4(b) for that tire's non-pneumatic tire
identification code designation;
(d) The name of the manufacturer or brand name;
(e) The symbol DOT in the manner specified in part 574 of this
chapter, which shall constitute a certification that the tire conforms
to applicable Federal motor vehicle safety standards;
(f) The tire identification number required by 574.5 of this
chapter;
(g) The labeling requirements set forth in S6 of Standard No. 110 (
571.110), or S8 of Standard No. 120 ( 571.120).
S4.4 Non-Pneumatic Tire Identification Code and Non-Pneumatic
Rim/Wheel Center Member Matching Information. For purposes of this
standard, S8 of 49 CFR 571.110 and S10 of 49 CFR 571.120, each
manufacturer of a non-pneumatic tire that is not an integral part of a
non-pneumatic tire assembly shall ensure that it provides a listing to
the public for each non-pneumatic tire that it produces. The listing
shall include the non-pneumatic tire identification code, tire load
rating, dimensional specifications and a diagram of the portion of the
tire that attaches to the non-pneumatic rim or wheel center member, and
a list of the non-pneumatic rims or wheel center members that may be
used with that tire. For each non-pneumatic rim or wheel center member
included in such a listing, the information provided shall include a
size and type designation for the non-pneumatic rim or wheel center
member, and dimensional specifications and a diagram of the
non-pneumatic rim or portion of the wheel center member that attaches to
the tire. A listing compiled in accordance with paragraph (a) of this
section need not include dimensional specifications or a diagram of the
non-pneumatic rim or portion of the wheel center member that attaches to
the tire if the non-pneumatic rim's or portion of the wheel center
member's dimensional specifications and diagram are contained in each
listing published in accordance with paragraph (b) of this section. The
listing shall be in one of the following forms:
(a) Listed by manufacturer name or brand name in a document furnished
to dealers of the manufacturer's tires or, in the case of non-pneumatic
tires supplied only as a temporary spare tire on a vehicle, in a
document furnished to dealers of vehicles equipped with the tires, to
any person upon request, and in duplicate to the Office of Vehicle
Safety Standards, Crash Avoidance Division, National Highway Traffic
Safety Administration, U.S. Department of Transportation, Washington, DC
20590; or
(b) Contained in publications, current at the date of manufacture of
the tire or any later date, of at least one of the following
organizations:
The Tire and Rim Association
The European Tyre and Rim Technical Organization
Japan Automobile Tire Manufacturers' Association, Inc.
Deutche Industrie Norm
British Standards Institute
Scandinavian Tire and Rim Organization
Tyre and Rim Association of Australia
S5 Test Procedures.
S5.1 Physical Dimensions. After conditioning the tire at room
temperature for at least 24 hours, using equipment with minimum
measurement capabilities of one-half the smallest tolerance specified in
the listing contained in the submission made by a manufacturer pursuant
to S4.4(a), or in one of the publications described in S4.4(b) for that
tire's non-pneumatic tire identification code designation, measure the
portion of the tire that attaches to the non-pneumatic rim or the wheel
center member. For any inner diameter dimensional specifications, or
other dimensional specifications that are uniform or uniformly spaced
around some circumference of the tire, these measurements shall be taken
at least six points around the tire, or, if specified, at the points
specified in the listing contained in the submission made by an
individual manufacturer, pursuant to S4.4(a), or in one of the
publications described in S4.4(b) for that tire's non-pneumatic tire
identification code designation.
S5.2 Lateral Strength.
S5.2.1 Preparation of the tire.
S5.2.1.1 If applicable, mount a new tire on a non-pneumatic test rim
or test wheel center member.
S5.2.1.2 Mount the tire assembly in a fixture as shown in Figure 1
with the surface of the tire assembly that would face outward when
mounted on a vehicle facing toward the lateral strength test block shown
in Figure 2 and force the lateral strength test block against the tire.
S5.2.2 Test Procedure.
S5.2.2.1 Apply a load through the block to the tire at a rate of 2
inches per minute, with the load arm parallel to the tire assembly at
the time of engagement and the first point of contact with the test
block being the test block centerline shown in Figure 2, at the
following distances, B, in sequence, as shown in Figure 1:
B=A -- 1 inch
B=A -- 2 inches
B=A -- 3 inches
B=A -- 4 inches
B=A -- 5 inches, and
B=A -- 6 inches.
However, if at any time during the conduct of the test, the test
block comes in contact with the non-pneumatic test rim or test wheel
center member, the test shall be suspended and no further testing at
smaller values of the distance B shall be conducted. When tested to the
above procedure, satisfying the requirements of S4.2.2.3 for all values
of B greater than that for which contact between the non-pneumatic test
rim or test wheel center member and the test block is made, shall
constitute compliance to the requirements set forth in S4.2.2.3.
S5.3 Tire Strength.
S5.3.1 Preparation of the Tire.
S5.3.1.1 If applicable, mount the tire on a non-pneumatic test rim or
test wheel center member.
S5.3.1.2 Condition the tire assembly at room temperature for at least
three hours.
S5.3.2 Test Procedures.
S5.3.2.1 Force the test cleat, as defined in S5.3.2.2, with its
length axis (see S5.3.2.2(a)) parallel to the rolling axis of the
non-pneumatic tire assembly, and its height axis (see S5.3.2.2(c)),
coinciding with a radius of the non-pneumatic tire assembly, into the
tread of the tire at five test points equally spaced around the
circumference of the tire. At each test point, the test cleat is forced
into the tire at a rate of two inches per minute until the applicable
minimum energy level, as shown in S4.2.2.4, calculated using the formula
contained in S5.3.2.3, is reached.
S5.3.2.2 The test cleat is made of steel and has the following
dimensions;
(a) Minimum length of one inch greater than the maximum tire width of
the tire,
(b) Width of one-half inch with the surface which contacts the tire's
tread having one-quarter inch radius, and
(c) Minimum height of one inch greater than the difference between
the unloaded radius of the non-pneumatic tire assembly and the maximum
radius of the non-pneumatic rim or wheel center member, if used with the
non-pneumatic tire assembly being tested.
S5.3.2.3 The energy level is calculated by the following formula:
where
E=Energy level, inch-pounds;
F=Force, pounds; and
P=Penetration, inches
S5.4 Tire Endurance.
S5.4.1 Preparation of the tire.
S5.4.1.1 If applicable, mount a new tire on a non-pneumatic test rim
or test wheel center member.
S5.4.1.2 Condition the tire assembly to 100 5 F. for at least three
hours.
S5.4.2 Test Procedure.
S5.4.2.1 Mount the tire assembly on a test axle and press it against
a flat-faced steel test wheel 67.23 inches in diameter and at least as
wide as the maximum tire width of the tire to be tested or an approved
equivalent test wheel, with the applicable test load specified in the
table in S5.4.2.3 for the tire's non-pneumatic tire identification code
designation.
S5.4.2.2 During the test, the air surrounding the test area shall be
100 5 F.
S5.4.2.3 Conduct the test at 50 miles per hour (m.p.h.) in accordance
with the following schedule without interruption: The loads for the
following periods are the specified percentage of the load rating marked
on the tire or tire assembly:
Percent
4 hours 85
6 hours 90
24 hours 100
S5.4.2.4 Immediately after running the tire the required time, allow
the tire to cool for one hour, then, if applicable, detach it from the
non-pneumatic test rim or test wheel center member, and inspect it for
the conditions specified in S4.2.2.5.
S5.5 High Speed Endurance.
S5.5.1 After preparing the tire in accordance with S5.4.1, if
applicable, mount the tire assembly in accordance with S5.4.2.1, and
press it against the test wheel with a load of 88 percent of the tire's
load rating as marked on the tire or tire assembly.
S5.5.2 Break in the tire by running it for 2 hours at 50 m.p.h.
S5.5.3 Allow to cool to 100 5 F.
S5.5.4 Test at 75 m.p.h. for 30 minutes, 80 m.p.h. for 30 minutes and
85 m.p.h. for 30 minutes.
S5.5.5 Immediately after running the tire for the required time,
allow the tire to cool for one hour, then, if applicable, detach it from
the non-pneumatic test rim or test wheel center member, and inspect it
for the conditions specified in S4.2.2.6.
S6 Nonconforming tires. Any non-pneumatic tire that is designed for
use on passenger cars that does not conform to all the requirements of
this standard, shall not be sold, offered for sale, introduced or
delivered for introduction into interstate commerce, or imported into
the United States, for any purpose.
Insert illustration 0 817
Insert illustration 0 818
(55 FR 29590, July 20, 1990, as amended at 56 FR 19312, Apr. 26,
1991)
49 CFR 571.131 Federal Motor Vehicle Safety Standard No. 131; School
bus pedestrian safety devices.
S1. Scope. This standard establishes requirements for devices that
can be installed on school buses to improve the safety of pedestrians in
the vicinity of stopped school buses.
S2. Purpose. The purpose of this standard is to reduce deaths and
injuries by minimizing the likelihood of vehicles passing a stopped
school bus and striking pedestrians in the vicinity of the bus.
S3. Application. This standard applies to school buses.
S4. Definitions.
Stop signal arm means a device that can be extended outward from the
side of a school bus to provide a signal to other motorists not to pass
the bus because it has stopped to load or discharge passengers.
S5. Requirements. Each school bus shall be equipped with a stop
signal arm meeting the requirements of S5.1 through S5.5 as depicted in
Figure 1.
insert illus. 309
S5.1 The stop signal arm shall be a regular octagon which is at least
450 mm 450 mm (17.72 inches 17.72 inches) in diameter.
S5.2 The stop signal arm shall be red on both sides, except as
provided in S5.2.1 and S5.2.2, and S5.2.3.
S5.2.1 The stop signal arm shall have a white border at least 12 mm
(0.47 inches) wide on both sides, except as provided in S5.2.3.
S5.2.2 The stop signal arm shall have the word ''STOP'' displayed in
white upper-case letters on both sides, except as provided in S5.2.3.
The letters shall be at least 150 mm (5.9 inches) in height and have a
stroke width of at least 20 mm (0.79 inches).
S5.2.3 When two stop signal arms are installed on a school bus, the
rearmost stop signal arm shall not contain any lettering, symbols, or
markings on the forward side.
S5.3 Conspicuity. The stop signal arm shall comply with either S5.3.1
or S5.3.2, or both.
S5.3.1 The entire surface of both sides of the stop signal arm shall
be reflectorized with type III retroreflectorized material that meets
the minimum specific intensity requirements of S6.1 and Table 1. When
two stop signal arms are installed on a school bus, the forward side of
the rearmost stop signal arm shall not be reflectorized.
S5.3.2 Each side of the stop signal arm shall have at least two red
lamps that meet the requirements of S6.2. The lamps shall be centered on
the vertical centerline of the stop arm. One of the lamps shall be
located at the extreme top of the stop arm and the other at its extreme
bottom.
S5.4 The stop signal arm shall be installed on the left side of the
bus.
S5.4.1 The stop signal arm shall be located such that, when in the
extended position:
(a) The stop arm is perpendicular to the side of the bus, plus or
minus five degrees;
(b) The top edge of the sign is parallel to and within 6 inches of a
horizontal plane tangent to the lower edge of the driver's window frame;
and
(c) The vertical centerline of the stop sign is at least 9 inches
away from the side of the school bus.
S5.4.2 A second stop signal arm may be installed on a school bus.
That stop signal arm shall comply with S5.4 and S5.4.1.
S5.5 The stop signal arm shall be automatically extended in such a
manner that it complies with S5.4.1, at a minimum whenever the red
signal lamps required by S5.1.4 of Standard No. 108 are activated;
except that a device may be installed that prevents the automatic
extension of a stop signal arm. The mechanism for activating the device
shall be within the reach of the driver. While the device is activated,
a continuous or intermittent signal audible to the driver shall sound.
The audible signal may be equipped with a timing device requiring the
signal to sound for at least 60 seconds. If a timing device is used, it
shall automatically recycle every time the service entry door is opened
while the engine is running and the manual override is engaged.
S6 Test Procedures.
S6.1 Reflectivity Test. When tested under the conditions specified
in S6.2 (b), (c), and (d) of Federal motor vehicle safety standard 125,
Warning Devices, (49 CFR 571.125), the retroreflective materials shall
meet the criteria specified in table 1.
S6.2 Lighting Tests.
S6.2.1 Color. The procedure shall be done in accordance with the
Society of Automotive Engineers (SAE) J578, Color Specification (May
1988), 1990 SAE Handbook, Society of Automotive Engineers, Inc. Along
with the incorporation by reference in S6.2.3, this incorporation by
reference was approved by the Director of the Federal Register in
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies may be
obtained from the Society of Automotive Engineers, 400 Commonwealth
Drive, Warrendale, PA 15096-0001. Copies may be inspected at Docket
Room, National Highway Traffic Safety Administration, 400 Seventh
Street, SW., Washington, DC 20590 or at the Office of the Federal
Register, 1100 L Street, NW., room 8401, Washington, DC. When visually
compared to the light emitted from a filter/source with a combination of
chromaticity coordinates as explained in SAE J578, Color Specification
(May 1988), within specific boundaries (y=0.33 (yellow boundary) and
y=0.98 -- (purple boundary)) the color of light emitted from the test
object shall not be less saturated (paler), yellower, or purpler. The
test object shall be placed perpendicular to the light source to
simulate lamps on stop signal arms. In making visual comparisons, the
light from the test object shall light one portion of a comparison field
and the light from the filter/source standard shall light an adjacent
area. To make a valid visual comparison, the two fields to be viewed
shall be of near equal luminance.
S6.2.2 Flash Rate. The lamps on each side of the stop signal arm,
when operated at the manufacturer's design load, shall flash at a rate
of 60-120 flashes per minute with a current ''on'' time of 50 percent.
S6.2.3 Vibration, Moisture, Dust, Corrosion, Photometry, and Warpage
Tests. The procedure shall be done in accordance with the Society of
Automotive Engineers (SAE) J575, Tests for Motor Vehicle Lighting
Devices and Components, (July 1983) and Society of Automotive Engineers
(SAE) J1133, School Bus Stop Arm, (April 1984), 1990 SAE Handbook,
Society of Automotive Engineers, Inc. Lamps and lighting components
shall meet the criteria for vibration, moisture, dust, corrosion,
photometry, and warpage in SAE J575, Tests for Motor Vehicle Lighting
Devices and Components, (July 1983) and SAE J1133, School Bus Stop Arm,
(April 1984) under the test conditions specified herein.
(56 FR 20370, May 3, 1991)
Effective Date Note: At 56 FR 20370, May 3, 1991, 571.131 was
added, effective September 1, 1992.
49 CFR 571.201Standard No. 201; Occupant protection in interior
impact.
S1. Purpose and scope. This standard specifies requirements to
afford impact protection for occupants.
S2. Application. This standard applies to passenger cars and to
multipurpose passenger vehicles, trucks and buses with a GVWR of 10,000
pounds or less.
S3. Requirements for passenger cars and for trucks, buses and
multipurpose passenger vehicles with a GVWR of 10,000 pounds or less
manufactured on or after September 1, 1981.
S3.1 Instrument panels. Except as provided in S3.1.1., when that
area of the instrument panel that is within the head impact area is
impacted in accordance with S3.1.2 by a 15-pound, 6.5-inch diameter head
form at --
(a) A relative velocity of 15 miles per hour for all vehicles except
those specified in paragraph (b) of this section,
(b) A relative velocity of 12 miles per hour for vehicles that meet
the occupant crash protection requirements of S5.1 of 49 CFR 571.208 by
means of inflatable restraint systems and meet the requirements of
S4.1.2.1(c)(2) of 49 CFR 571.208 by means of a Type 2 seat belt assembly
at the right front designated seating position, the deceleration of the
head form shall not exceed 80g continuously for more than 3
milliseconds.
S3.1.1 The requirements of S3.1 do not apply to:
(a) Console assemblies;
(b) Areas less than 5 inches inboard from the juncture of the
instrument panel attachment to the body side inner structure;
(c) Areas closer to the windshield juncture than those statically
contactable by the head form with the windshield in place;
(d) Areas outboard of any point of tangency on the instrument panel
of a 6.5-inch diameter head form tangent to and inboard of a vertical
longitudinal plane tangent to the inboard edge of the steering wheel;
or
(e) Areas below any point at which a vertical line is tangent to the
rearmost surface of the panel.
S3.1.2 Demonstration procedures. Tests shall be performed as
described in Society of Automotive Engineers Recommended Practice J921,
''Instrument Panel Laboratory Impact Test Procedure,'' June 1965, using
the specified instrumentation or instrumentation that meets the
performance requirements specified in Society of Automotive Engineers
Recommended Practice J977, ''Instrumentation for Laboratory Impact
Tests,'' November 1966, except that:
(a) The origin of the line tangent to the instrument panel surface
shall be a point on a transverse horizontal line through a point 5
inches horizontally forward of the seating reference point of the front
outboard passenger designated seating position, displaced vertically an
amount equal to the rise which results from a 5-inch forward adjustment
of the seat or 0.75 inches; and
(b) Direction of impact shall be either:
(1) In a vertical plane parallel to the vehicle longitudinal axis;
or
(2) In a plane normal to the surface at the point of contact.
S3.2 Seat Backs. Except as provided in S3.2.1, when that area of the
seat back that is within the head impact area is impacted in accordance
with S3.2.2 by a 15-pound, 6.5-inch diameter head form at a relative
velocity of 15 miles per hour, the deceleration of the head form shall
not exceed 80g continuously for more than 3 milliseconds.
S3.2.1 The requirements of S3.2 do not apply to seats installed in
school buses which comply with the requirements of Standard No. 222,
School Bus Passenger Seating and Occupant Protection (49 CFR 571.222) or
to rearmost side-facing, back-to-back, folding auxiliary jump, and
temporary seats.
S3.2.2 Demonstration procedures. Tests shall be performed as
described in Society of Automotive Engineers Recommended Practice J921,
''Instrument Panel Laboratory Impact Test Procedure,'' June 1965, using
the specified instrumentation or instrumentation that meets the
performance requirements specified in Society of Automotive Engineers
Recommended Practice J977, ''Instrumentation for Laboratory Impact
Tests,'' November 1966, except that:
(a) The origin of the line tangent to the uppermost seat back frame
component shall be a point on a transverse horizontal line through the
seating reference point of the right rear designated seating position,
with adjustable forward seats in their rearmost design driving position
and reclinable forward seat backs in their nominal design driving
position;
(b) The direction of impact shall be either:
(1) In a vertical plane parallel to the vehicle longitudinal axis;
or
(2) In a plane normal to the surface at the point of contact;
(c) For seats without head restraints installed, tests shall be
performed for each individual split or bucket seat back at points within
4 inches left and right of its centerline, and for each bench seat back
between points 4 inches outboard of the centerline of each outboard
designated seating position;
(d) For seats having head restraints installed, each test shall be
conducted with the head restraint in place at its lowest adjusted
position, at a point on the head restraint centerline; and
(e) For a seat that is installed in more than one body style, tests
conducted at the fore and aft extremes identified by application of
subparagraph (a) shall be deemed to have demonstrated all intermediate
conditions.
S3.3 Interior compartment doors. Each interior compartment door
assembly located in an instrument panel, console assembly, seat back, or
side panel adjacent to a designated seating position shall remain closed
when tested in accordance with either S3.3.1(a) and S3.3.1(b) or
S3.3.1(a) and S3.3.1(c). Additionally, any interior compartment door
located in an instrument panel or seat back shall remain closed when the
instrument panel or seat back is tested in accordance with S3.1 and
S3.2. All interior compartment door assemblies with a locking device
must be tested with the locking device in an unlocked position.
S3.3.1 Demonstration procedures. (a) Subject the interior
compartment door latch system to an inertia load of 10g in a horizontal
transverse direction and an inertia load of 10g in a vertical direction
in accordance with the procedure described in section 5 of SAE
Recommended Practice J839b, ''Passenger Car Side Door Latch Systems,''
May 1965, or an approved equivalent.
(b) Impact the vehicle perpendicularly into a fixed collision barrier
at a forward longitudinal velocity of 30 miles per hour.
(c) Subject the interior compartment door latch system to a
horizontal inertia load of 30g in a longitudinal direction in accordance
with the procedure described in section 5 of SAE Recommended Practice
J839b, ''Passenger Car Side Door Latch Systems,'' May 1965, or an
approved equivalent.
S3.4 Sun visors.
S3.4.1 A sun visor that is constructed of or covered with
energy-absorbing material shall be provided for each front outboard
designated seating position.
S3.4.2 Each sun visor mounting shall present no rigid material edge
radius of less than 0.125 inch that is statically contractable by a
spherical 6.5-inch diameter head form.
S3.5 Armrests.
S3.5.1 General. Each installed armrest shall conform to at least one
of the following:
(a) It shall be constructed with energy-absorbing material and shall
deflect or collapse laterally at least 2 inches without permitting
contact with any underlying rigid material.
(b) It shall be constructed with energy-absorbing material that
deflects or collapses to within 1.25 inches of a rigid test panel
surface without permitting contact with any rigid material. Any rigid
material between 0.5 and 1.25 inches from the panel surface shall have a
minimum vertical height of not less than 1 inch.
(c) Along not less than 2 continuous inches of its length, the
armrest shall, when measured vertically in side elevation, provide at
least 2 inches of coverage within the pelvic impact area.
S3.5.2 Folding armrests. Each armrest that folds into the seat back
or between two seat backs shall either:
(a) Meet the requirement of S3.5.1; or
(b) Be constructed of or covered with energy-absorbing material.
(36 FR 22902, Dec. 2, 1971, as amended at 44 FR 68475, Nov. 29, 1979;
47 FR 52451, Nov. 22, 1982; 56 FR 26039, June 6, 1991)
49 CFR 571.202Standard No. 202; Head restraints.
S1. Purpose and scope. This standard specifies requirements for head
restraints to reduce the frequency and severity of neck injury in
rear-end and other collisions.
S2. Application. This standard applies to passenger cars, and to
multipurpose passenger vehicles, trucks and buses with a GVWR of 10,000
pounds or less.
S3. Definitions. Head restraint means a device that limits rearward
angular displacement of the occupant's head relative to his torso line.
S4. Requirements.
S4.1 Each passenger car shall comply with S4.3.
S4.2 Each truck, multipurpose passenger vehicle and bus with a GVWR
of 10,000 pounds or less, manufactured on or after September 1, 1991,
shall comply with S4.3.
S4.3 Performance levels. Except for school buses, a head restraint
that conforms to either (a) or (b) shall be provided at each outboard
front designated seating position. For school buses, a head restraint
that conforms to either (a) or (b) shall be provided for the driver's
seating position.
(a) It shall, when tested in accordance with S5.1, during a forward
acceleration of at least 8g on the seat supporting structure, limit
rearward angular displacement of the head reference line to 45 from the
torso reference line; or
(b) It shall, when adjusted to its fully extended design position,
conform to each of the following --
(1) When measured parallel to torso line, the top of the head
restraint shall not be less than 27.5 inches above the seating reference
point;
(2) When measured either 2.5 inches below the top of the head
restraint or 25 inches above the seating reference point, the lateral
width of the head restraint shall be not less than --
(i) 10 inches for use with bench-type seats; and
(ii) 6.75 inches for use with individual seats;
(3) When tested in accordance with S5.2, the rearmost portion of the
head form shall not be displaced to more than 4 inches perpendicularly
rearward of the displaced extended torso reference line during the
application of the load specified in S5.2(c); and
(4) When tested in accordance with S5.2, the head restraint shall
withstand an increasing load until one of the following occurs:
(i) Failure of the seat or seat back; or,
(ii) Application of a load of 200 pounds.
S5. Demonstration procedures.
S5.1 Compliance with S4.3(a) shall be demonstrated in accordance with
the following with the head restraint in its fully extended design
position:
(a) On the exterior profile of the head and torso of a dummy having
the weight and seated height of a 95th percentile adult male with an
approved representation of a human, articulated neck structure, or an
approved equivalent test device, establish reference lines by the
following method:
(1) Position the dummy's back on a horizontal flat surface with the
lumbar joints in a straight line.
(2) Rotate the head of the dummy rearward until the back of the head
contacts the same flat horizontal surface in paragraph (1).
(3) Position the SAE J-826 two-dimensional manikin's back against the
flat surface in S5.1(a)(1), alongside the dummy with the h-point of the
manikin aligned with the h-point of the dummy.
(4) Establish the torso line of the manikin as defined in SAE
Aerospace-Automotive Drawing Standards, sec. 2.3.6, P.E1.01, September
1963.
(5) Establish the dummy torso reference line by superimposing the
torso line of the manikin on the torso of the dummy.
(6) Establish the head reference line by extending the dummy torso
reference line onto the head.
(b) At each designated seating position having a head restraint,
place the dummy, snugly restrained by a Type 1 seat belt, in the
manufacturer's recommended design seated position.
(c) During a forward acceleration applied to the structure supporting
the seat as described below, measure the maximum rearward angular
displacement between the dummy torso reference line and the head
reference line. When graphically depicted, the magnitude of the
acceleration curve shall not be less than that of a half-sine wave
having the amplitude of 8g and a duration of 80 milliseconds and not
more than that of a half-sine wave curve having an amplitude of 9.6g and
a duration of 96 milliseconds.
S5.2 Compliance with S4.3(b) shall be demonstrated in accordance with
the following with the head restraint in its fully extended design
position:
(a) Place a test device, having the back plan dimensions and torso
line (centerline of the head room probe in full back position), of the
three dimensional SAE J826 manikin, at the manufacturer's recommended
design seated position.
(b) Establish the displaced torso reference line by applying a
rearward moment of 3,300 in. lb. about the seating reference point to
the seat back through the test device back pan located in (a).
(c) After removing the back pan, using a 6.5 inch diameter spherical
head form or a cylindrical head form having a 6.5 inch diameter in plan
view and a 6-inch height in profile view, apply, perpendicular to the
displaced torso reference line, a rearward initial load 2.5 inches below
the top of the head restraint that will produce a 3,300 in. lb. moment
about the seating reference point.
(d) Gradually increase this initial load to 200 pounds or until the
seat or seat back fails, whichever occurs first.
(36 FR 22902, Dec. 2, 1971, as amended at 54 FR 39187, Sept. 25,
1989)
49 CFR 571.203Standard No. 203; Impact protection for the driver from
the steering control system.
S1. Purpose and scope. This standard specifies requirements for
steering control systems that will minimize chest, neck, and facial
injuries to the driver as a result of impact.
S2. Application. This standard applies to passenger cars and to
multipurpose passenger vehicles, trucks and buses with a GVWR of 10,000
pounds or less. However, it does not apply to vehicles that conform to
the frontal barrier crash requirements (S5.1) of Standard No. 208 (49
CFR 571.208) by means of other than seat belt assemblies. It also does
not apply to walk-in vans.
S3. Definitions. Steering control system means the basic steering
mechanism and its associated trim hardware, including any portion of a
steering column assembly that provides energy absorption upon impact.
S4. Requirements. Each passenger car and each multipurpose passenger
vehicle, truck and bus with a GVWR of 10,000 pounds or less manufactured
on or after September 1, 1981, shall meet the requirements of S5.1 and
S5.2.
S5. Impact protection requirements.
S5.1 When the steering control system is impacted in accordance with
Society of Automotive Engineers Recommended Practice J944, ''Steering
Wheel Assembly Laboratory Test Procedure,'' December 1965, or an
approved equivalent, at a relative velocity of 15 miles per hour, the
impact force developed on the chest of the body block transmitted to the
steering control system shall not exceed 2,500 pounds, except for
intervals whose cumulative duration is not more than 3 milliseconds.
S5.2 The steering control system shall be so constructed that no
components or attachments, including horn actuating mechanisms and trim
hardware, can catch the driver's clothing or jewelry during normal
driving maneuvers.
Note: The term jewelry refers to watches, rings, and bracelets
without loosely attached or dangling members.
(36 FR 22902, Dec. 2, 1971, as amended at 44 FR 68475, Nov. 29, 1979;
47 FR 47842, Oct. 28, 1982)
49 CFR 571.204Standard No. 204; Steering control rearward
displacement.
S1. Purpose and scope. This standard specifies requirements limiting
the rearward displacement of the steering control into the passenger
compartment to reduce the likelihood of chest, neck, or head injury.
S2. Application. This standard applies to passenger cars and to
multipurpose passenger vehicles, trucks, and buses. However, it does
not apply to walk-in vans.
S3. Definitions.
Steering column means a structural housing that surrounds a steering
shaft.
Steering shaft means a component that transmits steering torque from
the steering wheel to the steering gear.
S4 Requirements.
S4.1 Vehicles manufactured before September 1, 1991. When a
passenger car or a truck, bus, or multipurpose passenger vehicle with a
gross vehicle weight rating of 10,000 pounds or less and an unloaded
vehicle weight of 4,000 pounds or less is tested under the conditions of
S5 in a 30 mile per hour perpendicular impact into a fixed collision
barrier, the upper end of the steering column and shaft in the vehicle
shall not be displaced more than 5 inches in a horizontal rearward
direction parallel to the longitudinal axis of the vehicle. The amount
of displacement shall be measured relative to an undisturbed point on
the vehicle and shall represent the maximum dynamic movement of the
upper end of the steering column and shaft during the crash test.
S4.2 Vehicles manufactured on or after September 1, 1991. When a
passenger car or a truck, bus, or multipurpose passenger vehicle with a
gross vehicle weight rating of 10,000 pounds or less and an unloaded
vehicle weight of 5,500 pounds or less is tested under the conditions of
S5 in a 30 mile per hour perpendicular impact into a fixed collision
barrier, the upper end of the steering column and shaft in the vehicle
shall not be displaced more than 5 inches in a horizontal rearward
direction parallel to the longitudinal axis of the vehicle. The amount
of displacement shall be measured relative to an undisturbed point on
the vehicle and shall represent the maximum dynamic movement of the
upper end of the steering column and shaft during the crash test.
S5 Test conditions. The requirements of S4 shall be met when the
vehicle is tested in accordance with the following conditions.
S5.1 The vehicle, including test devices and instrumentation, is
loaded to its unloaded vehicle weight.
S5.2 Adjustable steering controls are adjusted so that a tilting
steering wheel hub is at the geometric center of the locus it describes
when it is moved through its full range of driving positions. A
telescoping steering control is set at the adjustment position midway
between the forwardmost and rearwardmost position.
S5.3 Convertibles and open-body type vehicles have the top, if any,
in place in the closed passenger compartment configuration.
S5.4 Doors are fully closed and latched but not locked.
S5.5 The fuel tank is filled to any level from 90 to 95 percent of
capacity.
S5.6 The parking brake is disengaged and the transmission is in
neutral.
S5.7 Tires are inflated to the vehicle manufacturer's specifications.
(52 FR 44897, Nov. 23, 1987)
49 CFR 571.205Standard No. 205, Glazing materials.
S1. Scope. This standard specifies requirements for glazing materials
for use in motor vehicles and motor vehicle equipment.
S2. Purpose. The purpose of this standard is to reduce injuries
resulting from impact to glazing surfaces, to ensure a necessary degree
of transparency in motor vehicle windows for driver visibility, and to
minimize the possibility of occupants being thrown through the vehicle
windows in collisions.
S3. Application. This standard applies to glazing materials for use
in passenger cars, multipurpose passenger vehicles, trucks, buses,
motorcycles, slide-in campers, and pickup covers designed to carry
persons while in motion.
S4. Definitions. Bullet resistant shield means a shield or barrier
that is installed completely inside a motor vehicle behind and separate
from glazing materials that independently comply with the requirements
of this standard.
Camper means a structure designed to be mounted in the cargo area of
a truck, or attached to an incomplete vehicle with motive power, for the
purpose of providing shelter for persons.
Glass-plastic glazing material means a laminate of one or more layers
of glass and one or more layers of plastic in which a plastic surface of
the glazing faces inward when the glazing is installed in a vehicle.
Motor home means a multipurpose passenger vehicle that provides
living accommodations for persons.
Pickup cover means a camper having a roof and sides but without a
floor, designed to be mounted on and removable from the cargo area of a
truck by the user.
Slide-in camper means a camper having a roof, floor, and sides,
designed to be mounted on and removable from the cargo area of a truck
by the user.
S5. Requirements.
S5.1 Materials.
S5.1.1 Glazing materials for use in motor vehicles, expect as
otherwise provided in this standard shall conform to the American
National Standard ''Safety Code for Safety Glazing Materials for Glazing
Motor Vehicles Operating on Land Highways'' Z-26.1-1977, January 26,
1977, as supplemented by Z26.1a, July 3, 1980 (hereinafter referred to
as ''ANS Z26''). However, Item 11B glazing as specified in that
standard may not be used in motor vehicles at levels requisite for
driving visibility, and Item 11B glazing is not required to pass Test
Nos. 17, 30, and 31.
S5.1.1.1 The chemicals specified for testing chemical resistance in
Tests Nos. 19 and 20 of ANS Z26 shall be:
(a) One percent solution of nonabrasive soap.
(b) Kerosene.
(c) Undiluted denatured alcohol, Formula SD No. 30 (1 part
100-percent methyl alcohol in 10 parts 190-proof ethyl alcohol by
volume).
(d) Gasoline, ASTM Reference Fuel C, which is composed of Isooctane
50 volume percentage and Toluene 50 volume percentage. Isooctane must
conform to A2.7 in Annex 2 of the Motor Fuels Section of the 1985 Annual
Book of ASTM Standards, Vol. 05.04, and Toluene must conform to ASTM
Specification D362-84, Standard Specification for Industrial Grade
Toluene. ASTM Reference Fuel C must be used as specified in:
(1) Paragraph A2.3.2 and A2.3.3 of Annex 2 of Motor Fuels, Section 1
in the 1985 Annual Book of ASTM Standards; and
(2) OSHA Standard 29 CFR 1910.106 -- ''Handling Storage and Use of
Flammable Combustible Liquids.''
This incorporation by reference was approved by the Director of the
Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51.
Copies may be inspected at the Technical Reference Library, NHTSA, 400
Seventh Street, SW., Room 5108, Washington, DC 20590, or at the Office
of the Federal Register, 1100 L. Street, NW., room 8401, Washington,
DC.
S5.1.1.2 The following locations are added to the lists specified in
ANS Z26 in which item 4, item 5, item 8, and item 9 safety glazing may
be used:
(a) -- (i) (Reserved)
(j) Windows and doors in motor homes, except for the windshield and
windows to the immediate right or left of the driver.
(k) Windows and doors in slide-in campers and pickup covers.
(l) Windows and doors in buses except for the windshield, windows to
the immediate right or left of the driver, and rearmost windows if used
for driving visibility.
(m) For Item 5 safety glazing only: Motorcycle windscreens below the
intersection of a horizontal plane 15 inches vertically above the lowest
seating position.
S5.1.1.3 The following locations are added to the lists specified in
ANS Z26 in which item 6 and item 7 safety glazing may be used:
(a) -- (i) (Reserved)
(j) Windows and doors in motor homes, except for the windshield,
forward-facing windows, and windows to the immediate right or left of
the driver.
(k) Windows, except forward-facing windows, and doors in slide-in
campers and pickup covers.
(l) For item 7 safety glazing only:
(1) Standee windows in buses.
(2) Interior partitions.
(3) Openings in the roof.
S5.1.1.4 The following locations are added to the lists specified in
ANS Z26 in which item 8 and item 9 safety glazing may be used:
(a) -- (e) (Reserved)
(f) Windows and doors in motor homes, except for the windshield and
windows to the immediate right or left of the driver.
(g) Windows and doors in slide-in campers and pickup covers.
S5.1.1.5 The phrase ''readily removable'' windows as defined in ANS
Z26, for the purposes of this standard, in buses having a GVWR of more
than 10,000 pounds, shall include pushout windows and windows mounted in
emergency exits that can be manually pushed out of their location in the
vehicle without the use of tools, regardless of whether such windows
remain hinged at one side to the vehicle.
S5.1.1.6 Multipurpose passenger vehicles. Except as otherwise
specifically provided by this standard, glazing for use in multipurpose
passenger vehicles shall conform to the requirements for glazing for use
in trucks as specified in ANS Z26.
S5.1.1.7 Test No. 17 is deleted from the list of tests specified in
ANS Z26 for Item 5 glazing material and Test No. 18 is deleted from the
lists of tests specified in ANS Z26 for Item 3 and Item 9 glazing
material.
S5.1.2 In addition to the glazing materials specified in ANS Z26,
materials conforming to S5.1.2.1, S5.1.2.2, S5.1.2.3 or S5.1.2.4 may be
used in the locations of motor vehicles specified in those sections.
S5.1.2.1 Item 11C -- Safety Glazing Material for Use in Bullet
Resistant Shields. Bullet resistant glazing that complies with Test
Nos. 2, 17, 19, 20, 21, 24, 27, 28, 29, 30 and 32 of ANS Z26 and the
labeling requirements of S5.1.2.5 may be used only in bullet resistant
shields that can be removed from the motor vehicle easily for cleaning
and maintenance. A bullet resistant shield may be used in areas
requisite for driving visibility only if the combined parallel luminous
transmittance with perpendicular incidence through both the shield and
the permanent vehicle glazing is at least 60 percent.
S5.1.2.2 Item 12 -- Rigid Plastics. Safety plastics materials that
comply with Test Nos. 10, 13, 16, 19, 20, 21 and 24 of ANS Z26, with
the exception of the test for resistance to undilated denatured alcohol
Formula SD No. 30, and that comply with the labeling requirements of
S5.1.2.5, may be used in a motor vehicle only in the following specified
locations at levels not requisite for driving visibility.
(a) Window and doors in slide-in campers and pick-up covers.
(b) Motorcycle windscreens below the intersection of a horizontal
plane 15 inches vertically above the lowest seating position.
(c) Standee windows in buses.
(d) Interior partitions.
(e) Openings in the roof.
(f) Flexible curtains or readily removable windows or in ventilators
used in conjunction with readily removable windows.
(g) Windows and doors in motor homes, except for the windshield and
windows to the immediate right or left of the driver.
(h) Windows and doors in buses except for the windshield and window
to the immediate right and left of the driver.
S5.1.2.3 Item 13 -- Flexible plastics. Safety plastic materials that
comply with Tests Nos. 16, 19, 20, 22, and 23 or 24 of ANS Z26, with
the exception of the test for resistance to undiluted denatured alcohol
Formula SD No. 30, and that comply with the labeling requirements of
S5.1.2.5 may be used in the following specific locations at levels not
requisite for driving visibility.
(a) Windows, except forward-facing windows, and doors in slide-in
campers and pick-up covers.
(b) Motocycle windscreens below the intersection of a horizontal
plane 15 inches vertically above the lowest seating position.
(c) Standee windows in buses.
(d) Interior partitions.
(e) Openings in the roof.
(f) Flexible curtains or readily removable windows or in ventilators
used in conjunction with readily removable windows.
(g) Windows and doors in motor homes, except for the windshield,
forward-facing windows, and windows to the immediate right or left of
the driver.
S5.1.2.4 Item 14 -- Glass-Plastics. Glass-plastic glazing materials
that comply with the labeling requirements of S5.1.2.10 and Tests No.
1, 2, 3, 4, 9, 12, 15, 16, 17, 18, 19, 24, 26 and 28, as those tests are
modified in S5.1.2.9 Test Procedures for Glass-Plastics, may be used
anywhere in a motor vehicle, except that it may not be used in
convertibles, in vehicles that have no roof or in vehicles whose roofs
are completely removable.
S5.1.2.5 Item 15A -- Annealed Glass-Plastic for Use in All Positions
in a Vehicle Except the Windshield. Glass-plastic glazing materials
that comply with Test Nos. 1, 2, 3, 4, 9, 12, 16, 17, 18, 19, 24, and
28, as those tests are modified in S5.1.2.9 Test Procedures for
Glass-Plastics, may be used anywhere in a motor vehicle except the
windshield, and may not be used in convertibles, in vehicles that have
no roof or in vehicles whose roofs are completely removable.
S5.1.2.6 (Reserved)
S5.1.2.7. Item 16A -- Annealed Glass-Plastic for Use in all Positions
in a Vehicle not Requisite for Driving Visibility. Glass-plastic
glazing materials that comply with Test Nos. 3, 4, 9, 12, 16, 19, 24,
and 28, as those tests are modified in S5.1.2.9 Test Procedures for
Glass-Plastics, may be used in a motor vehicle in all locations not
requisite for driving visibility.
S5.1.2.8. Item 16B -- Tempered Glass-Plastic for Use in all Positions
in a Vehicle not Requisite for Driving Visibility. Glass-plastic
glazing materials that comply with Test Nos. 3, 4, 6, 7, 8, 16, 19, 24,
and 28, as those tests are modified in S5.1.2.9 Test Procedures for
Glass-Plastics, may be used in a motor vehicle in all locations not
requisite for driving visibility.
S5.1.2.9 Test Procedures for Glass-Plastics. (a) Tests Nos 6, 7, 8,
9, 12, 16, and 18 shall be conducted on the glass side of the specimen,
i.e., the surface which would face the exterior of the vehicle. Tests
Nos. 17, 19, 24, and 26 shall be conducted on the plastic side of the
specimen, i.e., the surface which would face the interior of the
vehicle. Test No. 15 should be conducted with the glass side of the
glazing facing the illuminated box and the screen, respectively. For
Test No. 19, add the following to the specified list: an aqueous
solution of isopropanol and glycol ether solvents in concentration no
greater than 10% or less than 5% by weight and ammonium hydroxide no
greater than 5% or less than 1% by weight, simulating typical commercial
windshield cleaner.
(b) Glass-plastic specimens shall be exposed to an ambient air
temperature of ^40 C ( 5 C), which is equivalent to ^40 F (^9 F), for a
period of 6 hours at the commencement of Test No. 28, rather than at
the initial temperature specified in that test. After testing, the
glass-plastic specimens shall show no evidence of cracking, clouding,
delaminating, or other evidence of deterioration.
(c) Glass-plastic specimens tested in accordance with Test No. 17
shall be carefully rinsed with distilled water following the abrasion
procedure and wiped dry with lens paper. After this procedure, the
arithmetic means of the percentage of light scattered by the three
specimens as a result of abrasion shall not exceed 4.0 percent.
(d) Data obtained from Test No. 1 should be used when conducting
Test No. 2.
(e) The glass-plastic glazing specimen tested in accordance with Test
No. 26 shall be clamped in the test fixture in Figure 1 of this
standard in the manner shown in that figure. The clamping gasket shall
be made of rubber 3 millimeters (mm) thick of hardness 50 IRHD
(International Rubber Hardness Degrees), plus or minus five degrees.
Movement of the test specimen, measured after the test, shall not exceed
2 mm at any point along the inside periphery of the fixture. Movement
of the test specimen beyond the 2 mm limit shall be considered an
incomplete test, not a test failure. A specimen used in such an
incomplete test shall not be retested.
S5.1.2.10 Cleaning instructions. (a) Each manufacturer of glazing
materials designed to meet the requirements of S5.1.2.1, S5.1.2.2,
S5.1.2.3, S5.1.2.4, S5.1.2.5, S5.1.2.7, or S5.1.2.8 shall affix a label,
removable by hand without tools, to each item of such glazing material.
The label shall identify the product involved, specify instructions and
agents for cleaning the material that will minimize the loss of
transparency, and instructions for removing frost and ice, and, at the
option of the manufacturer, refer owners to the vehicle's Owner's Manual
for more specific cleaning and other instructions.
(b) Each manufacturer of glazing materials designed to meet the
requirements of paragraphs S5.1.2.4, S5.1.2.5, S5.1.2.7, or S5.1.2.8 may
permanently and indelibly mark the lower center of each item of such
glazing material, in letters not less than 3/16 inch nor more than 1/4
high, the following words,
GLASS PLASTIC MATERIAL -- SEE OWNER'S MANUAL FOR CARE INSTRUCTIONS.
S5.2 Edges. In vehicles except schoolbuses, exposed edges shall be
treated in accordance with SAE Recommended Practice J673a, ''Automotive
Glazing'', August 1967. In schoolbuses, exposed edges shall be banded.
S6. Certification and marking.
S6.1 Each prime glazing material manufacturer, except as specified
below, shall mark the glazing materials it manufactures in accordance
with section 6 of ANS Z26. The material specified in S5.1.2.1,
S5.1.2.2., S5.1.2.3, S5.1.2.4, S5.1.2.5, S5.1.2.7, and S5.1.2.8 shall be
identified by the marks ''AS 11C'', ''AS 12'', ''AS 13'', ''AS 14'',
''AS 15A'', ''AS 16A'', and ''AS 16B'', respectively. A prime glazing
material manufacturer is one who fabricates, laminates, or tempers the
glazing material.
S6.2 Each prime glazing material manufacturer shall certify each
piece of glazing material to which this standard applies that is
designed as a component of any specific motor vehicle or camper,
pursuant to section 114 of the National Traffic and Motor Vehicle Safety
Act of 1966, by adding to the mark required by S6.1 in letters and
numerals of the size specified in section 6 of ANS Z26, the symbol
''DOT'' and a manufacturer's code mark, which will be assigned by the
NHTSA on the written request of the manufacturer.
S6.3 Each prime glazing material manufacturer shall certify each
piece of glazing material to which this standard applies that is
designed to be cut into components for use in motor vehicles or items of
motor vehicle equipment, pursuant to section 114 of the National Traffic
and Motor Vehicle Safety Act.
S6.4 Each manufacturer or distributor who cuts a section of glazing
material to which this standard applies, for use in a motor vehicle or
camper, shall mark that material in accordance with section 6 of ANS
Z26.
S6.5 Each manufacturer or distributor who cuts a section of glazing
material to which this standard applies, for use in a motor vehicle or
camper, shall certify that his product complies with this standard in
accordance with section 114 of the National Traffic and Motor Vehicle
Safety Act.
insert illus. 323
(37 FR 12239, June 21, 1972, as amended at 37 FR 13097, July 1, 1972;
37 FR 24036, Nov. 11, 1972; 37 FR 24826, Nov. 22, 1972; 42 FR 61466,
Dec. 5, 1977; 45 FR 47151, July 14, 1980; 46 FR 43690, Aug. 31, 1981;
48 FR 52065, Nov. 16, 1983; 49 FR 6734, Feb. 23, 1984; 56 FR 12674,
Mar. 27, 1991; 56 FR 18531, Apr. 23, 1991; 56 FR 49149, Sept. 27,
1991)
49 CFR 571.206Standard No. 206; Door locks and door retention
components.
S1. Purpose and scope. This standard specifies requirements for side
door locks and side door retention components including latches, hinges,
and other supporting means, to minimize the likelihood of occupants
being thrown from the vehicle as a result of impact.
S2. Application. This standard applies to passenger cars,
multipurpose passenger vehicles, and trucks.
S3. Definitions. Cargo-Type Door means a door designed primarily to
accommodate cargo loading including, but not limited to, a two-part door
that latches to itself.
Side front door means a door that in a side view, has 50 percent or
more of its opening area forward of the rearmost point on the driver's
seatback, when the driver's seat is adjusted to its most vertical and
rearward position.
Side rear door means a door that, in a side view, has more than 50
percent of its opening area to the rear of the rearmost point on the
driver's seatback, when the driver's seat is adjusted to its most
vertical and rearward position.
S4. Requirements. Components on any side door leading directly into a
compartment that contains one or more seating accommodations shall
conform to this standard. However, components on folding doors, roll-up
doors, doors that are designed to be easily attached to or removed from
motor vehicles manufactured for operation without doors, and side doors
which are equipped with wheelchair lifts and which are linked to an
alarm system consisting of either a flashing visible signal located in
the driver's compartment or an alarm audible to the driver which is
activated when the door is open, need not conform to this standard.
S4.1 Hinged Doors, Except Cargo-Type Doors.
S4.1.1 Door Latches. Each door latch and striker assembly shall be
provided with two positions consisting of --
(a) A fully latched position; and
(b) A secondary latched position.
S4.1.1.1 Longitudinal Load. The door latch and striker assembly,
when in the fully latched position, shall not separate when a
longitudinal load of 2,500 pounds is applied. When in the secondary
latched position, the door latch and striker assembly shall not separate
when a longitudinal load of 1,000 pounds is applied.
S4.1.1.2 Transverse Load. The door latch and striker assembly, when
in the fully latched position, shall not separate when a transverse load
of 2,000 pounds is applied. When in the secondary latched position, the
door latch and striker assembly shall not separate when a transverse
load of 1,000 pounds is applied.
S4.1.1.3 Inertia Load. The door latch shall not disengage from the
fully latched position when a longitudinal or transverse inertia load of
30g is applied to the door latch system (including the latch and its
actuating mechanism with the locking mechanism disengaged).
S4.1.2 Door Hinges. Each door hinge system shall support the door
and shall not separate when a longitudinal load of 2,500 pounds is
applied. Similarly, each door hinge system shall not separate when a
transverse load of 2,000 pounds is applied.
S4.1.3 Door Locks. Each door shall be equipped with a locking
mechanism with an operating means in the interior of the vehicle.
S4.1.3.1 Side Front Door Locks. When the locking mechanism is
engaged, the outside door handle or other outside latch release control
shall be inoperative.
S4.1.3.2 Side Rear Door Locks. In passenger cars and multipurpose
passenger vehicles, when the locking mechanism is engaged both the
outside and inside door handles or other latch release controls shall be
inoperative.
S4.2 Hinged Cargo-Type Doors.
S4.2.1 Door Latches.
S4.2.1.1 Longitudinal Load. Each latch system, when in the latched
position, shall not separate when a longitudinal load of 2,500 pounds is
applied.
S4.2.1.2 Transverse Load. Each latch system, when in the latched
position, shall not separate when a transverse load of 2,000 pounds is
applied. When more than one latch system is used on a single door, the
load requirement may be divided among the total number of latch systems.
S4.2.2 Door Hinges. Each door hinge system shall support the door
and shall not separate when a longitudinal load of 2,500 pounds is
applied, and when a transverse load of 2,000 pounds is applied.
S4.3 Sliding Doors. The track and slide combination or other
supporting means for each sliding door shall not separate when a total
transverse load of 4,000 pounds is applied, with the door in the closed
position.
S5. Demonstration Procedures.
S5.1 Hinged Doors, Except Cargo-Type Doors.
S5.1.1 Door Latches.
S5.1.1.1 Longitudinal and Transverse Loads. Compliance with
paragraphs S4.1.1.1 and S4.1.1.2 shall be demonstrated in accordance
with paragraph 4 of Society of Automotive Engineers Recommended Practice
J839b, ''Passenger Car Side Door Latch Systems,'' May 1965.
S5.1.1.2 Inertia Load. Compliance with S4.1.1.3 shall be
demonstrated by approved tests or in accordance with paragraph 5 of SAE
Recommended Practice J839b, May 1965.
S5.1.2 Door Hinges. Compliance with S4.1.2 shall be demonstrated in
accordance with paragraph 4 of SAE Recommended Practice J934, ''Vehicle
Passenger Door Hinge Systems,'' July 1965. For piano-type hinges, the
hinge spacing requirements of SAE J934 shall not be applicable and
arrangement of the test fixture shall be altered as required so that the
test load will be applied to the complete hinge.
S5.2 Hinged Cargo-Type Doors.
S5.2.1 Door Latches. Compliance with S4.2.1 shall be demonstrated in
accordance with paragraphs 4.1 and 4.3 of SAE Recommended Practice
J839b, ''Passenger Car Side Door Latch Systems,'' May 1965. An
equivalent static test fixture may be substituted for that shown in
Figure 2 of SAE J839b, if required.
S5.2.2 Door Hinges. Compliance with S4.2.2 shall be demonstrated in
accordance with paragraph 4 of SAE Recommended Practice J934, ''Vehicle
Passenger Door Hinge Systems,'' July 1965. For piano-type hinges, the
hinge spacing requirement of SAE J934 shall not be applicable and
arrangement of the test fixture shall be altered as required so that the
test load will be applied to the complete hinge.
S5.3 Sliding Doors. Compliance with S4.3 shall be demonstrated by
applying an outward transverse load of 2,000 pounds to the load bearing
members at the opposite edges of the door (4,000 pounds total). The
demonstration may be performed either in the vehicle or with the door
retention components in a bench test fixture.
(36 FR 22902, Dec. 2, 1971, as amended at 37 FR 284, Jan. 8, 1972;
50 FR 12031, Mar. 27, 1985)
49 CFR 571.207Standard No. 207; Seating systems.
S1. Purpose and scope. This standard establishes requirements for
seats, their attachment assemblies, and their installation to minimize
the possibility of their failure by forces acting on them as a result of
vehicle impact.
S2. Application. This standard applies to passenger cars,
multipurpose passenger vehicles, trucks and buses.
S3. Definition. Occupant seat means a seat that provides at least one
designated seating position.
S4. Requirements.
S4.1 Driver's seat. Each vehicle shall have an occupant seat for the
driver.
S4.2 General performance requirements. When tested in accordance
with S5., each occupant seat, other than a side-facing seat or a
passenger seat on a bus, shall withstand the following forces.
(a) In any position to which it can be adjusted -- 20 times the
weight of the seat applied in a forward longitudinal direction;
(b) In any position to which it can be adjusted -- 20 times the
weight of the seat applied in a rearward longitudinal direction;
(c) For a seat belt assembly attached to the seat -- the force
specified in paragraph (a), if it is a forward facing seat, or paragraph
(b), if it is a rearward facing seat, in each case applied
simultaneously with the forces imposed on the seat by the seat belt
assembly when it is loaded in accordance with S4.2 of 571.210; and
(d) In its rearmost position -- a force that produces a 3,300
inch-pound moment about the seating reference point for each designated
seating position that the seat provides, applied to the upper
cross-member of the seat back or the upper seat back, in a rearward
longitudinal direction for forward-facing seats and in a forward
longitudinal direction for rearward-facing seats.
S4.2.1 Seat adjustment. Except for vertical movement of nonlocking
suspension type occupant seats in trucks or buses, the seat shall remain
in its adjusted position during the application of each force specified
in S4.2.
S4.3. Restraining device for hinged or folding seats or seat backs.
Except for a passenger seat in a bus or a seat having a back that is
adjustable only for the comfort of its occupants, a hinged or folding
occupant seat or occupant seat back shall --
(a) Be equipped with a self-locking device for restraining the hinged
or folding seat or seat back, and
(b) If there are any designated seating positions or auxiliary
seating accommodations behind the seat, either immediately to the rear
or to the sides, be equipped with a control for releasing that
restraining device.
S4.3.1 Accessibility of release control. If there is a designated
seating position immediately behind a seat equipped with a restraining
device, the control for releasing the device shall be readily accessible
to the occupant of the seat equipped with the device and, if access to
the control is required in order to exit from the vehicle, to the
occupant of the designated seating position immediately behind the seat.
S4.3.2 Performance of restraining device.
S4.3.2.1 Static force.
(a) Once engaged, the restraining device for forward-facing seat
shall not release or fail when a forward longitudinal force equal to 20
times the weight of the hinged or folding portion of the seat is applied
through the center of gravity of that portion of the seat.
(b) Once engaged, the restraining device for a rearward facing seat
shall not release or fail when a rearward longitudinal force equal to 8
times the weight of the hinged or folding portion of the seat is applied
to the center of gravity of that portion of the seat.
S4.3.2.2 Acceleration. Once engaged, the restraining device shall not
release or fail when the device is subjected to an acceleration of 20
g., in the longitudinal direction opposite to that in which the seat
folds.
S4.4 Labeling. Seats not designated for occupancy while the vehicle
is in motion shall be conspicuously labeled to that effect.
S5. Test procedures.
S5.1 Apply the forces specified in S4.2(a) and S4.2(b) as follows:
S5.1.1 If the seat back and the seat bench are attached to the
vehicle by the same attachments, secure a strut on each side of the seat
from a point on the outside of the seat frame in the horizontal plane of
the seat's center of gravity to a point on the frame as far forward as
possible of the seat anchorages. Between the upper ends of the struts
place a rigid cross-member, in front of the seat back frame for rearward
loading and behind the seat back frame for forward loading. Apply the
force specified by S4.2(a) or S4.2(b) horizontally through the rigid
cross-member as shown in Figure 1.
S5.1.2 If the seat back and the seat bench are attached to the
vehicle by different attachments, attach to each component a fixture
capable of transmitting a force to that component. Apply forces equal
to 20 times the weight of the seat back horizontally through the center
of gravity of the seat back, as shown in Figure 2, and apply forces
equal to 20 times the weight of the seat bench horizontally through the
center of gravity of the seat bench, as shown in Figure 3.
S5.2 Develop the moment specified in S4.2(d) as shown in Figure 4.
S5.3 Apply the forces specified in S4.3.2.1(a) and (b) to a hinged or
folding seat as shown in Figure 1 and to a hinged or folding seat back
as shown in Figure 5.
S5.4 Determine the center of gravity of a seat or seat component with
all cushions and upholstery in place and with the head restraint in its
fully extended design position.
Insert ILLUS. 96A
(36 FR 22902, Dec. 2, 1971, as amended at 52 FR 7868, Mar. 13, 1987;
53 FR 30434, Aug. 12, 1988)
49 CFR 571.208Standard No. 208; Occupant crash protection.
S1. Scope. This standard specifies performance requirements for the
protection of vehicle occupants in crashes.
S2. Purpose. The purpose of this standard is to reduce the number of
deaths of vehicle occupants, and the severity of injuries, by specifying
vehicle crashworthiness requirements in terms of forces and
accelerations measured on anthropomorphic dummies in test crashes, and
by specifying equipment requirements for active and passive restraint
systems.
S3. Application. This standard applies to passenger cars,
multipurpose passenger vehicles, trucks, and buses. In addition, S9.,
Pressure vessels and explosive devices, applies to vessels designed to
contain a pressurized fluid or gas, and to explosive devices, for use in
the above types of motor vehicles as part of a system designed to
provide protection to occupants in the event of a crash.
S4. General requirements.
S4.1 Passenger cars.
S4.1.1 Passenger cars manufactured from January 1, 1972, to August
31, 1973. Each passenger car manufactured from January 1, 1972, to
August 31, 1973, inclusive, shall meet the requirements of S4.1.1.1,
S4.1.1.2, or S4.1.1.3. A protection system that meets the requirements
of S4.1.1.1, or S4.1.1.2 may be installed at one or more designated
seating positions of a vehicle that otherwise meets the requirements of
S4.1.1.3.
S4.1.1.1 First option -- complete passive protection system. The
vehicle shall meet the crash protection requirements of S5. by means
that require no action by vehicle occupants.
S4.1.1.2 Second option -- lap belt protection system with belt
warning. The vehicle shall --
(a) At each designated seating position have a Type 1 seatbelt
assembly or a Type 2 seatbelt assembly with a detachable upper torso
portion that conforms to S7.1 and S7.2 of this standard;
(b) At each front outboard designated seating position, have a seat
belt warning system that conforms to S7.3; and
(c) Meet the frontal crash protection requirements of S5.1, in a
perpendicular impact, with respect to anthropomorphic test devices in
each front outboard designated seating position restrained only by Type
1 seat belt assemblies.
S4.1.1.3 Third option -- lap and shoulder belt protection system with
belt warning.
S4.1.1.3.1 Except for convertibles and open-body vehicles, the
vehicle shall --
(a) At each front outboard designated seating position have a Type 2
seatbelt assembly that conforms to 571.209 and S7.1 and S7.2 of this
standard, with either an integral or detachable upper torso portion, and
a seatbelt warning system that conforms to S7.3;
(b) At each designated seating position other than the front outboard
positions, have a Type 1 or Type 2 seat belt assembly that conforms to
571.209 and to S7.1 and S7.2 of this standard; and
(c) When it perpendicularly impacts a fixed collision barrier, while
moving longitudinally forward at any speed up to and including 30
m.p.h., under the test conditions of S8.1 with anthropomorphic test
devices at each front outboard position restrained by Type 2 seatbelt
assemblies, experience no complete separation of any load-bearing
element of a seatbelt assembly or anchorage.
S4.1.1.3.2 Convertibles and open-body type vehicles shall at each
designated seating position have a Type 1 or Type 2 seatbelt assembly
that conforms to 571.209 and to S7.1 and S7.2 of this standard, and at
each front outboard designated seating position have a seatbelt warning
system that conforms to S7.3.
S4.1.2 Passenger cars manufactured on or after September 1, 1973, and
before September 1, 1986. Each passenger car manufactured on or after
September 1, 1973, and before September 1, 1986, shall meet the
requirements of S4.1.2.1, S4.1.2.2 or S4.1.2.3. A protection system that
meets the requirements of S4.1.2.1 or S4.1.2.2 may be installed at one
or more designated seating positions of a vehicle that otherwise meets
the requirements of S4.1.2.3.
S4.1.2.1 First option -- frontal/angular automatic protection system.
The vehicle shall:
(a) At each front outboard designated seating position meet the
frontal crash protection requirements of S5.1 by means that require no
action by vehicle occupants;
(b) At the front center designated seating position and at each rear
designated seating position have a Type 1 or Type 2 seat belt assembly
that conforms to Standard No. 209 and to S7.1 and S7.2; and
(c) Either. (1) Meet the lateral crash protection requirements of
S5.2 and the rollover crash protection requirements of S5.3 by means
that require no action by vehicle occupants; or
(2) At each front outboard designated seating position have a Type 1
or Type 2 seat belt assembly that conforms to Standard No. 209 and S7.1
through S7.3, and that meets the requirements of S5.1 with front test
dummies as required by S5.1, restrained by the Type 1 or Type 2 seat
belt assembly (or the pelvic portion of any Type 2 seat belt assembly
which has a detachable upper torso belt) in addition to the means that
require no action by the vehicle occupant.
S4.1.2.2 Second option -- head-on automatic protection system. The
vehicle shall --
(a) At each designated seating position have a Type 1 seat belt
assembly or Type 2 seat belt assembly with a detachable upper torso
portion that conforms to S7.1 and S7.2 of this standard.
(b) At each front outboard designated seating position, meet the
frontal crash protecton requirements of S5.1, in a perpendicular impact,
by means that require no action by vehicle occupants;
(c) At each front outboard designated seating position, meet the
frontal crash protection requirements of S5.1, in a perpendicular
impact, with a test device restrained by a Type 1 seat belt assembly;
and
(d) At each front outboard designated seating position, have a seat
belt warning system that conforms to S7.3.
S4.1.2.3 Third option -- lap and shoulder belt protection system with
belt warning.
S4.1.2.3.1 Except for convertibles and open-body vehicles, the
vehicle shall --
(a) At each front outboard designated seating position have a seat
belt assembly that conforms to S7.1 and S7.2 of this standard, and a
seat belt warning system that conforms to S7.3. The belt assembly shall
be either a Type 2 seat belt assembly with a nondetachable shoulder belt
that conforms to Standard No. 209 ( 571.209), or a Type 1 seat belt
assembly such that with a test device restrained by the assembly the
vehicle meets the frontal crash protection requirements of S5.1 in a
perpendicular impact.
(b) At any center front designated seating position, have a Type 1 or
Type 2 seat belt assembly that conforms to Standard No. 209 ( 571.209)
and to S7.1 and S7.2 of this standard, and a seat belt warning system
that conforms to S7.3; and
(c) At each other designated seating position, have a Type 1 or Type
2 seat belt assembly that conforms to Standard No. 209 ( 571.209) and
S7.1 and S7.2 of this standard.
S4.1.2.3.2 Convertibles and open-body type vehicles shall at each
designated seating position have a Type 1 or Type 2 seat belt assembly
that conforms to Standard No. 209 ( 571.209) and to S7.1 and S7.2 of
this standard, and at each front designated seating position have a seat
belt warning system that conforms to S7.3.
S4.1.3 Passenger cars manufactured on or after September 1, 1986, and
before September 1, 1989.
S4.1.3.1 Passenger cars manufactured on or after September 1, 1986,
and before September 1, 1987.
S4.1.3.1.1 Subject to S4.1.3.1.2 and S4.1.3.4, each passenger car
manufactured on or after September 1, 1986, and before September 1,
1987, shall comply with the requirements of S4.1.2.1, S4.1.2.2 or
S4.1.2.3. A vehicle shall not be deemed to be in noncompliance with this
standard if its manufacturer establishes that it did not have reason to
know in the exercise of due care that such vehicle is not in conformity
with the requirement of this standard.
S4.1.3.1.2 Subject to S4.1.3.4 and S4.1.5, the amount of passenger
cars, specified in S4.1.3.1.1 complying with the requirements of
S4.1.2.1 shall be not less than 10 percent of:
(a) The average annual production of passenger cars manufactured on
or after September 1, 1983, and before September 1, 1986, by each
manufacturer, or
(b) The manufacturer's annual production of passenger cars during the
period specified in S4.1.3.1.1.
S4.1.3.1.3 A manufacturer may exclude convertibles which do not
comply with the requirements of S4.1.2.1, when it is calculating its
average annual production under S4.1.3.1.2(a) or its annual production
under S4.1.3.1.2(b).
S4.1.3.2 Passenger cars manufactured on or after September 1, 1987,
and before September 1, 1988.
S4.1.3.2.1 Subject to S4.1.3.2.2 and S4.1.3.4, each passenger car
manufactured on or after September 1, 1987, and before September 1,
1988, shall comply with the requirements of S4.1.2.1, S4.1.2.2 or
S4.1.2.3. A vehicle shall not be deemed to be in noncompliance with this
standard if its manufacturer establishes that it did not have reason to
know in the exercise of due care that such vehicle is not in conformity
with the requirement of this standard.
S4.1.3.2.2 Subject to S4.1.3.4 and S4.1.5, the amount of passenger
cars specified in S4.1.3.2.1 complying with the requirements of
S4.1.2.1. shall be not less than 25 percent of:
(a) The average annual production of passenger cars manufactured on
or after September 1, 1984, and before September 1, 1987, by each
manufacturer, or
(b) The manufacturer's annual production of passenger cars during the
period specified in S4.1.3.2.1.
S4.1.3.2.3 A manufacturer may exclude convertibles which do not
comply with the requirements of S4.1.2.1, when it is calculating its
average annual production under S4.1.3.2.2(a) or its annual production
under S4.1.3.2.2(b).
S4.1.3.3 Passenger cars manufactured on or after September 1, 1988,
and before September 1, 1989.
S4.1.3.3.1 Subject to S4.1.3.3.2 and S4.1.3.4, each passenger car
manufactured on or after September 1, 1988, and before September 1,
1989, shall comply with the requirements of S4.1.2.1, S4.1.2.2 or
S4.1.2.3. A vehicle shall not be deemed to be in noncompliance with this
standard if its manufacturer establishes that it did not have reason to
know in the exercise of due care that such vehicle is not in conformity
with the requirement of this standard.
S4.1.3.3.2 Subject to S4.1.3.4 and S4.1.5, the amount of passenger
cars specified in S4.1.3.3.1 complying with the requirements of S4.1.2.1
shall be not less than 40 percent of:
(a) The average annual production of passenger cars manufactured on
or after September 1, 1985, and before September 1, 1988, by each
manufacturer or
(b) The manufacturer's annual production of passenger cars during the
period specified in S4.1.3.3.1.
S4.1.3.3.3 A manufacturer may exclude convertibles which do not
comply with the requirements of S4.1.2.1, when it is calculating its
average annual production under S4.1.3.3.2(a) or its annual production
under S4.1.3.3.2(b).
S4.1.3.4 Calculation of complying passenger cars.
(a) For the purposes of calculating the numbers of cars manufactured
under S4.1.3.1.2, S4.1.3.2.2, or S4.1.3.3.2 to comply with S4.1.2.1:
(1) Each car whose driver's seating position complies with the
requirements of S4.1.2.1(a) by means not including any type of seat belt
and whose front right seating position will comply with the requirements
of S4.1.2.1(a) by any means is counted as 1.5 vehicles, and
(2) Each car whose driver's seating position complies with the
requirements of S4.1.2.1(a) by means not including any type of seat belt
and whose right front seat seating position is equipped with a manual
Type 2 seat belt is counted as one vehicle.
(b) For the purposes of complying with S4.1.3.1.2, a passenger car
may be counted if it:
(1) Is manufactured on or after September 1, 1985, but before
September 1, 1986, and
(2) Complies with S4.1.2.1.
(c) For the purposes of complying with S4.1.3.2.2, a passenger car
may be counted if it:
(1) Is manufactured on or after September 1, 1985, but before
September 1, 1987,
(2) Complies with S4.1.2.1, and
(3) Is not counted toward compliance with S4.1.3.1.2
(d) For the purposes of complying with S4.1.3.3.2, a passenger car
may be counted if it:
(1) Is manufactured on or after September 1, 1985, but before
September 1, 1988,
(2) Complies with S4.1.2.1, and
(3) Is not counted toward compliance with S4.1.3.1.2 or S4.1.3.2.2.
S4.1.3.5 Passenger cars produced by more than one manufacturer.
S4.1.3.5.1 For the purposes of calculating average annual production
of passenger cars for each manufacturer and the amount of passenger cars
manufactured by each manufacturer under S4.1.3.1.2, S4.1.3.2.2 or
S4.1.3.3.2, a passenger car produced by more than one manufacturer shall
be attributed to a single manufacturer as follows, subject to
S4.1.3.5.2:
(a) A passenger car which is imported shall be attributed to the
importer.
(b) A passenger car manufactured in the United States by more than
one manufacturer, one of which also markets the vehicle, shall be
attributed to the manufacturer which markets the vehicle.
S4.1.3.5.2 A passenger car produced by more than one manufacturer
shall be attributed to any one of the vehicle's manufacturers specified
by an express written contract, reported to the National Highway Traffic
Safety Administration under 49 CFR Part 585, between the manufacturer so
specified and the manufacturer to which the vehicle would otherwise be
attributed under S4.1.3.5.1.
S4.1.4 Passenger cars manufactured on or after September 1, 1989.
S4.1.4.1 Except as provided in S4.1.4.2, each passenger car
manufactured on or after September 1, 1989 shall comply with the
requirements of S4.1.2.1. Any passenger car manufactured on or after
September 1, 1989 and before September 1, 1993 whose driver's designated
seating position complies with the requirements of S4.1.2.1(a) by means
not including any type of seat belt and whose right front designated
seating position is equipped with a manual Type 2 seat belt so that the
seating position complies with the occupant crash protection
requirements of S5.1, with the Type 2 seat belt assembly adjusted in
accordance with S7.4.2, shall be counted as a vehicle complying with
S4.1.2.1. A vehicle shall not be deemed to be in noncompliance with this
standard if its manufacturer establishes that it did not know in the
exercise of due care that such vehicle is not in conformity with this
standard.
S4.1.4.2 (a) Each passenger car, other than a convertible,
manufactured before December 11, 1989 may be equipped with, and each
passenger car, other than a convertible, manufactured on or after
December 11, 1989 and before September 1, 1990 shall be equipped with a
Type 2 seat belt assembly at every forward-facing rear outboard
designated seating position. Type 2 seat belt assemblies installed
pursuant to this provision shall comply with Standard No. 209 (49 CFR
571.209) and with S7.1.1 of this standard.
(b) Except as provided in S4.1.4.2.1 and S4.1.4.2.2, each passenger
car, other than a convertible, manufactured on or after September 1,
1990 and each convertible passenger car manufactured on or after
September 1, 1991 shall be equipped with an integral Type 2 seat belt
assembly at every forward-facing rear outboard designated seating
position. Type 2 seat belt assemblies installed in compliance with this
requirement shall comply with Standard No. 209 (49 CFR 571.209) and
with S7.1 an S7.2 of this standard. If a Type 2 seat belt assembly
installed in compliance with this requirement incorporates any webbing
tension-relieving device, the vehicle owner's manual shall include the
information specified in S7.4.2(b) of this standard for the tension
relieving device, and the vehicle shall comply with S7.4.2(c) of this
standard.
(c) As used in this section, ''rear outboard designated seating
position'' means any ''outboard designated seating position'' (as that
term is defined at 49 CFR 571.3) that is rearward of the front seat(s),
except any designated seating position adjacent to a walkway that is
located between the seat and the near side of the vehicle and is
designed to allow access to more rearward seating positions.
S4.1.4.2.1 Any rear outboard designated seating position with a seat
that can be adjusted to be forward-facing and to face some other
direction shall either:
(i) Meet the requirements of S4.1.4.2 with the seat in any position
in which it can be occupied while the vehicle is in motion; or
(ii) When the seat is in its forward-facing position, have a Type 2
seat belt assembly with an upper torso restraint that conforms to S7.1
and S7.2 of this standard and that adjusts by means of an emergency
locking retractor that conforms with Standard No. 209 (49 CFR 571.209),
which upper torso restraint may be detachable at the buckle, and, when
the seat is in any position in which it can be occupied while the
vehicle is in motion, have a Type 1 seat belt or the pelvic portion of a
Type 2 seat belt assembly that conforms to S7.1 and S7.2 of this
standard.
S4.1.4.2.2 Any rear outboard designated seating position on a readily
removable seat (that is, a seat designed to be easily removed and
replaced by means installed by the manufacturer for that purpose) in a
vehicle manufactured on or after September 1, 1992 shall meet the
requirements of S4.1.4.2 and may use an upper torso belt that detaches
at either its upper or lower anchorage points, but not both anchorage
points, to meet those requirements. The means for detaching the upper
torso belt may use a pushbutton action.
S4.1.5 Mandatory seatbelt use laws.
S4.1.5.1 If the Secretary of Transportation determines, by not later
than April 1, 1989, that state mandatory safety belt usage laws have
been enacted that meet the criteria specified in S4.1.5.2 and that are
applicable to not less than two-thirds of the total population of the 50
states and the District of Columbia (based on the most recent Estimates
of the Resident Population of States, by Age, Current Population
Reports, Series P-25, Bureau of the Census), each passenger car
manufactured under S4.1.3 or S4.1.4 on or after the date of that
determination shall comply with the requirements of S4.1.2.1, S4.1.2.2.
or S4.1.2.3.
S4.1.5.2 The minimum criteria for state mandatory safety belt usage
laws are:
(a) Require that each front seat occupant of a passenger car equipped
with safety belts under Standard No. 208 has a safety belt properly
fastened about his or her body at all times when the vehicle is in
forward motion.
(b) If waivers from the safety belt usage requirement are to be
provided, permit them for medical reasons only.
(c) Provide for the following enforcement measures:
(1) A penalty of not less than $25.00 (which may include court costs)
for each occupant of a car who violates the belt usage requirement.
(2) A provision specifying that the violation of the belt usage
requirement may be used to mitigate damages with respect to any person
who is involved in a passenger car accident while violating the belt
usage requirement and who seeks in any subsequent litigation to recover
damages for injuries resulting from the accident. This requirement is
satisfied if there is a rule of law in the State permitting such
mitigation.
(3) A program to encourage compliance with the belt usage
requirement.
(d) An effective date of not later than September 1, 1989.
S4.2 Trucks and multipurpose passenger vehicles with GVWR of 10,000
pounds or less.
S4.2.1 Trucks and multipurpose passenger vehicles with a GVWR of
10,000 pounds or less, manufactured on or after January 1, 1976 and
before September 1, 1991. Each truck and multipurpose passenger
vehicle, with a gross vehicle weight rating of 10,000 pounds or less,
manufactured before September 1, 1991, shall meet the requirements of
S4.1.2.1, or at the option of the manufacturer, S4.1.2.2 or S4.1.2.3 (as
specified for passenger cars), except that forward control vehicles
manufactured prior to September 1, 1981, convertibles, open-body type
vehicles, walk-in van-type trucks, motor homes, vehicles designed to be
exclusively sold to the U.S. Postal Service, and vehicles carrying
chassis-mount campers may instead meet the requirements of S4.2.1.1 or
S4.2.1.2.
S4.2.1.1 First option -- complete automatic protection system. The
vehicle shall meet the crash protection requirements of S5 by means that
require no action by vehicle occupants.
S4.2.1.2 Second option -- belt system. The vehicle shall have seat
belt assemblies that conform to Standard 209 installed as follows:
(a) A Type 1 or Type 2 seat belt assembly shall be installed for each
designated seating position in convertibles, open-body type vehicles,
and walk-in van-type trucks.
(b) In all vehicles except those for which requirements are specified
in S4.2.1.2(a), a Type 2 seat belt assembly shall be installed for each
outboard designated seating position that includes the windshield header
within the head impact area, and a Type 1 or Type 2 seat belt assembly
shall be installed for each other designated seating position.
S4.2.2 Trucks and multipurpose passenger vehicles with a GVWR of
8,500 pounds or less and an unloaded vehicle weight of 5,500 pounds or
less, manufactured on or after September 1, 1991 and before September 1,
1997. Except as provided in S4.2.4, each truck and multipurpose
passenger vehicle with a gross vehicle weight rating of 8,500 pounds or
less and an unloaded vehicle weight of 5,500 pounds or less,
manufactured on or after September 1, 1991 and before September 1, 1997,
shall meet the requirements of S4.1.2.1, or at the option of the
manufacturer, S4.1.2.2 or S4.1.2.3 (as specified for passenger cars),
except that convertibles, open-body type vehicles, walk-in van-type
trucks, motor homes, vehicles designed to be exclusively sold to the
U.S. Postal Service, and vehicles carrying chassis-mount campers may
instead meet the requirements of S4.2.1.1 or S4.2.1.2. Each Type 2 seat
belt assembly installed in a front outboard designated seating position
in accordance with S4.1.2.3 shall meet the requirements of S4.6.
S4.2.3 Trucks and multipurpose passenger vehicles manufactured on or
after September 1, 1991 with either a GVWR or more than 8,500 pounds but
not greater than 10,000 pounds or with an unloaded vehicle weight
greater than 5,500 pounds and a GVWR of 10,000 pounds or less. Except
as provided in S4.2.4, each truck and multipurpose passenger vehicle
manufactured on or after September 1, 1991, that has either a gross
vehicle weight rating which is greater than 8,500 pounds, but not
greater than 10,000 pounds, or has an unloaded vehicle weight greater
than 5,500 pounds and a GVWR of 10,000 pounds or less, shall meet the
requirements of S4.1.2.1, or at the option of the manufacturer, S4.1.2.2
or S4.1.2.3 (as specified for passenger cars), except that convertibles,
open-body type vehicles, walk-in van-type trucks, motor homes, vehicles
designed to be exclusively sold to the U.S. Postal Service, and vehicles
carrying chassis-mount campers may instead meet the requirements of
S4.2.1.1 or S4.2.1.2.
S4.2.4 Rear outboard seating positions in trucks and multipurpose
passenger vehicles manufactured on or after September 1, 1991 with a
GVWR of 10,000 pounds or less. Except as provided in S4.2.4.2 and
S4.2.4.3, each truck and each multipurpose passenger vehicle, other than
a motor home, manufactured on or after September 1, 1991 that has a
gross vehicle weight rating of 10,000 pounds or less shall be equipped
with an integral Type 2 seat belt assembly at every forward-facing rear
outboard designated seating position. Type 2 seat belt assemblies
installed in compliance with this requirement shall comply with Standard
No. 209 (49 CFR 571.209) and with S7.1 and S7.2 of this standard. If a
Type 2 seat belt assembly installed in compliance with this requirement
incorporates any webbing tension-relieving device, the vehicle owner's
manual shall include the information specified in S7.4.2(b) of this
standard for the tension relieving device, and the vehicle shall comply
with S7.4.2(c) of this standard.
S4.2.4.1 As used in this section --
(a) Motor home means a motor vehicle with motive power that is
designed to provide temporary residential accommodations, as evidenced
by the presence of at least four of the following facilities: cooking;
refrigeration or ice box; self-contained toilet; heating and/or air
conditioning; a potable water supply system including a faucet and a
sink; and a separate 110-125 volt electrical power supply and/or an LP
gas supply.
(b) Rear outboard designated seating position means any ''outboard
designated seating position'' (as that term is defined at 49 CFR 571.3)
that is rearward of the front seat(s), except any designated seating
positions adjacent to a walkway located between the seat and the side of
the vehicle, which walkway is designed to allow access to more rearward
seating positions.
S4.2.4.2 Any rear outboard designated seating position with a seat
that can be adjusted to be forward-facing and to face some other
direction shall either:
(i) Meet the requirements of S4.2.4 with the seat in any position in
which it can be occupied while the vehicle is in motion; or
(ii) When the seat is in its forward-facing position, have a Type 2
seat belt assembly with an upper torso restraint that conforms to S7.1
and S7.2 of this standard and that adjusts by means of an emergency
locking retractor that conforms with Standard No 209 (49 CFR 571.209),
which upper torso restraint may be detachable at the buckle, and, when
the seat is in any position in which it can be occupied while the
vehicle is in motion, have a Type 1 seat belt or the pelvic portion of a
Type 2 seat belt assembly that conforms to S7.1 and S7.2 of this
standard.
S4.2.4.3 Any rear outboard designated seating position on a readily
removable seat (that is, a seat designed to be easily removed and
replaced by means installed by the manufacturer for that purpose) in a
vehicle manufactured on or after September 1, 1992 shall meet the
requirements of S4.2.4 and may use an upper torso belt that detaches at
either its upper or lower anchorage point, but not both anchorage
points, to meet those requirements. The means for detaching the upper
torso belt may use a pushbutton action.
S4.2.5 Trucks, buses, and multipurpose passenger vehicles with a GVWR
of 8,500 pounds or less and an unloaded vehicle weight of 5,500 pounds
or less manufactured on or after September 1, 1994, and before September
1, 1997.
S4.2.5.1 Trucks, buses, and multipurpose passenger vehicles with a
GVWR of 8,500 pounds or less and an unloaded vehicle weight of 5,500
pounds or less manufactured on or after September 1, 1994, and before
September 1, 1995.
S4.2.5.1.1 Subject to S4.2.5.1.2 and S4.2.5.5 and except as provided
in S4.2.4, each truck, bus, and multipurpose passenger vehicle, other
than walk-in van-type trucks and vehicles designed to be exclusively
sold to the U.S. Postal Service, with a GVWR of 8,500 pounds or less and
an unloaded vehicle weight of 5,500 pounds or less that is manufactured
on or after September 1, 1994 and before September 1, 1995, shall comply
with the requirements of S4.1.2.1, S4.1.2.2, or S4.1.2.3 (as specified
for passenger cars). A vehicle shall not be deemed to be in
noncompliance with this standard if its manufacturer establishes that it
did not have reason to know in the exercise of due care that such
vehicle is not in conformity with the requirement of standard.
S4.2.5.1.2 Subject to S4.2.5.5, the amount of trucks, buses, and
multipurpose passenger vehicles specified in S4.2.5.1.1 complying with
S4.1.2.1 (as specified for passenger cars) shall be not less than 20
percent of:
(a) The average annual production of trucks, buses, and multipurpose
passenger vehicles with a GVWR of 8,500 pounds or less and an unloaded
vehicle weight of 5,500 pounds or less manufactured on or after
September 1, 1991, and before September 1, 1994, by each manufacturer
that produced such vehicles during each of those annual production
periods, or
(b) The manufacturer's total production of trucks, buses, and
multipurpose passenger vehicle with a GVWR of 8,500 pounds or less and
an unloaded vehicle weight of 5,500 pounds or less during the period
specified in S4.2.5.1.1.
S4.2.5.2 Trucks, buses, and multipurpose passenger vehicles with a
GVWR of 8,500 pounds or less and an unloaded vehicle weight of 5,500
pounds or less manufactured on or after September 1, 1995 and before
September 1, 1996.
S4.2.5.2.1 Subject to S4.2.5.2.2 and S4.2.5.5 and except as provided
in S4.2.4, each truck, bus, and multipurpose passenger vehicle, other
than walk-in van-type trucks and vehicles designed to be exclusively
sold to the U.S. Postal Service, with a GVWR of 8,500 pounds or less and
an unloaded vehicle weight of 5,500 pounds or less that is manufactured
on or after September 1, 1995 and before September 1, 1996, shall comply
with the requirements of S4.1.2.1, S4.1.2.2, or S4.1.2.3 (as specified
for passenger cars). A vehicle shall not be deemed to be in
noncompliance with this standard if its manufacturer establishes that it
did not have reason to know in the exercise of due care that such
vehicle is not in conformity with the requirement of this standard.
S4.2.5.2.2 Subject to S4.2.5.5, the amount of trucks, buses, and
multipurpose passenger vehicles specified in S4.2.5.2.1 complying with
S4.1.2.1 (as specified for passenger cars) shall be not less than 50
percent of:
(a) The average annual production of trucks, buses, and multipurpose
passenger vehicles with a GVWR of 8,500 pounds or less and an unloaded
vehicle weight of 5,500 pounds or less manufactured on or after
September 1, 1992, and before September 1, 1995, by each manufacturer
that produced such vehicles during each of those annual production
periods, or
(b) The manufacturer's total production of trucks, buses, and
multipurpose passenger vehicles with a GVWR of 8,500 pounds or less and
an unloaded vehicle weight of 5,500 pounds or less during the period
specified in S4.2.5.2.1.
S4.2.5.3 Trucks, buses, and multipurpose passenger vehicles with a
GVWR of 8,500 pounds or less and an unloaded vehicle weight of 5,500
pounds or less manufactured on or after September 1, 1996 and before
September 1, 1997.
S4.2.5.3.1 Subject to S4.2.5.3.2 and S4.2.5.5 and except as provided
in S4.2.4, each truck, bus, and multipurpose passenger vehicle, other
than walk-in van-type trucks and vehicles designed to be exclusively
sold to the U.S. Postal Service, with a GVWR of 8,500 pounds or less and
an unloaded vehicle weight of 5,500 pounds or less that is manufactured
on or after September 1, 1996 and before September 1, 1997, shall comply
with the requirements of S4.1.2.1, S4.1.2.2, or S4.1.2.3 (as specified
for passenger cars). A vehicle shall not be deemed to be in
noncompliance with this standard if its manufacturer establishes that it
did not have reason to know in the exercise of due care that such
vehicle is not in conformity with the requirement of this standard.
S4.2.5.3.2 Subject to S4.2.5.5, the amount of trucks, buses, and
multipurpose passenger vehicles specified in S4.2.5.3.1 complying with
S4.1.2.1 (as specified for passenger cars) shall be not less than 90
percent of:
(a) The average annual production of trucks, buses, and multipurpose
passenger vehicles with a GVWR of 8,500 pounds or less and an unloaded
vehicle weight of 5,500 pounds or less manufactured on or after
September 1, 1993, and before September 1, 1996, by each manufacturer
that produced such vehicles during each of those annual production
periods, or
(b) The manufacturer's total production of trucks, buses, and
multipurpose passenger vehicles with a GVWR of 8,500 pounds or less and
an unloaded vehicle weight of 5,500 pounds or less during the period
specified in S4.2.5.3.1.
S4.2.5.4 Alternative phase-in schedule. A manufacturer may, at its
option, comply with the requirements of this section instead of
complying with the requirements set forth in S4.2.5.1, S4.2.5.2, and
S4.2.5.3.
(a) Except as provided in S4.2.4, each truck, bus, and multipurpose
passenger vehicle, other than walk-in van-type trucks and vehicles
designed to be exclusively sold to the U.S. Postal Service, with a GVWR
of 8,500 pounds or less and an unloaded vehicle weight of 5,500 pounds
or less that is manufactured on or after September 1, 1994 and before
September 1, 1995, shall comply with the requirements of S4.1.2.1,
S4.1.2.2, or S4.1.2.3 (as specified for passenger cars).
(b) Except as provided in S4.2.4, each truck, bus, and multipurpose
passenger vehicle, other than walk-in van-type trucks and vehicles
designed to be exclusively sold to the U.S. Postal Service, with a GVWR
of 8,500 pounds or less and an unloaded vehicle weight of 5,500 pounds
or less that is manufactured on or after September 1, 1995 shall comply
with the requirements of S4.1.2.1 (as specified for passenger cars) of
this standard. A vehicle shall not be deemed to be in noncompliance
with this standard if its manufacturer establishes that it did not have
reason to know in the exercise of due care that such vehicle is not in
conformity with the requirement of this standard.
(c) Each truck, bus, and multipurpose passenger vehicle with a GVWR
of 8,500 pounds or less and an unloaded vehicle weight of 5,500 pounds
or less manufactured on or after September 1, 1995, but before September
1, 1998, whose driver's seating position complies with the requirements
of S4.1.2.1(a) of this standard by means not including any type of seat
belt and whose right front passenger's seating position is equipped with
a manual Type 2 seat belt that complies with S5.1 of this standard, with
the seat belt assembly adjusted in accordance with S7.4.2, shall be
counted as a vehicle complying with S4.1.2.1.
S4.2.5.5 Calculation of complying trucks, buses, and multipurpose
passenger vehicles with a GVWR of 8,500 pounds or less and an unloaded
vehicle weight of 5,500 pounds or less.
(a) For the purposes of the calculations required in S4.2.5.1.2,
S4.2.5.2.2, and S4.2.5.3.2 of the number of trucks, buses, and
multipurpose passenger vehicles with a GVWR of 8,500 pounds or less and
an unloaded vehicle weight of 5,500 pounds or less that comply with
S4.1.2.1 (as specified for passenger cars):
(1) Each truck, bus, and multipurpose passenger vehicle with a GVWR
of 8,500 pounds or less and an unloaded vehicle weight of 5,500 pounds
or less whose driver's seating position complies with the requirements
of S4.1.2.1(a) by means not including any type of seat belt and whose
front right seating position complies with the requirements of
S4.1.2.1(a) by any means is counted as 1.5 vehicles, and
(2) Each truck, bus, and multipurpose passenger vehicle with a GVWR
of 8,500 pounds or less and an unloaded vehicle weight of 5,500 pounds
or less whose driver's seating position complies with the requirements
of S4.1.2.1(a) by means not including any type of seat belt and whose
right front passenger's seating position is equipped with a manual Type
2 seat belt that complies with S5.1 of this standard, with the seat belt
assembly adjusted in accordance with S7.4.2, is counted as one vehicle.
(3) Each truck, bus, and multipurpose passenger vehicle with a GVWR
of 8,500 pounds or less and an unloaded vehicle weight of 5,500 pounds
or less that is manufactured in two or more stages or that is altered
(within the meaning of 567.7 of this chapter) after having previously
been certified in accordance with Part 567 of this chapter is not
subject to the requirements of S4.2.5.1.2, S4.2.5.2.2, and S4.2.5.3.2.
Such vehicles may be excluded from all calculations of compliance with
S4.2.5.1.2, S4.2.5.2.2, and S4.2.5.3.2.
(b) For the purposes of complying with S4.2.5.1.2, a truck, bus, or
multipurpose passenger vehicle with a GVWR of 8,500 pounds or less and
an unloaded vehicle weight of 5,500 pounds or less may be counted if it:
(1) Is manufactured on or after September 1, 1992, but before
September 1, 1994, and
(2) Is certified as complying with S4.1.2.1 (as specified for
passenger cars).
(c) For the purposes of complying with S4.2.5.2.2, a truck, bus, or
multipurpose passenger vehicle with a GVWR of 8,500 pounds or less and
an unloaded vehicle weight of 5,500 pounds or less may be counted if it:
(1) Is manufactured on or after September 1, 1992, but before
September 1, 1995,
(2) Is certified as complying with S4.1.2.1 (as specified for
passenger cars), and
(3) Is not counted toward compliance with S4.2.5.1.2.
(d) For the purposes of complying with S4.2.5.3.2, a truck, bus, or
multipurpose passenger vehicle with a GVWR of 8,500 pounds or less and
an unloaded vehicle weight of 5,500 pounds or less may be counted if it:
(1) Is manufactured on or after September 1, 1992, but before
September 1, 1996,
(2) Is certified as complying with S4.1.2.1 (as specified for
passenger cars), and
(3) Is not counted toward compliance with S4.2.5.1.2 or S4.2.5.2.2.
S4.2.5.6 Trucks, buses, and multipurpose passenger vehicles with a
GVWR of 8,500 pounds or less and an unloaded vehicle weight of 5,500
pounds or less produced by more than one manufacturer.
S4.2.5.6.1 For the purposes of calculating average annual production
for each manufacturer and the amount of vehicles manufactured by each
manufacturer under S4.2.5.1.2, S4.2.5.2.2, or S4.2.5.3.2, a truck, bus,
or multipurpose passenger vehicle with a GVWR of 8,500 pounds or less
and an unloaded vehicle weight of 5,500 pounds or less produced by more
than one manufacturer shall be attributed to a single manufacturer as
follows, subject to S4.2.5.6.2:
(a) A vehicle that is imported shall be attributed to the importer.
(b) A vehicle that is manufactured in the United States by more than
one manufacturer, one of which also markets the vehicle, shall be
attributed to the manufacturer that markets the vehicle.
S4.2.5.6.2 A truck, bus, or multipurpose passenger vehicle with a
GVWR of 8,500 pounds or less and an unloaded vehicle weight of 5,500
pounds or less produced by more than one manufacturer shall be
attributed to any one of the vehicle's manufacturers specified in an
express written contract, reported to the National Highway Traffic
Safety Administration under 49 CFR part 585, between the manufacturer so
specified and the manufacturer to which the vehicle would otherwise be
attributed under S4.2.5.4.1.
S4.2.6 Trucks, buses, and multipurpose passenger vehicles with a GVWR
of 8,500 pounds or less and an unloaded vehicle weight of 5,500 pounds
or less manufactured on or after September 1, 1997. Except as provided
in S4.2.4, each truck, bus, and multipurpose passenger vehicle with a
GVWR of 8,500 pounds or less and an unloaded vehicle weight of 5,500
pounds or less manufactured on or after September 1, 1997 shall comply
with the requirements of S4.1.2.1 (as specified for passenger cars) of
this standard, except that walk-in van-type trucks and vehicles designed
to be exclusively sold to the U.S. Postal Service may instead meet the
requirements of S4.2.1.1 or S4.2.1.2. Each truck, bus, and multipurpose
passenger vehicle with a GVWR of 8,500 pounds or less and an unloaded
vehicle weight of 5,500 pounds or less manufactured on or after
September 1, 1997, but before September 1, 1998, whose driver's seating
position complies with the requirements of S4.1.2.1(a) of this standard
by means not including any type of seat belt and whose right front
passenger's seating position is equipped with a manual Type 2 seat belt
that complies with 5.1 of this standard, with the seat belt assembly
adjusted in accordance with S7.4.2., shall be counted as a vehicle
complying with S4.1.2.1. A vehicle shall not be deemed to be in
noncompliance with this standard if its manufacturer establishes that it
did not have reason to know in the exercise of due care that such
vehicle is not in conformity with the requirement of this standard.
S4.3 Trucks and multipurpose passenger vehicles, with GVWR of more
than 10,000 pounds.
S4.3.1 Trucks and multipurpose passenger vehicles with a GVWR of more
than 10,000 pounds, manufactured in or after January 1, 1972 and before
September 1, 1990. Each truck and multipurpose passenger vehicle with a
gross vehicle weight rating of more than 10,000 pounds, manufactured on
or after January 1, 1972 and before September 1, 1990, shall meet the
requirements of S4.3.1.1 or S4.3.1.2. A protection system that meets the
requirements of S4.3.1.1 may be installed at one or more designated
seating positions of a vehicle that otherwise meets the requirements of
S4.3.1.2.
S4.3.1.1 First option -- complete passenger protection system. The
vehicle shall meet the crash protection requirements of S5 by means that
require no action by vehicle occupants.
S4.3.1.2 Second option -- belt system. The vehicle shall, at each
designated seating position, have either a Type 1 or a Type 2 seat belt
assembly that conforms to S571.209.
S4.3.2 Trucks and multipurpose passenger vehicles with a GVWR of more
than 10,000 pounds, manufactured on or after September 1, 1990. Each
truck and multipurpose passenger vehicle with a gross vehicle weight
rating of more than 10,000 pounds, manufactured on or after September 1,
1990, shall meet the requirements of S4.3.2.1 or S4.3.2.2. A protection
system that meets the requirements of S4.3.2.1 may be installed at one
or more designated seating positions of a vehicle that otherwise meets
the requirements of S4.3.2.2.
S4.3.2.1 First option -- complete passenger protection system. The
vehicle shall meet the crash protection requirements of S5 by means that
require no action by vehicle occupants.
S4.3.2.2 Second option -- belt system. The vehicle shall, at each
designated seating position, have either a Type 1 or a Type 2 seat belt
assembly that conforms to 571.209 of this part and S7.2 of this
Standard. A Type 1 belt assembly or the pelvic portion of a dual
retractor Type 2 belt assembly installed at a front outboard seating
position shall include either an emergency locking retractor or an
automatic locking retractor. If a seat belt assembly installed at a
front outboard seating position includes an automatic locking retractor
for the lap belt or the lap belt portion, that seat belt assembly shall
comply with the following:
(a) An automatic locking retractor used at a front outboard seating
position that has some type of suspension system for the seat shall be
attached to the seat structure that moves as the suspension system
functions.
(b) The lap belt or lap belt portion of a seat belt assembly equipped
with an automatic locking retractor that is installed at a front
outboard seating position must allow at least 3/4 inch, but less than 3
inches, of webbing movement before retracting webbing to the next
locking position.
(c) Compliance with S4.3.2.2(b) of this standard is determined as
follows:
(1) The seat belt assembly is buckled and the retractor end of the
seat belt assembly is anchored to a horizontal surface. The webbing for
the lap belt or lap belt portion of the seat belt assembly is extended
to 75 percent of its length and the retractor is locked after the
initial adjustment.
(2) A load of 20 pounds is applied to the free end of the lap belt or
the lap belt portion of the belt assembly (i.e., the end that is not
anchored to the horizontal surface) in the direction away from the
retractor. The position of the free end of the belt assembly is
recorded.
(3) Within a 30 second period, the 20 pound load is slowly decreased,
until the retractor moves to the next locking position. The position of
the free end of the belt assembly is recorded again.
(4) The difference between the two positions recorded for the free
end of the belt assembly shall be at least 3/4 inch but less than 3
inches.
S4.4 Buses.
S4.4.1 Buses manufactured on or after January 1, 1972 and before
September 1, 1990. Each bus manufactured on or after January 1, 1972
and before September 1, 1990, shall meet the requirements of S4.4.1.1 or
S4.4.1.2.
S4.4.1.1 First option -- complete passenger protection system --
driver only. The vehicle shall meet the crash protection requirements
of S5, with respect to an anthropomorphic test dummy in the driver's
designated seating position, by means that require no action by vehicle
occupants.
S4.4.1.2 Second option -- belt system -- driver only. The vehicle
shall, at the driver's designated seating position, have either a Type 1
or a Type 2 seat belt assembly that conforms to S571.209.
S4.4.2 Buses manufactured on or after September 1, 1990. Each bus
manufactured on or after September 1, 1990, shall meet the requirements
of S4.4.2.1 or S4.4.2.2.
S4.4.2.1 First option -- complete passenger protection system --
driver only. The vehicle shall meet the crash protection requirements
of S5, with respect to an anthropomorphic test dummy in the driver's
designated seating position, by means that require no action by vehicle
occupants.
S4.4.2.2 Second option -- belt system -- driver only. The vehicle
shall, at the driver's designated seating position, have either a Type 1
or a Type 2 seat belt assembly that conforms to 571.209 of this part
and S7.2 of this Standard. A Type 1 belt assembly or the pelvic portion
of a dual retractor Type 2 belt assembly installed at the driver's
seating position shall include either an emergency locking retractor or
an automatic locking retractor. If a seat belt assembly installed at
the driver's seating position includes an automatic locking retractor
for the lap belt or the lap belt portion, that seat belt assembly shall
comply with the following:
(a) An automatic locking retractor used at a driver's seating
position that has some type of suspension system for the seat shall be
attached to the seat structure that moves as the suspension system
functions.
(b) The lap belt or lap belt portion of a seat belt assembly equipped
with an automatic locking retractor that is installed at the driver's
seating position must allow at least 3/4 inch, but less than 3 inches,
of webbing movement before retracting webbing to the next locking
position.
(c) Compliance with S4.4.2.2(b) of this standard is determined as
follows:
(1) The seat belt assembly is buckled and the retractor end of the
seat belt assembly is anchored to a horizontal surface. The webbing for
the lap belt or lap belt portion of the seat belt assembly is extended
to 75 percent of its length and the retractor is locked after the
initial adjustment.
(2) A load of 20 pounds is applied to the free end of the lap belt or
the lap belt portion of the belt assembly (i.e., the end that is not
anchored to the horizontal surface) in the direction away from the
retractor. The position of the free end of the belt assembly is
recorded.
(3) Within a 30 second period, the 20 pound load is slowly decreased,
until the retractor moves to the next locking position. The position of
the free end of the belt assembly is recorded again.
(4) The difference between the two positions recorded for the free
end of the belt assembly shall be at least 3/4 inch but less than 3
inches.
S4.4.3 Buses manufactured on or after September 1, 1991.
S4.4.3.1 Each bus with a gross vehicle weight rating of more than
10,000 pounds shall comply with the requirements S4.4.2.1 or S4.4.2.2.
S4.4.3.2 Except as provided in S4.4.3.2.2 and S4.4.3.2.3, each bus
with a gross vehicle weight rating of 10,000 pounds or less, except a
school bus, shall be equipped with an integral Type 2 seat belt assembly
at the driver's designated seating position and at the front and every
rear forward-facing outboard designated seating position, and with a
Type 1 or Type 2 seat belt assembly at all other designated seating
positions. Type 2 seat belt asemblies installed in compliance with this
requirement shall comply with Standard No. 209 (49 CFR 571.209) and
with S7.1 and S7.2 of this standard. If a Type 2 seat belt assembly
installed in compliance with this requirement incorporates any webbing
tension-relieving device, the vehicle owner's manual shall include the
information specified in S7.4.2(b) of this standard for the tension
relieving device, and the vehicle shall comply with S7.4.2(c) of this
standard.
S4.4.3.2.1 As used in this section, a ''rear outboard designated
position'' means any ''outboard designated seating position'' (as that
term is defined at 49 CFR 571.3) that is rearward of the front seat(s),
except any designated seating positions adjacent to a walkway located
between the seat and the side of the vehicle, which walkway is designed
to allow access to more rearward seating positions.
S4.4.3.2.2 Any rear outboard designated seating position with a seat
that can be adjusted to be forward-facing and to face some other
direction shall either:
(i) Meet the requirements of S4.4.3.2 with the seat in any position
in which it can be occupied while the vehicle is in motion; or
(ii) When the seat is in its forward-facing position, have a Type 2
seat belt assembly with an upper torso restraint that conforms to S7.1
and S7.2 of this standard and that adjusts by means of an emergency
locking retractor that conforms with Standard No. 209 (49 CFR 571.209),
which upper torso restraint may be detachable at the buckle, and, when
the seat is in any position in which it can be occupied while the
vehicle is in motion, have a Type 1 seat belt or the pelvic portion of a
Type 2 seat belt assembly that conforms to S7.1 and S7.2 of this
standard.
S4.4.3.2.3 Any rear outboard designated seating position on a readily
removable seat (that is, a seat designed to be easily removed and
replaced by means installed by the manufacturer for that purpose) in a
vehicle manufactured on or after September 1, 1992 shall meet the
requirements of S4.4.3.2 and may use an upper torso belt that detaches
at either its upper or lower anchorage point, but not both anchorage
points, to meet those requirements. The means for detaching the upper
torso belt may use a pushbutton action.
S4.4.3.3 Each school bus with a gross vehicle weight rating of 10,000
pounds or less shall be equipped with an integral Type 2 seat belt
assembly at the driver's designated seating position and at the right
front passenger's designated seating position (if any), and with a Type
1 or Type 2 seat belt assembly at all other designated seating
positions. Type 2 seat belt assemblies installed in compliance with
this requirement shall comply with Standard No. 209 (49 CFR 571.209)
and with S7.1 and S7.2 of this standard. The lap belt portion of a Type
2 seat belt assembly installed at the driver's designated seating
position and at the right front passenger's designated seating position
(if any) shall include either an emergency locking retractor or an
automatic locking retractor, which retractor shall not retract webbing
to the next locking position until at least 3/4 inch of webbing has
moved into the retractor. In determining whether an automatic locking
retractor complies with this requirement, the webbing is extended to 75
percent of its length and the retractor is locked after the initial
adjustment. If a Type 2 seat belt assembly installed in compliance with
this requirement incorporates any webbing tension-relieving device, the
vehicle owner's manual shall include the information specified in
S7.4.2(b) of this standard for the tension-relieving device, and the
vehicle shall comply with S7.4.2(c) of this standard.
S4.4.4 Buses with a GVWR of 8,500 pounds or less and an unloaded
vehicle weight of 5,500 pounds or less manufactured on or after
September 1, 1994. Each bus with a GVWR of 8,500 pounds or less and an
unloaded vehicle weight of 5,500 pounds or less manufactured on or after
September 1, 1984 shall comply with the requirements of S4.2.5 and
S4.2.6 of this standard, as applicable, for front seating positions, and
with the requirements of S4.4.3.2 or S4.4.3.3 of this standard, as
applicable, for all rear seating positions.
S4.5 Other general requirements.
S4.5.1 Labeling and driver's manual information. Each vehicle shall
have a label setting forth the manufacturer's recommended schedule for
the maintenance or replacement, necessary to retain the performance
required by this standard, of any crash deployed occupant protection
system. The schedule shall be specified by month and year, or in terms
of vehicle mileage, or by intervals measured from the date appearing on
the vehicle certification label provided pursuant to 49 CFR Part 567.
The label shall be permanently affixed to the vehicle within the
passenger compartment and lettered in English in block capitals and
numerals not less than three thirty-seconds of an inch high.
Instructions concerning maintenance or replacement of the system and a
description of the functional operation of the system shall be provided
with each vehicle, with an appropriate reference on the label. If a
vehicle owner's manual is provided, this information shall be included
in the manual.
S4.5.2 Readiness indicator. An occupant protection system that
deploys in the event of a crash shall have a monitoring system with a
readiness indicator. The indicator shall monitor its own readiness and
shall be clearly visible from the driver's designated seating position.
A list of the elements of the system being monitored by the indicator
shall be included with the information furnished in accordance with
S4.5.1 but need not be included on the label.
S4.5.3 Automatic belts. Except as provided in S4.5.3.1, a seat belt
assembly that requires no action by vehicle occupants (hereinafter
referred to as an ''automatic belt'') may be used to meet the crash
protection requirements of any option under S4. and in place of any
seat belt assembly otherwise required by that option.
S4.5.3.1 An automatic belt that provides only pelvic restraint may
not be used pursuant to S4.5.3 to meet the requirements of an option
that requires a Type 2 seat belt assembly.
S4.5.3.2 An automatic belt, furnished pursuant to S4.5.3, that
provides both pelvic and upper torso restraint may have either a
detachable or nondetachable upper torso portion, notwithstanding
provisions of the option under which it is furnished.
S4.5.3.3 An automatic belt furnished pursuant to S4.5.3 shall:
(a) Conform to S7.1 and have a single emergency release mechanism
whose components are readily accessible to a seated occupant.
(b) In place of a warning system that conforms to S7.3 of this
standard, be equipped with the following warning system: At the left
front designated seating position (driver's position), a warning system
that activates a continuous or intermittent audible signal for a period
of not less than 4 seconds and not more than 8 seconds and that
activates a continuous or flashing warning light visible to the driver
for not less than 60 seconds (beginning when the vehicle ignition switch
is moved to the ''on'' or the ''start'' position) when condition (A)
exists simultaneously with condition (B), and that activates a
continuous or flashing warning light, visible to the driver, displaying
the identifying symbol for the seat belt telltale shown in Table 2 of
Standard No. 101 (49 CFR 571.101), or, at the option of the
manufacturer if permitted by Standard No. 101, displaying the words
''Fasten Seat Belts'' or ''Fasten Belts,'' for as long as condition (A)
exists simultaneously with condition (C).
(A) The vehicle's ignition switch is moved to the ''on'' position or
to the ''start'' position.
(B) The driver's automatic belt is not in use, as determined by the
belt latch mechanism not being fastened, or, if the automatic belt is
non-detachable, by the emergency release mechanism being in the released
position. In the case of motorized automatic belts, the determination
of use shall be made once the belt webbing is in its locked protective
mode at the anchorage point.
(C) The belt webbing of a motorized automatic belt system is not in
its locked, protective mode at the anchorage point.
S4.5.3.4 An automatic belt furnished pursuant to S4.5.3 that is not
required to meet the perpendicular frontal crash protection requirements
of S5.1 shall conform to the webbing, attachment hardware, and assembly
performance requirements of Standard No. 209.
S4.6 Dynamic testing of manual belt systems.
S4.6.1 Each truck and multipurpose passenger vehicle with a GVWR of
8,500 pounds or less and an unloaded weight of less than 5,500 pounds
that is manufactured on or after September 1, 1991, and is equipped with
a Type 2 seat belt assembly at a front outboard designated seating
position pursuant to S4.1.2.3 shall meet the frontal crash protection
requirements of S5.1 at those designated seating positions with a test
dummy restrained by a Type 2 seat belt assembly that has been adjusted
in accordance with S7.4.2. A vehicle shall not be deemed to be in
noncompliance with this standard if its manufacturer establishes that it
did not have reason to know in the exercise of due care that such
vehicle is not in conformity with the requirement of this standard.
S4.6.2 Any manual seat belt assembly subject to the requirements of
S5.1 of this standard by virtue of any provision of this standard other
than S4.1.2.1(c)(2) does not have to meet the requirements of
S4.2(a)-(f) and S4.4 of Standard No. 209 ( 571.209).
S4.6.3 Any manual seat belt assembly subject to the requirements of
S5.1 of this standard by virtue of S4.1.2.1(c)(2) does not have to meet
the elongation requirements of S4.2(c), S4.4(a)(2), S4.4(b)(4), and
S4.4(b)(5) of Standard No. 209 ( 571.209).
S5. Occupant crash protection requirements.
S5.1 Vehicles subject to S5.1 shall comply with either S5.1(a) or
S5.1(b), or any combination thereof, at the manufacturer's option;
except that vehicles manufactured before September 1, 1993 that comply
with the requirements of S4.1.2.1(a) by means not including any type of
seat belt or inflatable restraint shall comply with S5.1(a).
(a) Impact a vehicle traveling longitudinally forward at any speed,
up to and including 30 mph, into a fixed collision barrier that is
perpendicular to the line of travel of the vehicle, or at any angle up
to 30 degrees in either direction from the perpendicular to the line of
travel of the vehicle under the applicable conditions of S8. The test
dummy specified in S8.1.8.1 placed at each front outboard designated
seating position shall meet the injury criteria of S6.1.1, 6.1.2.,
6.1.3, and 6.1.4.
(b) Impact a vehicle traveling longitudinally forward at any speed,
up to and including 30 mph, into a fixed collision barrier that is
perpendicular to line of travel of the vehicle, or at any angle up to 30
degrees in either direction from the perpendicular to the line of travel
of the vehicle, under the applicable conditions of S8. The test dummy
specified in S8.1.8.2 placed at each front outboard designated seating
position shall meet the injury criteria of S6.2.1, 6.2.2., 6.2.3, 6.2.4,
and 6.2.5.
S5.2 Lateral moving barrier crash test.
S5.2.1 Vehicles subject to S5.2 shall comply with either S5.2.1(a) or
S5.2.1(b), or any combination thereof, at the manufactuer's option;
except that vehicles manufactured before September 1, 1993 that comply
with the requirements of S4.1.2.1(c) by means not including any type of
seat belt or inflatable restraint shall comply with S5.2.1(a).
(a) Impact a vehicle laterally on either side by a barrier moving at
20 mph under the applicable conditions of S8. The test dummy specified
in S8.1.8.1 placed at the front outboard designated seating position
adjacent to the impacted side shall meet the injury criteria of S6.1.2
and S6.1.3.
(b) When the vehicle is impacted laterally under the applicable
conditions of S8, on either side by a barrier moving at 20 mph, with a
test device specified in S8.1.8.2, which is seated at the front outboard
designated seating position adjacent to the impacted side, it shall meet
the injury criteria of S6.2.2, and S6.2.3.
S5.3 Rollover. Subject a vehicle to a rollover test under the
applicable condition of S8 in either lateral direction at 30 mph with
either, at the manufacturer's option, a test dummy specified in S8.1.8.1
or S8.1.8.2, placed in the front outboard designated seating position on
the vehicle's lower side as mounted on the test platform. The test
dummy shall meet the injury criteria of either S6.1.1. or S6.2.1.
S6. Injury criteria.
S6.1 Injury criteria for the Part 572, Subpart B, 50th percentile
Male Dummy.
S6.1.1 All portions of the test dummy shall be contained within the
outer surfaces of the vehicle passenger compartment throughout the test.
S6.1.2 The resultant acceleration at the center of gravity of the
head shall be such that the expression:
shall not exceed 1,000 where a is the resultant acceleration
expressed as a multiple of g (the acceleration of gravity), and t1 and
t2 are any two points in time during the crash of the vehicle which are
separated by not more than a 36 millisecond time interval.
S6.1.3 The resultant acceleration at the center of gravity of the
upper thorax shall not exceed 60 g's, except for intervals whose
cumulative duration is not more than 3 milliseconds.
S6.1.4 The compressive force transmitted axially through each upper
leg shall not exceed 2250 pounds.
S6.2 Injury Criteria for the Part 572, Subpart E, Hybrid III Test
Dummy.
S6.2.1 All portions of the test dummy shall be contained within the
outer surfaces of the vehicle passenger compartment throughout the test.
S6.2.2 The resultant acceleration at the center of gravity of the
head shall be such that the expression:
shall not exceed 1,000 where a is the resultant acceleration
expressed as a multiple of g (the acceleration of gravity), and t1 and
t2 are any two points in time during the crash of the vehicle which are
separated by not more than a 36 millisecond time interval.
S6.2.3 The resultant acceleration calculated from the output of the
thoracic instrumentation shown in drawing 78051-218, revision R
incorporated by reference in Part 572, Subpart E of this chapter shall
not exceed 60g's, except for intervals whose cumulative duration is not
more than 3 milliseconds.
S6.2.4 Compression deflection of the sternum relative to the spine,
as determined by instrumentation shown in drawing 78051-317, revision A
incorporated by reference in Part 572, Subpart E of this chapter, shall
not exceed 3 inches.
S6.2.5 The force transmitted axially through each upper leg shall not
exceed 2250 pounds.
S7. Seat belt assembly requirements.
S7.1 Adjustment.
S7.1.1 Except as specified in S7.1.1.1 and S7.1.1.2, the lap belt of
any seat belt assembly furnished in accordance with S4.1.2 shall adjust
by means of any emergency-locking or automatic-locking retractor that
conforms to 571.209 to fit persons whose dimensions range from those of
a 50th percentile 6-year-old child to those of a 95th percentile adult
male and the upper torso restraint shall adjust by means of an
emergency-locking retractor or a manual adjusting device that conforms
to 571.209 to fit persons whose dimensions range from those of a 5th
percentile adult female to those of a 95th percentile adult male, with
the seat in any position, the seat back in the manufacturer's nominal
design riding position, and any adjustable anchorages adjusted to the
manufacturer's nominal design position for a 50th percentile adult male
occupant. However, an upper torso restraint furnished in accordance
with S4.1.2.3.1(a) shall adjust by means of an emergency-locking
retractor that conforms to 571.209.
S7.1.1.1 A seat belt assembly installed at the driver's seating
position shall adjust to fit persons whose dimensions range from those
of a 5th-percentile adult female to those of a 95th-percentile adult
male.
S7.1.1.2 (a) A seat belt assembly installed in a motor vehicle other
than a forward control vehicle at any designated seating position other
than the outboard positions of the front and second seats shall adjust
either by a retractor as specified in S7.1.1 or by a manual adjusting
device that conforms to 571.209.
(b) A seat belt assembly installed in a forward control vehicle at
any designated seating position other than the front outboard seating
positions shall adjust either by a retractor as specified in S7.1.1 or
by a manual adjusting device that conforms to 571.209.
S7.1.1.3 A Type 1 lap belt or the lap belt portion of any Type 2 seat
belt assembly installed at any forward-facing outboard designated
seating position of a vehicle with a gross vehicle weight rating of
10,000 pounds or less to comply with a requirement of this standard,
except walk-in van-type vehicles and school buses, shall meet the
requirements of S7.1 by means of an emergency locking retractor that
conforms to Standard No. 209 (49 CFR 571.209).
S7.1.1.4 Notwithstanding the other provisions of S7.1 -- S7.1.1.3,
emergency-locking retractors on belt assemblies located in positions
other than front outboard designated seating postions may be equipped
with a manual webbing adjustment device capable of causing the retractor
that adjusts the lap belt to lock when the belt is buckled.
S7.1.2 The intersection of the upper torso belt with the lap belt in
any Type 2 seat belt assembly furnished in accordance with S4.1.1 or
S4.1.2, with the upper torso manual adjusting device, if provided,
adjusted in accordance with the manufacturer's instructions, shall be at
least 6 inches from the front vertical centerline of a 50th-percentile
adult male occupant, measured along the centerline of the lap belt, with
the seat in its rearmost and lowest adjustable position and with the
seat back in the manufacturer's nominal design riding position.
S7.1.3 The weights and dimensions of the vehicle occupants referred
to in this standard are as follows:
S7.2 Latch mechanism. A seat belt assembly installed in any vehicle,
except an automatic belt assembly, shall have a latch mechanism --
(a) Whose components are accessible to a seated occupant in both the
stowed and operational positions;
(b) That releases both the upper torso restraint and the lap belt
simultaneously, if the assembly has a lap belt and an upper torso
restraint that require unlatching for release of the occupant; and
(c) That releases at a single point by a pushbutton action.
S7.3 (a) A seat belt assembly provided at the driver's seating
position shall be equipped with a warning system that, at the option of
the manufacturer, either --
(1) Activates a continous or intermittent audible signal for a period
of not less than 4 seconds and not more than 8 seconds and that
activates a continous or flashing warning light visible to the driver
displaying the identifying symbol for the seat belt telltale shown in
Table 2 of FMVSS 101 or, at the option of the manufacturer if permitted
by FMVSS 101, displaying the words ''Fasten Seat Belts'' or ''Fasten
Belts'', for not less than 60 seconds (beginning when the vehicle
ignition switch is moved to the ''on'' or the ''start'' position) when
condition (b) exists simultaneously with condition (c), or that
(2) Activates, for a period of not less than 4 seconds and not more
than 8 seconds (beginning when the vehicle ignition switch is moved to
the ''on'' or the ''start'' position), a continous or flashing warning
light visible to the driver, displaying the identifying symbol of the
seat belt telltale shown in Table 2 of FMVSS 101 or, at the option of
the manufacturer if permitted by FMVSS 101, displaying the words
''Fasten Seat Belts'' or ''Fasten Belts'', when condition (b) exists,
and a continuous or intermittent audible signal when condition (b)
exists simultaneously with condition (c).
(b) The vehicle's ignition switch is moved to the ''on'' position or
to the ''start'' position.
(c) The driver's lap belt is not in use, as determined, at the option
of the manufacturer, either by the belt latch mechanism not being
fastened, or by the belt not being extended at least 4 inches from its
stowed position.
S7.4 Seat belt comfort and convenience.
(a) Automatic seat belts. Automatic seat belts installed in any
vehicle, other than walk-in van-type vehicles, which has a gross vehicle
weight rating of 10,000 pounds or less, and which is manufactured on or
after September 1, 1986, shall meet the requirements of S7.4.1, S7.4.2,
and S7.4.3.
(b) Manual seat belts.
(1) Vehicles manufactured after September 1, 1986. Manual seat belts
installed in any vehicle, other than manual Type 2 belt systems
installed in the front outboard seating positions in passenger cars or
manual belts in walk-in van-type vehicles, which have a gross vehicle
weight rating of 10,000 pounds or less, shall meet the requirements of
S7.4.3, S7.4.4, S7.4.5, and S7.4.6.
(2) Vehicles manufactured after September 1, 1989.
(i) If the automatic restraint requirement of S4.1.4 is rescinded
pursuant to S4.1.5, then manual seat belts installed in a passenger car
shall meet the requirements of S7.1.1.3(a), S7.4.2, S7.4.3, S7.4.4,
S7.4.5, and S7.4.6.
(ii) Manual seat belts installed in a bus, multipurpose passenger
vehicle and truck with a gross vehicle weight rating of 10,000 pounds or
less, except for walk-in van-type vehicles, shall meet the requirements
of S7.4.3, S7.4.4, S7.4.5, and S7.4.6.
S7.4.1 Convenience hooks. Any manual convenience hook or other
device that is provided to stow seat belt webbing to facilitate entering
or exiting the vehicle shall automatically release the webbing when the
automatic belt system is otherwise operational and shall remain in the
released mode for as long as (a) exists simultaneously with (b), or, at
the manufacturer's option, for as long as (a) exists simultaneously with
(c) --
(a) The vehicle ignition switch is moved to the ''on'' or ''start''
position;
(b) The vehicle's drive train is engaged;
(c) The vehicle's parking brake is in the released mode (nonengaged).
S7.4.2 Webbing tension-relieving device. Each vehicle with an
automatic seat belt assembly or with a Type 2 manual seat belt assembly
that must meet the occupant crash protection requirements of S5.1 of
this standard installed at a front outboard designated seating position,
and each vehicle with a Type 2 manual seat belt assembly installed at a
rear outboard designated seating position in compliance with a
requirement of this standard, that has either automatic or manual
tension-relieving devices permitting the introduction of slack in the
webbing of the shoulder belt (e.g., ''comfort clips'' or
''window-shade'' devices) shall:
(a) Comply with the requirements of S5.1 with the shoulder belt
webbing adjusted to introduce the maximum amount of slack recommended by
the vehicle manufacturer pursuant to S7.4.2(b).
(b) Have a section in the vehicle owner's manual that explains how
the tension-relieving device works and specifies the maximum amount of
slack (in inches) recommended by the vehicle manufacturer to be
introduced into the shoulder belt under normal use conditions. The
explanation shall also warn that introducing slack beyond the amount
specified by the manufacturer could significantly reduce the
effectiveness of the shoulder belt in a crash; and
(c) Have, except for open-body vehicles with no doors, an automatic
means to cancel any shoulder belt slack introduced into the belt system
by a tension-relieving device. In the case of an automatic safety belt
system, cancellation of the tension-relieving device shall occur each
time the adjacent vehicle door is opened. In the case of a manual seat
belt required to meet S5.1, cancellation of the tension-relieving device
shall occur, at the manufacturer's option, either each time the adjacent
door is opened or each time the latchplate is released from the buckle.
In the case of a Type 2 manual seat belt assembly installed at a rear
outboard designated seating position, cancellation of the
tension-relieving device shall occur, at the manufacturer's option
either each time the door designed to allow the occupant of that seating
position entry and egress of the vehicle is opened or each time the
latchplate is released from the buckle. In the case of open-body
vehicles with no doors, cancellation of the tension-relieving device may
be done by a manual means.
S7.4.3 Belt contact force. Except for manual or automatic seat belt
assemblies that incorporate a webbing tension-relieving device, the
upper torso webbing of any seat belt assembly shall not exert more than
0.7 pounds of contact force when measured normal to and one inch from
the chest of an anthropomorphic test dummy, positioned in accordance
with either S10 or S11 of this standard in the seating position for
which that seat belt assembly is provided, at the point where the
centerline of the torso belt crosses the midsagittal line on the dummy's
chest.
S7.4.4 Latchplate access. Any seat belt assembly latchplate that is
located outboard of a front outboard seating position in accordance with
S4.1.2 shall also be located within the outboard reach envelope of
either the outboard arm or the inboard arm described in S10.6 of this
standard and, in the case of a Part 572 Subpart B test dummy, Figure 3A
of this standard, or, in the case of a Part 572 Subpart E test dummy,
Figure 3B of this standard, when the latchplate is in its normal stowed
position and any adjustable anchorages are adjusted to the
manufacturer's nominal design position for a 50th percentile male
occupant. There shall be sufficient clearance between the vehicle seat
and the side of the vehicle interior to allow the test block defined in
Figure 4 unhindered transit to the latchplate or buckle.
S7.4.5 Retraction. When tested under the conditions of S8.1.2 and
S8.1.3, with anthropomorphic test dummies whose arms have been removed
and which are positioned in accordance with either S10 or S11, or any
combination thereof, in the front outboard designated seating positions
and restrained by the belt systems for those positions, the torso and
lap belt webbing of any of those seat belt systems shall automatically
retract to a stowed position either when the adjacent vehicle door is in
the open position and the seat belt latchplate is released, or, at the
option of the manufacturer, when the latchplate is released. That
stowed position shall prevent any part of the webbing or hardware from
being pinched when the adjacent vehicle door is closed. A belt system
with a tension-relieving device in an open-bodied vehicle with no doors
shall fully retract when the tension/relieving device is deactivated.
For the purpose of the retraction requirement, outboard armrests, which
are capable of being stowed, on vehicle seats shall be placed in their
stowed positions.
S7.4.6 Seat belt guides and hardware.
S7.4.6.1 (a) Any manual seat belt assembly whose webbing is designed
to pass through the seat cushion or between the seat cushion and seat
back shall be designed to maintain one of the following three seat belt
parts (the seat belt latchplate, the buckle, or the seat belt webbing)
on top of or above the seat cushion under normal conditions (i.e.,
conditions other than when belt hardware is intentionally pushed behind
the seat by a vehicle occupant). In addition, the remaining two seat
belt parts must be accessible under normal conditions.
(b) The requirements of S7.4.6.1(a) do not apply to: (1) seats whose
seat cushions are movable so that the seat back serves a function other
than seating, (2) seats which are removable, or (3) seats which are
movable so that the space formerly occupied by the seat can be used for
a secondary function.
S7.4.6.2 The buckle and latchplate of a manual seat belt assembly
subject to S7.4.6.1 shall not pass through the guides or conduits
provided for in S7.4.6.1 and fall behind the seat when the events listed
below occur in the order specified: (a) The belt is completely
retracted or, if the belt is nonretractable, the belt is unlatched; (b)
the seat is moved to any position to which it is designed to be
adjusted; and (c) the seat back, if foldable, is folded forward as far
as possible and then moved backward into position. The inboard
receptacle end of a seat belt assembly installed at a front outboard
designated seating position shall be accessible with the center arm rest
in any position to which it can be adjusted (without having to move the
armrest).
S8. Test conditions.
S8.1 General conditions. The following conditions apply to the
frontal, lateral, and rollover tests.
S8.1.1 Except as provided in paragraph (c) of S8.1.1, the vehicle,
including test devices and instrumentation, is loaded as follows:
(a) Passenger cars. A passenger car is loaded to its unloaded
vehicle weight plus its rated cargo and luggage capacity weight, secured
in the luggage area, plus the weight of the necessary anthropomorphic
test devices.
(b) Multipurpose passenger vehicles, trucks, and buses. A
multipurpose passenger vehicle, truck, or bus is loaded to its unloaded
vehicle weight plus 300 pounds or its rated cargo and luggage capacity
weight, whichever is less, secured in the load carrying area and
distributed as nearly as possible in proportion to its gross axle weight
ratings, plus the weight of the necessary anthropomorphic test devices.
For the purposes of 8.1.1, unloaded vehicle weight does not include the
weight of work-performing accessories. Vehicles are tested to a maximum
unloaded vehicle weight of 5,500 pounds.
(c) Fuel system capacity. With the test vehicle on a level surface,
pump the fuel from the vehicle's fuel tank and then operate the engine
until it stops. Then, add Stoddard solvent to the test vehicle's fuel
tank in an amount which is equal to not less than 92 and not more than
94 percent of the fuel tank's usable capacity stated by the vehicle's
manufacturer. In addition, add the amount of Stoddard solvent needed to
fill the entire fuel system from the fuel tank through the engine's
induction system.
(d) Vehicle test attitude. Determine the distance between a level
surface and a standard reference point on the test vehicle's body,
directly above each wheel opening, when the vehicle is in its ''as
delivered'' condition. The ''as delivered'' condition is the vehicle as
received at the test site, with 100 percent of all fluid capacities and
all tires inflated to the manufacturer's specifications as listed on the
vehicle's tire placard. Determine the distance between the same level
surface and the same standard reference points in the vehicle's ''fully
loaded condition.'' The ''fully loaded condition'' is the test vehicle
loaded in accordance with S8.1.1 (a) or (b), as applicable. The load
placed in the cargo area shall be center over the longitudinal
centerline of the vehicle. The pretest vehicle attitude shall be equal
to either the as delivered or fully loaded attitude or between the as
delivered attitude and the fully loaded attitude.
S8.1.2 Adjustable seats are in the adjustment position midway between
the forwardmost and rearmost positions, and if separately adjustable in
a vertical direction, are at the lowest position. If an adjustment
position does not exist midway between the forwardmost and rearmost
positions, the closest adjustment position to the rear of the midpoint
is used.
S8.1.3 Place adjustable seat backs in the manufacturer's nominal
design riding position in the manner specified by the manufacturer.
Place any adjustable anchorages at the manufacturer's nominal design
position for a 50th percentile adult male occupant. Place each
adjustable head restraint in its highest adjustment position.
Adjustable lumbar supports are positioned so that the lumbar support is
in its lowest adjustment position.
S8.1.4 Adjustable steering controls are adjusted so that the steering
wheel hub is at the geometric center of the locus it describes when it
is moved through its full range of driving positions.
S8.1.5 Movable vehicle windows and vents are, at the manufacturer's
option, placed in the fully closed position.
S8.1.6 Convertibles and open-body type vehicles have the top, if any,
in place in the closed passenger compartment configuration.
S8.1.7 Doors are fully closed and latched but not locked.
S8.1.8 Anthropomorphic test dummies.
S8.1.8.1 The anthropomorphic test dummies used for evaluation of
occupant protection systems manufactured pursuant to applicable portions
of paragraphs S4.1.2, 4.1.3, and S4.1.4 shall conform to the
requirements of Subpart B of Part 572 of this Chapter.
S8.1.8.2 Anthropomorphic test devices used for the evaluation of
occupant protection systems manufactured pursuant to applicable portions
of paragraphs S4.1.2, S4.1.3, and S4.1.4 shall conform to the
requirements of Subpart E of Part 572 of this Chapter.
S8.1.9.1 Each Part 572, Subpart B test dummy specified in S8.1.8.1 is
clothed in formfitting cotton stretch garments with short sheeves and
midcalf length pants. Each foot of the test dummy is equipped with a
size 11EE shoe which meets the configuration size, sole, and heel
thickness specifications of MIL-S 131192 and weighs 1.25 0.2 pounds.
S8.1.9.2 Each Part 572, Subpart E test dummy specified in S8.1.8.2 is
clothed in formfitting cotton stretch garments with short sleeves and
midcalf length pants specified in drawings 78051-292 and -293
incorporated by reference in Part 572, Subpart E of this chapter,
respectively or their equivalents. A size 11EE shoe specified in
drawings 78051-294 (left) and 78051-295 (right) or their equivalents is
placed on each foot of the test dummy.
S8.1.10 Limb joints are set at lg, barely restraining the weight of
the limb when extended horizontally. Leg joints are adjusted with the
torso in the supine position.
S8.1.11 Instrumentation does not affect the motion of dummies during
impact or rollover.
S8.1.12 Temperature of the test dummy.
S8.1.12.1 The stabilized temperature of the test dummy specified by
S8.1.8.1 is at any level between 66 degrees F and 78 degrees F.
S8.1.12.2 The stabilized temperature of the test dummy specified by
S8.1.8.2 is at any level between 69 degrees F and 72 degrees F.
S8.2 Lateral moving barrier crash test conditions. The following
conditions apply to the lateral moving barrier crash test.
S8.2.1 The moving barrier, including the impact surface, supporting
structure, and carriage, weighs 4,000 pounds.
S8.2.2 The impact surface of the barrier is a vertical, rigid, flat
rectangle, 78 inches wide and 60 inches high, perpendicular to its
direction of movement, with its lower edge horizontal and 5 inches above
the ground surface.
S8.2.3 During the entire impact sequence the barrier undergoes no
significant amount of dynamic or static deformation, and absorbs no
significant portion of the energy resulting from the impact, except for
energy that results in translational rebound movement of the barrier.
S8.2.4 During the entire impact sequence the barrier is guided so
that it travels in a straight line, with no significant lateral,
vertical or rotational movement.
S8.2.5 The concrete surface upon which the vehicle is tested is
level, rigid and of uniform construction, with a skidnumber of 75 when
measured in accordance with American Society for Testing and Materials
Method E-274-65T at 40 m.p.h., omitting water delivery as specified in
paragraph 7.1 of that method.
S8.2.6 The tested vehicle's brakes are disengaged and the
transmission is in neutral.
S8.2.7 The barrier and the test vehicle are positioned so that at
impact --
(a) The vehicle is at rest in its normal attitude;
(b) The barrier is traveling in a direction perpendicular to the
longitudinal axis of the vehicle at 20 m.p.h.; and
(c) A vertical plane through the geometric center of the barrier
impact surface and perpendicular to that surface passes through the
driver's seating reference point in the tested vehicle.
S8.3 Rollover test conditions. The following conditions apply to the
rollover test.
S8.3.1 The tested vehicle's brakes are disengaged and the
transmission is in neutral.
S8.3.2 The concrete surface on which the test is conducted is level,
rigid, of uniform construction, and of a sufficient size that the
vehicle remains on it throughout the entire rollover cycle. It has a
skid number of 75 when measured in accordance with American Society for
Testing and Materials Method E-274-65T at 40 m.p.h. omitting water
delivery as specified in paragraph 7.1 of that method.
S8.3.3 The vehicle is placed on a device, similar to that illustrated
in Figure 2, having a platform in the form of a flat, rigid plane at an
angle of 23 from the horizontal. At the lower edge of the platform is
an unyielding flange, perpendicular to the platform with a height of 4
inches and a length sufficient to hold in place the tires that rest
against it. The intersection of the inner face of the flange with the
upper face of the platform is 9 inches above the rollover surface. No
other restraints are used to hold the vehicle in position during the
deceleration of the platform and the departure of the vehicle.
49 CFR 571.208
S8.3.4 With the vehicle on the test platform, the test devices remain
as nearly as possible in the posture specified in S8.1.
S8.3.5 Before the deceleration pulse, the platform is moving
horizontally, and perpendicularly to the longitudinal axis of the
vehicle, at a constant speed of 30 m.p.h. for a sufficient period of
time for the vehicle to become motionless relative to the platform.
S8.3.6 The platform is decelerated from 30 to 0 m.p.h. in a distance
of not more than 3 feet, without change of direction and without
transverse or rotational movement during the deceleration of the
platform and the departure of the vehicle. The deceleration rate is at
least 20g for a minimum of 0.04 seconds.
S9. Pressure vessels and explosive devices.
S9.1 Pressure vessels. A pressure vessel that is continuously
pressurized shall conform to the requirements of 178.65-2,
178.65-6(b), 178.65-7, 178.65-9 (a) and (b), and 178.65-10 of this
title. It shall not leak or evidence visible distortion when tested in
accordance with 178.65-11(a) of this title and shall not fail in any of
the ways enumerated in 178.65-11(b) of this title when hydrostatically
tested to destruction. It shall not crack when flattened in accordance
with 178.65-12(a) of this title to the limit specified in
178.65-12(a)(4) of this title.
S9.2 Explosive devices. An explosive device shall not exhibit any of
the characteristics prohibited by 173.51 of this title. All explosive
material shall be enclosed in a structure that is capable of containing
the explosive energy without sudden release of pressure except through
overpressure relief devices or parts designed to release the pressure
during actuation.
S10. Test dummy positioning procedures. Position a test dummy,
conforming to Subpart B of Part 572 of this chapter, in each front
outboard seating position of a vehicle as set forth below in S10 through
S10.9. Each test dummy is restrained during the crash tests of S5 as
follows:
(a) In a vehicle equipped with automatic restraints at each front
outboard designated seating position that is certified by its
manufacturer as meeting the requirements of S4.1.2.1 (a) and (c)(1),
each test dummy is not restrained during the frontal test of S5.1, the
lateral test of S5.2 and the rollover test of S5.3 by any means that
requires occupant action.
(b)(1) In a vehicle equipped with an automatic restraint at each
front outbound seating position that is certified by its manufacturer as
meeting the requirements of S4.1.2.1 (a) and (c)(2), each test dummy is
not restrained during one frontal test of S5.1 by any means that require
occupant action. If the vehicle has a manual seat belt provided by the
manufacturer to comply with the requirements of S4.1.2.1(c), then a
second frontal test is conducted in accordance with S5.1 and each test
dummy is restrained both by the automatic restraint system and the
manual seat belt, adjusted in accordance with S10.9.
(2) In a vehicle equipped with an automatic restraint only at the
driver's designated seating position, pursuant to S4.1.3.4(a)(2), that
is certified by its manufacturer as meeting the requirements of
S4.1.2.1(a) and (c)(2), the driver test dummy is not restrained during
one frontal test of S5.1 by any means that require occupant action. If
the vehicle also has a manual seat belt provided by the manufacturer to
comply with the requirements of S4.1.2.1(c), then a second frontal test
is conducted in accordance with S5.1 and the driver test dummy is
restrained both by the automatic restraint system and the manual seat
belt, adjusted in accordance with S10.9. At the option of the
manufacturer, a passenger test dummy can be placed in the right front
outboard designated seating position during the testing required by this
section. If a passenger test dummy is present, it shall be restrained
by a manual seat belt, adjusted in accordance with S10.9.
(c) In a vehicle equipped with a manual belt at the front outboard
designated seating positions that is certified by its manufacturer to
meet the requirements of S4.6, each test dummy is restrained by the
manual safety belts, adjusted in accordance with S10.9, installed at
each front outboard seating positions.
S10.1 Vehicle equipped with front bucket seats. Place the test
dummy's torso against the seat back and its upper legs against the seat
cushion to the extent permitted by placement of the test dummy's feet in
accordance with the appropriate paragraph of S10. Center the test dummy
on the seat cushion of the bucket seat and set its midsagittal plane so
that it is vertical and parallel to the centerline of the seat cushion.
S10.1.1 Driver position placement. (a) Initially set the knees of
the test dummy 14 1/2 inches apart, measured between the outer surfaces
of the knee pivot bolt heads, with the left outer surface 5.9 inches
from the midsagittal plane of the test dummy.
(b) Rest the right foot of the test dummy on the undepressed
accelerator pedal with the rearmost point of the heel on the floor pan
in the plane of the pedal. If the foot cannot be placed on the
accelerator pedal, set it initially perpendicular to the lower leg and
place it as far forward as possible in the direction of the pedal
centerline with the rearmost point of the heel resting on the floor pan.
Except as prevented by contact with a vehicle surface, place the right
leg so that the upper and lower leg centerlines fall, as close as
possible, in a vertical plane without inducing torso movement.
(c) Place the left foot on the toeboard with the rearmost point of
the heel resting on the floor pan as close as possible to the point of
intersection of the planes described by the toeboard and the floor pan
and not on the wheelwell projection. If the foot cannot be positioned
on the toeboard, set it initially perpendicular to the lower leg and
place it as far forward as possible with the heel resting on the floor
pan. If necessary to avoid contact with the vehicle's brake or clutch
pedal, rotate the test dummy's left foot about the lower leg. If there
is still pedal interference, rotate the left leg outboard about the hip
the minimum distance necessary to avoid the pedal interference. Except
as prevented by contact with a vehicle surface, place the left leg so
that the upper and lower leg centerlines fall, as close as possible, in
a vertical plane. For vehicles with a foot rest that does not elevate
the left foot above the level of the right foot, place the left foot on
the foot rest so that the upper and lower leg centerlines fall in a
vertical plane.
S10.1.2 Passenger position placement.
S10.1.2.1 Vehicles with a flat floor pan/toeboard. (a) Initially set
the knees 11 3/4 inches apart, measured between the outer surfaces of
the knee pivot bolt heads.
(b) Place the right and left feet on the vehicle's toeboard with the
heels resting on the floor pan as close as possible to the intersection
point with the toeboard. If the feet cannot be placed flat on the
toeboard, set them perpendicular to the lower leg centerlines and place
them as far forward as possible with the heels resting on the floor pan.
(c) Place the right and left legs so that the upper and lower leg
centerlines fall in vertical longitudinal planes.
S10.1.2.2 Vehicles with wheelhouse projections in passenger
compartment. (a) Initially set the knees 11 3/4 inches apart, measured
between the outer surfaces of the knee pivot bolt heads.
(b) Place the right and left feet in the well of the floor
pan/toeboard and not on the wheelhouse projection. If the feet cannot
be placed flat on the toeboard, initially set them perpendicular to the
lower leg centerlines and then place them as far forward as possible
with the heels resting on the floor pan.
(c) If it is not possible to maintain vertical and longitudinal
planes through the upper and lower leg centerlines for each leg, then
place the left leg so that its upper and lower centerlines fall, as
closely as possible, in a vertical longitudinal plane and place the
right leg so that its upper and lower leg centerlines fall, as closely
as possible, in a vertical plane.
S10.2 Vehicle equipped with bench seating. Place the test dummy's
torso against the seat back and its upper legs against the seat cushion,
to the extent permitted by placement of the test dummy's feet in
accordance with the appropriate paragraph of S10.1.
S10.2.1 Driver position placement. Place the test dummy at the left
front outboard designated seating position so that its midsagittal plane
is vertical and parallel to the centerline of the vehicle and so that
the midsagittal plane of the test dummy passes through the center of the
steering wheel rim. Place the legs, knees, and feet of the test dummy
as specified in S10.1.1.
S10.2.2 Passenger position placement. Place the test dummy at the
right front outboard designated seating position so that the midsagittal
plane of the test dummy is vertical and longitudinal, and the same
distance from the vehicle's longitudinal centerline as the midsagittal
plane of the test dummy at the driver's position. Place the legs,
knees, and feet of the test dummy as specified in S10.1.2.
S10.3 Initial test dummy hand and arm placement. With the test dummy
at its designated seating position as specified by the appropriate
requirements of S10.1 or S10.2, place the upper arms against the seat
back and tangent to the side of the upper torso. Place the lower arms
and palms against the outside of the upper legs.
S10.4 Test dummy settling.
S10.4.1 Test dummy vertical upward displacement. Slowly lift the
test dummy parallel to the seat back plane until the test dummy's
buttocks no longer contact the seat cushion or until there is test dummy
head contact with the vehicle's headlining.
S10.4.2 Lower torso force application. Apply a rearward force of 50
pounds against the center of the test dummy's lower torso in a
horizontal direction. The line of force application shall be 6 1/2
inches above the bottom surface of the test dummy's buttocks.
S10.4.3 Test dummy vertical downward displacement. Remove as much of
the 50 pound force as necessary to allow the test dummy to return
downward to the seat cushion by its own weight.
S10.4.4 Test dummy upper torso rocking. Apply a 10 to 15 pound
horizontal rearward force to the test dummy's lower torso. Then apply a
horizontal forward force to the test dummy's shoulders sufficient to
flex the upper torso forward until its back no longer contacts the seat
back. Rock the test dummy from side to side 3 or 4 times so that the
test dummy's spine is at any angle from the vertical in the 14 to 16
degree range at the extremes of each rocking movement.
S10.4.5 Test dummy upper torso force application. While maintaining
the 10 to 15 pound horizontal rearward force applied in S10.4.4 and with
the test dummy's midsagittal plane vertical, push the upper torso back
against the seat back with a force of 50 pounds applied in a horizontal
rearward direction along a line that is coincident with the test dummy's
midsagittal plane and 18 inches above the bottom surface of the test
dummy's buttocks.
S10.5 Belt adjustment for dynamic testing. With the test dummy at
its designated seating position as specified by the appropriate
requirements of S8.1.2, S8.1.3 and S10.1 through S10.4, place and adjust
the safety belt as specified below.
S10.5.1 Manual safety belts. Place the Type 1 or Type 2 manual belt
around the test dummy and fasten the latch. Pull the Type 1 belt
webbing out of the retractor and allow it to retract; repeat this
operation four times. Remove all slack from the lap belt portion of a
Type 2 belt. Pull the upper torso webbing out of the retractor and
allow it to retract; repeat this operation four times so that the
excess webbing in the shoulder belt is removed by the retractive force
of the retractor. Apply a 2 to 4 pound tension load to the lap belt of
a single retractor system by pulling the upper torso belt adjacent to
the latchplate. In the case of a dual retractor system, apply a 2 to 4
pound tension load by pulling the lap belt adjacent to its retractor.
Measure the tension load as close as possible to the same location where
the force was applied. After the tension load has been applied, ensure
that the upper torso belt lies flat on the test dummy's shoulder.
S10.5.2 Automatic safety belts. Ensure that the upper torso belt
lies flat on the test dummy's shoulder after the automatic belt has been
placed on the test dummy.
S10.5.3 Belts with tension-relieving devices. If the automatic or
dynamically-tested manual safety belt system is equipped with a
tension-relieving device, introduce the maximum amount of slack into the
upper torso belt that is recommended by the manufacturer for normal use
in the owner's manual for the vehicle.
S10.6 Placement of test dummy arms and hands. With the test dummy
positioned as specified by S10.4 and without inducing torso movement,
place the arms, elbows, and hands of the test dummy, as appropriate for
each designated seating position in accordance with S10.6.1 or S10.6.2.
Following placement of the arms, elbows and hands, remove the force
applied against the lower half of the torso.
S10.6.1 Driver's position. Move the upper and the lower arms of the
test dummy at the driver's position to their fully outstretched position
in the lowest possible orientation. Push each arm rearward permitting
bending at the elbow, until the palm of each hand contacts the outer
part of the rim of the steering wheel at its horizontal centerline.
Place the test dummy's thumbs over the steering wheel rim and position
the upper and lower arm centerlines as close as possible in a vertical
plane without inducing torso movement. The thumbs shall be over the
steering wheel rim and are lightly taped to the steering wheel rim so
that if the hand of the test dummy is pushed upward by a force of not
less than 2 pounds and not more than 5 pounds, the tape shall release
the hand from the steering wheel rim.
S10.6.2 Passenger position. Move the upper and the lower arms of the
test dummy at the passenger position to the fully outstretched position
in the lowest possible orientation. Push each arm rearward, permitting
bending at the elbow, until the upper arm contracts the seat back and is
tangent to the upper part of the side of the torso, the palm contacts
the outside of the thigh, and the little finger is barely in contact
with the seat cushion.
S10.7 Repositioning of feet and legs. After the test dummy has been
settled in accordance with S10.4, the safety belt system has been
positioned, if necessary, in accordance with S10.5, and the arms and
hands of the test dummy have been positioned in accordance with S10.6,
reposition the feet and legs of the test dummy, if necessary, so that
the feet and legs meet the applicable requirements of S10.1 or S10.2.
S10.8 Test dummy positioning for latchplate access. The reach
envelopes specified in S7.4.4 are obtained by positioning a test dummy
in the driver's seat or passenger's seat in its forwardmost adjustment
position. Attach the lines for the inboard and outboard arms to the
test dummy as described in Figure 3 of this standard. Extend each line
backward and outboard to generate the compliance arcs of the outboard
reach envelope of the test dummy's arms.
S10.9 Test dummy positioning for belt contact force.
S10.9.1 Vehicles manufactured before September 1, 1987. To determine
compliance with S7.4.3 of this standard, a manufacturer may use, at its
option, either the test procedure of S10.9.1 or the test procedure of
S10.9.2. Position the test dummy in the vehicle in accordance with the
appropriate requirements specified in S10.1 or S10.2 and under the
conditions of S8.1.2 and S8.1.3. Fasten the latch and pull the belt
webbing three inches from the dummy's chest and release until the
webbing is within one inch of the test dummy's chest and measure the
belt contact force.
S10.9.2 Vehicles manufactured on or after September 1, 1987. To
determine compliance with S7.4.3 of this standard, position the test
dummy in the vehicle in accordance with the appropriate requirements
specified in S10.1 or S10.2 and under the conditions of S8.1.2 and
S8.1.3. Close the vehicle's adjacent door, pull either 12 inches of belt
webbing or the maximum available amount of belt webbing, whichever is
less, from the retractor and then release it, allowing the belt webbing
to return to the dummy's chest. Fasten the latch and pull the belt
webbing three inches from the test dummy's chest and release until the
webbing is within one inch of the test dummys chest and measure the belt
contact force.
S11. Positioning Procedure for the Part 572 Subpart E Test Dummy.
S11.1 Head. The transverse instrumentation platform of the head shall
be horizontal within 1/2 degree. To level the head of the test dummy,
the following sequences must be followed. First, adjust the position of
the H point within the limits set forth in S11.4.3.1 to level the
transverse instrumentation platform of the head of the test dummy. If
the transverse instrumentation platform of the head is still not level,
then adjust the pelvic angle of the test dummy within the limits
specified in S11.4.3.2 of this standard. If the transverse
instrumentation platform of the head is still not level, then adjust the
neck bracket of the dummy the minimum amount necessary from the
non-adjusted ''0'' setting to ensure that the transverse instrumentation
platform of the head is horizontal within 1/2 degree. The test dummy
shall remain within the limits specified in S11.4.3.1 and S11.4.3.2
after any adjustment of the neck bracket.
S11.2.1 The driver's upper arms shall be adjacent to the torso with
the centerlines as close to a vertical plane as possible.
S11.2.2 The passenger's upper arms shall be in contact with the seat
back and the sides of torso.
S11.3 Hands.
S11.3.1 The palms of the driver test dummy shall be in contact with
the outer part of the steering wheel rim at the rim's horizontal
centerline. The thumbs shall be over the steering wheel rim and shall
be lightly taped to the steering wheel rim so that if the hand of the
test dummy is pushed upward by a force of not less than 2 pounds and not
more than 5 pounds, the tape shall release the hand from the steering
wheel rim.
S11.3.2 The palms of the passenger test dummy shall be in contact
with outside of thigh. The little finger shall be in contact with the
seat cushion.
S11.4 Torso.
S11.4.1 In vehicles equipped with bench seats, the upper torso of the
driver and passenger test dummies shall rest against the seat back. The
midsagittal plane of the driver dummy shall be vertical and parallel to
the vehicle's longitudinal centerline, and pass through the center of
the steering wheel rim. The midsagittal plane of the passenger dummy
shall be vertical and parallel to the vehicle's longitudinal centerline
and the same distance from the vehicle's longitudinal centerline as the
midsagittal plane of the driver dummy.
S11.4.2 In vehicles equipped with bucket seats, the upper torso of
the driver and passenger test dummies shall rest against the seat back.
The midsagittal plane of the driver and the passenger dummy shall be
vertical and shall coincide with the longitudinal centerline of the
bucket seat.
S11.4.3 Lower Torso.
S11.4.3.1 H-point. The H-point of the driver and passenger test
dummies shall coincide within 1/2 inch in the vertical dimension and 1/2
inch in the horizontal dimension of a point 1/4 inch below the position
of the H-point determined by using the equipment and procedures
specified in SAE J826 (Apr 80) except that the length of the lower leg
and thigh segments of the H-point machine shall be adjusted to 16.3 and
15.8 inches, respectively, instead of the 50th percentile values
specified in Table 1 of SAE J826.
S11.4.3.2 Pelvic angle. As determined using the pelvic angle gage
(GM drawing 78051-532 incorporated by reference in Part 572, Subpart E
of this chapter) which is inserted into the H-point gaging hole of the
dummy, the angle measured from the horizontal on the 3 inch flat surface
of the gage shall be 22 1/2 degrees plus or minus 2 1/2 degrees.
S11.5 Legs.
S11.5.1 The legs of the driver and passenger test dummy shall be
placed as provided in S11.5.2 or, at the option of the vehicle
manufacturer until September 1, 1991, as provided in S10.1.1 for the
driver and S10.1.2 for the passenger, except that the initial distance
between the outboard knee clevis flange surfaces shall be 10.6 inches
for both the driver and the passenger rather than 14 1/2 inches as
specified in S10.1.1(a) for the driver and 11 3/4 inches as specified in
S10.1.2.1(a) and S10 1.2.2(a) for the passenger.
S11.5.2 The upper legs of the driver and passenger test dummies shall
rest against the seat cushion to the extent permitted by placement of
the feet. The initial distance between the outboard knee clevis flange
surfaces shall be 10.6 inches. To the extent practicable, the left leg
of the driver dummy and both legs of the passenger dummy shall be in
vertical longitudinal planes. To the extent practicable, the right leg
of the driver dummy shall be in a vertical plane. Final adjustment to
accommodate placement of feet in accordance with S11.6 for various
passenger compartment configurations is permitted.
S11.6 Feet. The feet of the driver test dummy shall be positioned in
accordance with S10.1.1 (b) and (c) of this standard. The feet of the
passenger test dummy shall be positioned in accordance with S10.1.2.1
(b) and (c) or S10.1.2.2 (b) and (c) of this standard, as appropriate.
S11.7 Test dummy positioning for latchplate access. The reach
envelopes specified in S7.4.4 are obtained by positioning a test dummy
in the driver's seat or passenger's seat in its forwardmost adjustment
position. Attach the lines for the inboard and outboard arms to the
test dummy as described in Figure 3 of this standard. Extend each line
backward and outboard to generate the compliance arcs of the outboard
reach envelope of the test dummy's arms.
S11.8 Test dummy positioning for belt contact force. To determine
compliance with S7.4.3 of this standard, position the test dummy in the
vehicle in accordance with the requirements specified in S11.1 through
S11.6 and under the conditions of S8.1.2. and S8.1.3. Pull the belt
webbing three inches from the test dummy's chest and release until the
webbing is within 1 inch of the test dummy's chest and measure the belt
contact force.
S11.9 Manual belt adjustment for dynamic testing. With the test
dummy at its designated seating position as specified by the appropriate
requirements of S8.1.2, S8.1.3 and S11.1 through S11.6, place the Type 2
manual belt around the test dummy and fasten the latch. Remove all
slack from the lap belt. Pull the upper torso webbing out of the
retractor and allow it to retract; repeat this operation four times.
Apply a 2 to 4 pound tension load to the lap belt. If the belt system
is equipped with a tension-relieving device introduce the maximum amount
of slack into the upper torso belt that is recommended by the
manufacturer for normal use in the owner's manual for the vehicle. If
the belt system is not equipped with a tension-relieving device, allow
the excess webbing in the shoulder belt to be retracted by the
retractive force of the retractor.
Note: The concept of an occupant protection system which requires
''no action by vehicle occupants,'' as that term is used in Standard No.
208, is intended to designate a system which will perform its
protective restraining function after a normal process of ingress or
egress without separate deliberate actions by the vehicle occupant to
deploy the restraint system. Thus, the agency considers an occupant
protection system to be automatic if an occupant has to take no action
to deploy the system but would normally slightly push the seat belt
webbing aside when entering or exiting the vehicle or would normally
make a slight adjustment in the webbing for comfort.
Insert Illus 0272 -- (Fig. 3a)
Insert Illus 0273 -- (Fig. 3b)
49 CFR 571.208
(36 FR 22902, Dec. 2, 1971)
Editorial Note: For Federal Register citations affecting 571.208,
see the List of CFR Sections Affected in the Finding Aids section of
this volume.
Effective Date Notes:
Manufacturers' Options For Compliance
1. At 51 FR 26688, July 25, 1986, a document was published amending
Part 572 which adopted the Hybrid III test dummy (Subpart E) as an
alternative to the Part 572 test dummy (Subpart B) in testing done
pursuant to Standard No. 208. That document also revised paragraphs
S5.1, S5.2, S5.3, S6, S8.1.8, S8.1.9, S8.1.12; added a sentence at the
end of S8.1.3, and added S11 in Standard No. 208 so that effective
October 23, 1986 manufacturers have the option of using either the
existing Part 572 test dummy (Subpart B) or the Hybrid III test dummy
(Subpart E) until August 31, 1991. As of September 1, 1991, the Hybrid
III will replace the Part 572 test dummy and be used as the exclusive
means of determining a vehicle's conformance with the performance
requirements of Standard No. 208.
2. Amendments were made to 571.208 at 52 FR 44908, Nov. 23, 1987.
Multipurpose passenger vehicles and trucks with a gross vehicle weight
rating of 8,500 pounds or less and an unloaded vehicle weight of 5,500
pounds or less must comply with the dynamic testing requirements of S4.6
of Standard No. 208 beginning on September 1, 1991.
49 CFR 571.209Standard No. 209; Seat belt assemblies.
S1. Purpose and scope. This standard specifies requirements for seat
belt assemblies.
S2. Application. This standard applies to seat belt assemblies for
use in passenger cars, multipurpose passenger vehicles, trucks, and
buses.
S3. Definitions. Adjustment hardware means any or all hardware
designed for adjusting the size of a seat belt assembly to fit the user,
including such hardware that may be integral with a buckle, attachment
hardware, or retractor.
Attachment hardware means any or all hardware designed for securing
the webbing of a seat belt assembly to a motor vehicle.
Automatic-locking retractor means a retractor incorporating
adjustment hardware by means of a positive self-locking mechanism which
is capable when locked of withstanding restraint forces.
Buckle means a quick release connector which fastens a person in a
seat belt assembly.
Emergency-locking retractor means a retractor incorporating
adjustment hardware by means of a locking mechanism that is activated by
vehicle acceleration, webbing movement relative to the vehicle, or other
automatic action during an emergency and is capable when locked of
withstanding restraint forces.
Hardware means any metal or rigid plastic part of a seat belt
assembly.
Load-limiter means a seat belt assembly component or feature that
controls tension on the seat belt to modulate the forces that are
imparted to occupants restrained by the belt assembly during a crash.
Nonlocking retractor means a retractor from which the webbing is
extended to essentially its full length by a small external force, which
provides no adjustment for assembly length, and which may or may not be
capable of sustaining restraint forces at maximum webbing extension.
Pelvic restraint means a seat belt assembly or portion thereof
intended to restrain movement of the pelvis.
Retractor means a device for storing part or all of the webbing in a
seat belt assembly.
Seat back retainer means the portion of some seat belt assemblies
designed to restrict forward movement of a seat back.
Seat belt assembly means any strap, webbing, or similar device
designed to secure a person in a motor vehicle in order to mitigate the
results of any accident, including all necessary buckles and other
fasteners, and all hardware designed for installing such seat belt
assembly in a motor vehicle.
Strap means a narrow nonwoven material used in a seat belt assembly
in place of webbing.
Type 1 seat belt assembly is a lap belt for pelvic restraint.
Type 2 seat belt assembly is a combination of pelvic and upper torso
restraints.
Type 2a shoulder belt is an upper torso restraint for use only in
conjunction with a lap belt as a Type 2 seat belt assembly.
Upper torso restraint means a portion of a seat belt assembly
intended to restrain movement of the chest and shoulder regions.
Webbing means a narrow fabric woven with continuous filling yarns and
finished selvages.
S4. Requirements.
S4.1 (a) Single occupancy. A seat belt assembly shall be designed
for use by one, and only one, person at any one time.
(b) Pelvic restraint. A seat belt assembly shall provide pelvic
restraint whether or not upper torso restraint is provided, and the
pelvic restraint shall be designed to remain on the pelvis under all
conditions, including collision or roll-over of the motor vehicle.
Pelvic restraint of a Type 2 seat belt assembly that can be used without
upper torso restraint shall comply with requirement for Type 1 seat belt
assembly in S4.1 to S4.4.
(c) Upper torso restraint. A Type 2 seat belt assembly shall provide
upper torso restraint without shifting the pelvic restraint into the
abdominal region. An upper torso restraint shall be designed to
minimize vertical forces on the shoulders and spine. Hardware for upper
torso restraint shall be so designed and located in the seat belt
assembly that the possibility of injury to the occupant is minimized.
A Type 2a shoulder belt shall comply with applicable requirements for
a Type 2 seat belt assembly in S4.1 to S4.4, inclusive.
(d) Hardware. All hardware parts which contact under normal usage a
person, clothing, or webbing shall be free from burrs and sharp edges.
(e) Release. A Type 1 or Type 2 seat belt assembly shall be provided
with a buckle or buckles readily accessible to the occupant to permit
his easy and rapid removal from the assembly. Buckle release mechanism
shall be designed to minimize the possibility of accidental release. A
buckle with release mechanism in the latched position shall have only
one opening in which the tongue can be inserted on the end of the buckle
designed to receive and latch the tongue.
(f) Attachment hardware. A seat belt assembly shall include all
hardware necessary for installation in a motor vehicle in accordance
with Society of Automotive Engineers Recommended Practice J800c, ''Motor
Vehicle Seat Belt Installation,'' November 1973. However, seat belt
assemblies designed for installation in motor vehicles equipped with
seat belt assembly anchorages that do not require anchorage nuts,
plates, or washers, need not have such hardware, but shall have 7/16-20
UNF-2A or 1/2-13UNC-2A attachment bolts or equivalent hardware. The
hardware shall be designed to prevent attachment bolts and other parts
from becoming disengaged from the vehicle while in service. Reinforcing
plates or washers furnished for universal floor installations shall be
of steel, free from burrs and sharp edges on the peripheral edges
adjacent to the vehicle, at least 0.06 inch in thickness and at least 4
square inches in projected area. The distance between any edge of the
plate and the edge of the bolt hole shall be at least 0.6 inch. Any
corner shall be rounded to a radius of not less than 0.25 inch or cut so
that no corner angle is less than 135 and no side is less than 0.25
inch in length.
(g) Adjustment. (1) A Type 1 or Type 2 seat belt assembly shall be
capable of adjustment to fit occupants whose dimensions and weight range
from those of a 5th-percentile adult female to those of a
95th-percentile adult male. The seat belt assembly shall have either an
automatic-locking retractor, an emergency-locking retractor, or an
adjusting device that is within the reach of the occupant.
(2) A Type 1 or Type 2 seat belt assembly for use in a vehicle having
seats that are adjustable shall conform to the requirements of
S4.1(g)(1) regardless of seat position. However, if a seat has a back
that is separately adjustable, the requirements of S4.1(g)(1) need be
met only with the seat back in the manufacturer's nominal design riding
position.
(3) The adult occupants referred to in S4.1(g)(1) shall have the
following measurements:
(h) Webbing. The ends of webbing in a seat belt assembly shall be
protected or treated to prevent raveling. The end of webbing in a seat
belt assembly having a metal-to-metal buckle that is used by the
occupant to adjust the size of the assembly shall not pull out of the
adjustment hardware at maximum size adjustment. Provision shall be made
for essentially unimpeded movement of webbing routed between a seat back
and seat cushion and attached to a retractor located behind the seat.
(i) Strap. A strap used in a seat belt assembly to sustain restraint
forces shall comply with the requirements for webbing in S4.2, and if
the strap is made from a rigid material, it shall comply with applicable
requirements in S4.2, S4.3, and S4.4.
(j) Marking. Each seat belt assembly shall be permanently and
legibly marked or labeled with year of manufacture, model, and name or
trademark of manufacturer or distributor, or of importer if manufactured
outside the United States. A model shall consist of a single
combination of webbing having a specific type of fiber weave and
construction, and hardware having a specific design. Webbings of
various colors may be included under the same model, but webbing of each
color shall comply with the requirements for webbing in S4.2.
(k) Installation instructions. A seat belt assembly or retractor
shall be accompanied by an instruction sheet providing sufficient
information for installing the assembly in a motor vehicle except for a
seat belt assembly installed in a motor vehicle by an automobile
manufacturer. The installation instructions shall state whether the
assembly is for universal installation or for installation only in
specifically stated motor vehicles, and shall include at least those
items specified in SAE Recommended Practice J800c, ''Motor Vehicle Seat
Belt Installations,'' November 1973.
(l) Usage and maintenance instructions. A seat belt assembly or
retractor shall be accompanied by written instructions for the proper
use of the assembly, stressing particularly the importance of wearing
the assembly snugly and properly located on the body, and on the
maintenance of the assembly and periodic inspection of all components.
The instructions shall show the proper manner of threading webbing in
the hardware of seat belt assemblies in which the webbing is not
permanently fastened. Instructions for a nonlocking retractor shall
include a caution that the webbing must be fully extended from the
retractor during use of the seat belt assembly unless the retractor is
attached to the free end of webbing which is not subjected to any
tension during restraint of an occupant by the assembly. Instructions
for Type 2a shoulder belt shall include a warning that the shoulder belt
is not to be used without a lap belt.
(m) Workmanship. Seat belt assemblies shall have good workmanship in
accordance with good commercial practice.
S4.2 Requirements for webbing.
(a) Width. The width of the webbing in a seat belt assembly shall be
not less than 1.8 inches, except for portions that do not touch a 95th
percentile adult male with the seat in any adjustment position and the
seat back in the manufacturer's nominal design riding position when
measured under the conditions prescribed in S5.1(a).
(b) Breaking strength. The webbing in a seat belt assembly shall
have not less than the following breaking strength when tested by the
procedures specified in S5.1(b): Type 1 seat belt assembly -- 6,000
pounds or 2,720 kilograms; Type 2 seat belt assembly -- 5,000 pounds or
2,270 kilograms for webbing pelvic restraint and 4,000 pounds or 1,810
kilograms for webbing in upper torso restraint.
(c) Elongation. Except as provided in S4.5, the webbing in a seat
belt assembly shall not extend to more than the following elongation
when subjected to the specified forces in accordance with the procedure
specified in S5.1(c): Type 1 seat belt assembly -- 20 percent at 2,500
pounds or 1,130 kilograms; Type 2 seat belt assembly -- 30 percent at
2,500 pounds or 1,130 kilograms for webbing in pelvic restraint and 40
percent at 2,500 pounds or 1,130 kilograms for webbing in upper torso
restraint.
(d) Resistance to abrasion. The webbing of a seat belt assembly,
after being subjected to abrasion as specified in S5.1(d) or S5.3(c),
shall have a breaking strength of not less than 75 percent of the
breaking strength listed in S4.2(b) for that type of belt assembly.
(e) Resistance to light. The webbing in a seat belt assembly after
exposure to the light of a carbon are and tested by the procedure
specified in S5.1(e) shall have a breaking strength not less than 60
percent of the strength before exposure to the carbon arc and shall have
a color retention not less than No. 2 on the Geometric Gray Scale
published by the American Association of Textile Chemists and Colorists,
Post Office Box 886, Durham, NC.
(f) Resistance to micro-organisms. The webbing in a seat belt
assembly after being subjected to micro-organisms and tested by the
procedures specified in S5.1(f) shall have a breaking strength not less
than 85 percent of the strength before subjection to micro-organisms.
(g) Colorfastness to crocking. The webbing in a seat belt assembly
shall not transfer color to a crock cloth either wet or dry to a greater
degree than Class 3 on the AATCC Chart for Measuring Transference of
Color published by the American Association of Textile Chemists and
Colorists, when tested by the procedure specified in S5.1(g).
(h) Colorfastness to staining. The webbing in a seat belt assembly
shall not stain to a greater degree than Class 3 on the AATCC Chart for
Measuring Transference of Color published by the American Association of
Textile Chemists and Colorists, when tested by the procedure specified
in S5.1(h).
S4.3 Requirements for hardware.
(a) Corrosion resistance. (1) Attachment hardware of a seat belt
assembly after being subjected to the conditions specified in S5.2(a)
shall be free of ferrous corrosion on significant surfaces except for
permissible ferrous corrosion at peripheral edges or edges of holes on
underfloor reinforcing plates and washers. Alternatively, such hardware
at or near the floor shall be protected against corrosion by at least an
electrodeposited coating of nickel, or copper and nickel with at least a
service condition number of SC2, and other attachment hardware shall be
protected by an electrodeposited coating of nickel, or copper and nickel
with a service condition number of SC1, in accordance with American
Society for Testing and Materials B456-79, ''Standard Specification for
Electrodeposited Coatings of Copper Plus Nickel Plus Chromium and Nickel
Plus Chromium,'' but such hardware shall not be racked for
electroplating in locations subjected to maximum stress.
(2) Surfaces of buckles, retractors and metallic parts, other than
attachment hardware, of a seat belt assembly after subjection to the
conditions specified in S5.2(a) shall be free of ferrous or nonferrous
corrosion which may be transferred, either directly or by means of the
webbing, to the occupant or his clothing when the assembly is worn.
After test, buckles shall conform to applicable requirements in
paragraphs (d) to (g) of this section.
(b) Temperature resistance. Plastic or other nonmetallic hardware
parts of a seat belt assembly when subjected to the conditions specified
in S5.2(b) shall not warp or otherwise deteriorate to cause the assembly
to operate improperly or fail to comply with applicable requirements in
this section and S4.4.
(c) Attachment hardware. (1) Eye bolts, shoulder bolts, or other
bolts used to secure the pelvic restraint of a seat belt assembly to a
motor vehicle shall withstand a force of 9,000 pounds or 4,080 kilograms
when tested by the procedure specified in S5.2(c)(1), except that
attachment bolts of a seat belt assembly designed for installation in
specific models of motor vehicles in which the ends of two or more seat
belt assemblies cannot be attached to the vehicle by a single bolt shall
have a breaking strength of not less than 5,000 pounds or 2,270
kilograms.
(2) Other attachment hardware designed to receive the ends of two
seat belt assemblies shall withstand a tensile force of at least 6,000
pounds or 2,720 kilograms without fracture of any section when tested by
the procedure specified in S5.2(c)(2).
(3) A seat belt assembly having single attachment hooks of the
quick-disconnect type for connecting webbing to an eye bolt shall be
provided with a retaining latch or keeper which shall not move more than
0.08 inch or 2 millimeters in either the vertical or horizontal
direction when tested by the procedure specified in S5.2(c)(3).
(d) Buckle release. (1) The buckle of a Type 1 or Type 2 seat belt
assembly shall release when a force of not more than 30 pounds or 14
kilograms is applied.
(2) A buckle designed for pushbutton application of buckle release
force shall have a minimum area of 0.7 square inch or 4.5 square
centimeters with a minimum linear dimension of 0.4 inch or 10
millimeters for applying the release force, or a buckle designed for
lever application of buckle release force shall permit the insertion of
a cylinder 0.4 inch or 10 millimeters in diameter and 1.5 inches or 38
millimeters in length to at least the midpoint of the cylinder along the
cylinder's entire length in the actuation portion of the buckle release.
A buckle having other design for release shall have adequate access for
two or more fingers to actuate release.
(3) The buckle of a Type 1 or Type 2 seat belt assembly shall not
release under a compressive force of 400 pounds applied as prescribed in
paragraph S5.2(d)(3). The buckle shall be operable and shall meet the
applicable requirement of paragraph S4.4 after the compressive force has
been removed.
(e) Adjustment force. The force required to decrease the size of a
seat belt assembly shall not exceed 11 pounds or 5 kilograms when
measured by the procedure specified in S5.2(e).
(f) Tilt-lock adjustment. The buckle of a seat belt assembly having
tilt-lock adjustment shall lock the webbing when tested by the procedure
specified in S5.2(f) at an angle of not less than 30 degrees between the
base of the buckle and the anchor webbing.
(g) Buckle latch. The buckle latch of a seat belt assembly when
tested by the procedure specified in S5.2(g) shall not fail, nor gall or
wear to an extent that normal latching and unlatching is impaired, and a
metal-to-metal buckle shall separate when in any position of partial
engagement by a force of not more than 5 pounds or 2.3 kilograms.
(h) Nonlocking retractor. The webbing of a seat belt assembly shall
extend from a nonlocking retractor within 0.25 inch or 6 millimeters of
maximum length when a tension is applied as prescribed in S5.2(h). A
nonlocking retractor on upper torso restraint shall be attached to the
nonadjustable end of the assembly, the reel of the retractor shall be
easily visible to an occupant while wearing the assembly, and the
maximum retraction force shall not exceed 1.1 pounds or 0.5 kilogram in
any strap or webbing that contacts the shoulder when measured by the
procedure specified in S5.2(h), unless the retractor is attached to the
free end of webbing which is not subjected to any tension during
restraint of an occupant by the assembly.
(i) Automatic-locking retractor. The webbing of a seat belt assembly
equipped with an automatic locking retractor, when tested by the
procedure specified in S5.2(i), shall not move more than 1 inch or 25
millimeters between locking positions of the retractor, and shall be
retracted with a force under zero acceleration of not less than 0.6
pound or 0.27 kilogram when attached to pelvic restraint, and not less
than 0.45 pound or 0.2 kilogram nor more than 1.1 pounds or 0.5 kilogram
in any strap or webbing that contacts the shoulders of an occupant when
the retractor is attached to upper torso restraint. An automatic
locking retractor attached to upper torso restraint shall not increase
the restraint on the occupant of the seat belt assembly during use in a
vehicle traveling over rough roads as prescribed in S5.2(i).
(j) Emergency-locking retractor. An emergency-locking retractor of a
Type 1 or Type 2 seat belt assembly, when tested in accordance with the
procedures specified in paragraph S5.2(j) --
(1) Shall lock before the webbing extends 1 inch when the retractor
is subjected to an acceleration of 0.7g;
(2) Shall not lock, if the retractor is sensitive to webbing
withdrawal, before the webbing extends 2 inches when the retractor is
subjected to an acceleration of 0.3g or less;
(3) Shall not lock, if the retractor is sensitive to vehicle
acceleration, when the retractor is rotated in any direction to any
angle of 15 or less from its orientation in the vehicle;
(4) Shall exert a retractive force of at least 0.6 pound under zero
acceleration when attached only to the pelvic restraint.
(5) Shall exert a retractive force of not less than 0.2 pound and not
more than 1.1 pounds under zero acceleration when attached only to an
upper torso restraint;
(6) Shall exert a retractive force of not less than 0.2 pound and not
more than 1.5 pounds under zero acceleration when attached to a strap or
webbing that restrains both the upper torso and the pelvis.
(k) Performance of retractor. A retractor used on a seat belt
assembly after subjection to the tests specified in S5.2(k) shall comply
with applicable requirements in paragraphs (h) to (j) of this section
and S4.4, except that the retraction force shall be not less than 50
percent of its original retraction force.
S4.4 Requirements for assembly performance.
(a) Type 1 seat belt assembly. Except as provided in S4.5, the
complete seat belt assembly including webbing, straps, buckles,
adjustment and attachment hardware, and retractors shall comply with the
following requirements when tested by the procedures specified in
S5.3(a):
(1) The assembly loop shall withstand a force of not less than 5,000
pounds or 2,270 kilograms; that is, each structural component of the
assembly shall withstand a force of not less than 2,500 pounds or 1,130
kilograms.
(2) The assembly loop shall extend not more than 7 inches or 18
centimeters when subjected to a force of 5,000 pounds or 2,270
kilograms; that is, the length of the assembly between anchorages shall
not increase more than 14 inches or 36 centimeters.
(3) Any webbing cut by the hardware during test shall have a breaking
strength at the cut of not less than 4,200 pounds or 1,910 kilograms.
(4) Complete fracture through any solid section of metal attachment
hardware shall not occur during test.
(b) Type 2 seat belt assembly. Except as provided in S4.5, the
components of a Type 2 seat belt assembly including webbing, straps,
buckles, adjustment and attachment hardware, and retractors shall comply
with the following requirements when tested by the procedure specified
in S5.3(b):
(1) The structural components in the pelvic restraint shall withstand
a force of not less than 2,500 pounds or 1,139 kilograms.
(2) The structural components in the upper torso restraint shall
withstand a force of not less than 1,500 pounds or 680 kilograms.
(3) The structural components in the assembly that are common to
pelvic and upper torso restraints shall withstand a force of not less
than 3,000 pounds or 1,360 kilograms.
(4) The length of the pelvic restraint between anchorages shall not
increase more than 20 inches or 50 centimeters when subjected to a force
of 2,500 pounds or 1,130 kilograms.
(5) The length of the upper torso restraint between anchorages shall
not increase more than 20 inches or 50 centimeters when subjected to a
force of 1,500 pounds or 680 kilograms.
(6) Any webbing cut by the hardware during test shall have a breaking
strength of not less than 3,500 pounds or 1,590 kilograms at a cut in
webbing of the pelvic restraint, or not less than 2,800 pounds or 1,270
kilograms at a cut in webbing of the upper torso restraint.
(7) Complete fracture through any solid section of metal attachment
hardware shall not occur during test.
S4.5 Load-limiter. (a) A Type 1 or Type 2 seat belt assembly that
includes a load-limiter is not required to comply with the elongation
requirements of S4.2(c), S4.4(a)(2), S4.4(b)(4) or S4.4(b)(5).
(b) A seat belt assembly that includes a load limiter and that does
not comply with the elongation requirements of this standard may be
installed in motor vehicles at any designated seating position that is
subject to the requirements of S5.1 of Standard No. 208 ( 571.208).
(c) A seat belt assembly that includes a load limiter and that does
not comply with the elongation requirements of this standard shall be
permanently and legibly marked or labeled with the following statement:
This seat belt assembly is for use only in (insert specific seating
position(s), e.g., ''front right'') in (insert specific vehicles make(s)
and model(s)).
This seat belt assembly may only be installed in vehicles in
combination with an automatic restraint system such as an air cushion or
an automatic belt.
S4.6 Manual belts subject to crash protection requirements of
Standard No. 208.
(a)(1) A manual seat belt assembly, which is subject to the
requirements of S5.1 of Standard No. 208 (49 CFR 571.208) by virtue of
any provision of Standard No. 208 other than S4.1.2.1(c)(2) of that
standard, does not have to meet the requirements of S4.2(a)-(f) and S4.4
of this standard.
(2) A manual seat belt assembly subject to the requirements of S5.1
of Standard No. 208 (49 CFR 571.208) by virtue of S4.1.2.1(c)(2) of
Standard No. 208 does not have to meet the elongation requirements of
S4.2(c), S4.4(a)(2), S4.4(b)(4), and S4.4(b)(5) of this standard.
(b) A seat belt assembly that meets the requirements of S4.6 of
Standard No. 208 (49 CFR 571.208) shall be permanently and legibly
marked or labeled with the following statement:
This dynamically-tested seat belt assembly is for use only in (insert
specific seating position(s), e.g., ''front right'') in (insert specific
vehicle make(s) and model(s)).
S5. Demonstration procedures.
S5.1 Webbing -- (a) Width. The width of webbing from three seat belt
assemblies shall be measured after conditioning for at least 24 hours in
an atmosphere having relative humidity between 48 and 67 percent and a
temperature of 23 2 C. or 73.4 3.6 F. The tension during measurement
of width shall be not more than 5 pounds or 2 kilograms on webbing from
a Type 1 seat belt assembly, and 2,200 100 pounds or 1,000 50 kilograms
on webbing from a Type 2 seat belt assembly. The width of webbing from
a Type 2 seat belt assembly may be measured during the breaking strength
test described in paragraph (b) of this section.
(b) Breaking strength. Webbing from three seat belt assemblies shall
be conditioned in accordance with paragraph (a) of this section and
tested for breaking strength in a testing machine of capacity verified
to have an error of not more than one percent in the range of the
breaking strength of the webbing in accordance with American Society for
Testing and Materials E4-79, ''Standard Methods of Load Verification of
Testing Machines.''
The machine shall be equipped with split drum grips illustrated in
Figure 1, having a diameter between 2 and 4 inches or 5 and 10
centimeters. The rate of grip separation shall be between 2 and 4
inches per minute or 5 and 10 centimeters per minute. The distance
between the centers of the grips at the start of the test shall be
between 4 and 10 inches or 10 and 25 centimeters. After placing the
specimen in the grips, the webbing shall be stretched continuously at a
uniform rate to failure. Each value shall be not less than the
applicable breaking strength requirement in S4.2(b), but the median
value shall be used for determining the retention of breaking strength
in paragraphs (d), (e), and (f) of this section.
(c) Elongation. Elongation shall be measured during the breaking
strength test described in paragraph (b) of this section by the
following procedure: A preload between 44 and 55 pounds or 20 and 25
kilograms shall be placed on the webbing mounted in the grips of the
testing machine and the needle points of an extensometer, in which the
points remain parallel during test, are inserted in the center of the
specimen. Initially the points shall be set at a known distance apart
between 4 and 8 inches or 10 and 20 centimeters. When the force on the
webbing reaches the value specified in S4.2(c), the increase in
separation of the points of the extensometer shall be measured and the
percent elongation shall be calculated to the nearest 0.5 percent. Each
value shall be not more than the appropriate elongation requirement in
S4.2(c).
(d) Resistance to abrasion. The webbing from three seat belt
assemblies shall be tested for resistance to abrasion by rubbing over
the hexagon bar prescribed in Figure 2 in the following manner: The
webbing shall be mounted in the apparatus shown schematically in Figure
2. One end of the webbing (A) shall be attached to a weight (B) which
has a mass of 5.2 0.1 pounds or 2.35 0.05 kilograms, except that a mass
of 3.3 .1 pounds (1.5 .05 kg) shall be used for webbing in pelvic and
upper torso restraints of a belt assembly used in a child restraint
system. The webbing shall be passed over the two new abrading edges of
the hexagon bar (C) and the other end attached to an oscillating drum
(D) which has a stroke of 13 inches or 33 centimeters. Suitable guides
shall be used to prevent movement of the webbing along the axis of
hexagonal bar C. Drum D shall be oscillated for 5,000 strokes or 2,500
cycles at a rate of 60 2 strokes per minute or 30 1 cycles per minute.
The abraded webbing shall be conditioned as prescribed in paragraph (a)
of this section and tested for breaking strength by the procedure
described in paragraph (b) of this section. The median values for the
breaking strengths determined on abraded and unabraded specimens shall
be used to calculate the percentage of breaking strength retained.
(e) Resistance to light. Webbing at least 20 inches or 50
centimeters in length from three seat belt assemblies shall be suspended
vertically on the inside of the specimen rack in a Type E carbon-arc
light-exposure apparatus described in Standard Practice for Operating
Light-Exposure Apparatus (Carbon-Arc Type) With and Without Water for
Exposure of Nonmetallic Materials, ASTM Designation: G23-81, published
by the American Society for Testing and Materials, except that the
filter used for 100 percent polyester yarns shall be chemically
strengthened soda-lime glass with a transmittance of less than 5 percent
for wave lengths equal to or less than 305 nanometers and 90 percent or
greater transmittance for wave lengths of 375 to 800 nanometers. The
apparatus shall be operated without water spray at an air temperature of
60 2 degrees Celsius or 140 3.6 degrees Fahrenheit measured at a point
1.0 0.2 inch or 25 5 millimeters outside the specimen rack and midway
in height. The temperature sensing element shall be shielded from
radiation. The specimens shall be exposed to light from the carbon-arc
for 100 hours and then conditioned as prescribed in paragraph (a) of
this section. The colorfastness of the exposed and conditioned
specimens shall be determined on the Geometric Gray Scale issued by the
American Association of Textile Chemists and Colorists. The breaking
strength of the specimens shall be determined by the procedure
prescribed in paragraph (b) of this section. The median values for the
breaking strengths determined on exposed and unexposed specimens shall
be used to calculate the percentage of breaking strength retained.
(f) Resistance to microorganisms. Webbing at least 20 inches or 50
centimeters in length from three seat belt assemblies shall first be
preconditioned in accordance with Appendix A (1) and (2) of American
Association of Textile Chemists and Colorists Test Method 30-81,
''Fungicides Evaluation on Textiles; Mildew and Rot Resistance of
Textiles,'' and then subjected to Test I, ''Soil Burial Test'' of that
test method. After soil-burial for a period of 2 weeks, the specimen
shall be washed in water, dried and conditioned as prescribed in
paragraph (a) of this section. The breaking strengths of the specimens
shall be determined by the procedure prescribed in paragraph (b) of this
section. The median values for the breaking strengths determined on
exposed and unexposed specimens shall be used to calculate the
percentage of breaking strength retained.
Note: This test shall not be required on webbing made from material
which is inherently resistant to micro-organisms.
(g) Colorfastness to crocking. Webbing from three seat belt
assemblies shall be tested by the procedure specified in American
Association of Textile Chemists and Colorists Standard Test Method
8-181, ''Colorfastness to Crocking: AATCC Crockmeter Method.''
(h) Colorfastness to staining. Webbing from three seat belt
assemblies shall be tested by the procedure specified in American
Association of Textile Chemists and Colorists (AATCC) Standard Test
Method 107-1981, ''Colorfastness to Water,'' except that the testing
shall use (1) distilled water, (2) the AATCC perspiration tester, (3) a
drying time of four hours, specified in section 7.4 of the AATCC
procedure, and (4) section 9 of the AATCC test procedures to determine
the colorfastness to staining on the AATCC Chromatic Transference Scale.
S5.2 Hardware. (a) Corrosion resistance. Three seat belt assemblies
shall be tested in accordance with American Society for Testing and
Materials B117-73, ''Standard Method of Salt Spray (Fog) Testing.'' Any
surface coating or material not intended for permanent retention on the
metal parts during service life shall be removed prior to preparation of
the test specimens for testing. The period of test shall be 50 hours
for all attachment hardware at or near the floor, consisting of two
periods of 24 hours exposure to salt spray followed by 1 hour drying and
25 hours for all other hardware, consisting of one period of 24 hours
exposure to salt spray followed by 1 hour drying. In the salt spray
test chamber, the parts from the three assemblies shall be oriented
differently, selecting those orientations most likely to develop
corrosion on the larger areas. At the end of test, the seat belt
assembly shall be washed thoroughly with water to remove the salt.
After drying for at least 24 hours under standard laboratory conditions
specified in S5.1(a) attachment hardware shall be examined for ferrous
corrosion on significant surfaces, that is, all surfaces that can be
contacted by a sphere 0.75 inch or 2 centimeters in diameter, and other
hardware shall be examined for ferrous and nonferrous corrosion which
may be transferred, either directly or by means of the webbing, to a
person or his clothing during use of a seat belt assembly incorporating
the hardware.
Note: When attachment and other hardware are permanently fastened,
by sewing or other means, to the same piece of webbing, separate
assemblies shall be used to test the two types of hardware. The test
for corrosion resistance shall not be required for attachment hardware
made from corrosion-resistant steel containing at least 11.5 percent
chromium or for attachment hardware protected with an electrodeposited
coating of nickel, or copper and nickel, as prescribed in S4.3(a). The
assembly that has been used to test the corrosion resistance of the
buckle shall be used to measure adjustment force, tilt-lock adjustment,
and buckle latch in paragraphs (e), (f), and (g), respectively, of this
section, assembly performance in S5.3 and buckle release force in
paragraph (d) of this section.
(b) Temperature resistance. Three seat belt assemblies having
plastic or nonmetallic hardware or having retractors shall be subjected
to the conditions prescribed in Procedure D of American Society for
Testing and Materials D756-78, ''Standard Practice for Determination of
Weight and Shape Changes of Plastics under Accelerated Service
Conditions.'' The dimension and weight measurement shall be omitted.
Buckles shall be unlatched and retractors shall be fully retracted
during conditioning. The hardware parts after conditioning shall be
used for all applicable tests in S4.3 and S4.4.
(c) Attachment hardware. (1) Attachment bolts used to secure the
pelvic restraint of a seat belt assembly to a motor vehicle shall be
tested in a manner similar to that shown in Figure 3. The load shall be
applied at an angle of 45 to the axis of the bolt through attachment
hardware from the seat belt assembly, or through a special fixture which
simulates the loading applied by the attachment hardware. The
attachment hardware or simulated fixture shall be fastened by the bolt
to the anchorage shown in Figure 3, which has a standard 7/16-20 UNF-2B
or 1/2-13 UNC-2B threaded hole in a hardened steel plate at least 0.4
inch or 1 centimeter in thickness. The bolt shall be installed with two
full threads exposed from the fully seated position. The appropriate
force required by S4.3(c) shall be applied. A bolt from each of three
seat belt assemblies shall be tested.
(2) Attachment hardware, other than bolts, designed to receive the
ends of two seat belt assemblies shall be subjected to a tensile force
of 6,000 pounds or 2,720 kilograms in a manner simulating use. The
hardware shall be examined for fracture after the force is released.
Attachment hardware from three seat belt assemblies shall be tested.
(3) Single attachment hook for connecting webbing to any eye bolt
shall be tested in the following manner: The hook shall be held rigidly
so that the retainer latch or keeper, with cotter pin or other locking
device in place, is in a horizontal position as shown in Figure 4. A
force of 150 2 pounds or 68 1 kilograms shall be applied vertically as
near as possible to the free end of the retainer latch, and the movement
of the latch by this force at the point of application shall be
measured. The vertical force shall be released, and a force of 150 2
pounds or 68 1 kilograms shall be applied horizontally as near as
possible to the free end of the retainer latch. The movement of the
latch by this force at the point of load application shall be measured.
Alternatively, the hook may be held in other positions, provided the
forces are applied and the movements of the latch are measured at the
points indicated in Figure 4. A single attachment hook from each of
three seat belt assemblies shall be tested.
(d) Buckle release. (1) Three seatbelt assemblies shall be tested to
determine compliance with the maximum buckle release force requirements,
following the assembly test in S5.3. After subjection to the force
applicable for the assembly being tested, the force shall be reduced and
maintained at 150 pounds on the assembly loop of a Type 1 seatbelt
assembly, 75 pounds on the components of a Type 2 seatbelt assembly.
The buckle release force shall be measured by applying a force on the
buckle in a manner and direction typical of those which would be
employed by a seatbelt occupant. For pushbutton-release buckles, the
force shall be applied at least 0.125 inch from the edge of the
pushbutton access opening of the buckle in a direction that produces
maximum releasing effect. For lever-release buckles, the force shall be
applied on the centerline of the buckle lever or finger tab in a
direction that produces maximum releasing effect.
(2) The area for application of release force on pushbutton actuated
buckle shall be measured to the nearest 0.05 square inch or 0.3 square
centimeter. The cylinder specified in S4.3(d) shall be inserted in the
actuation portion of a lever released buckle for determination of
compliance with the requirement. A buckle with other release actuation
shall be examined for access of release by fingers.
(3) The buckle of a Type 1 or Type 2 seatbelt assembly shall be
subjected to a compressive force of 400 pounds applied anywhere on a
test line that is coincident with the centerline of the belt extended
through the buckle or on any line that extends over the center of the
release mechanism and intersects the extended centerline of the belt at
an angle of 60 . The load shall be applied by using a curved
cylindrical bar having a cross section diameter of 0.75 inch and a
radius of curvature of 6 inches, placed with its longitudinal centerline
along the test line and its center directly above the point on the
buckle to which the load will be applied. The buckle shall be latched,
and a tensile force of 75 pounds shall be applied to the connected
webbing during the application of the compressive force. Buckles from
three seatbelt assemblies shall be tested to determine compliance with
paragraph S4.3(d)(3).
(e) Adjustment force. Three seat belt assemblies shall be tested for
adjustment force on the webbing at the buckle, or other manual adjusting
device normally used to adjust the size of the assembly. With no load
on the anchor end, the webbing shall be drawn through the adjusting
device at a rate of 20 2 inches per minute or 50 5 centimeters per
minute and the maximum force shall be measured to the nearest 0.25 pound
or 0.1 kilogram after the first 1 inch or 25 millimeters of webbing
movement. The webbing shall be precycled 10 times prior to measurement.
(f) Tilt-lock adjustment. This test shall be made on buckles or
other manual adjusting devices having tilt-lock adjustment normally used
to adjust the size of the assembly. Three buckles or devices shall be
tested. The base of the adjustment mechanism and the anchor end of the
webbing shall be oriented in planes normal to each other. The webbing
shall be drawn through the adjustment mechanism in a direction to
increase belt length at a rate of 20 2 inches per minute or 50 5
centimeters per minute while the plane of the base is slowly rotated in
a direction to lock the webbing. Rotation shall be stopped when the
webbing locks, but the pull on the webbing shall be continued until
there is a resistance of at least 20 pounds or 9 kilograms. The locking
angle between the anchor end of the webbing and the base of the
adjustment mechanism shall be measured to the nearest degree. The
webbing shall be precycled 10 times prior to measurement.
(g) Buckle latch. The buckles from three seat belt assemblies shall
be opened fully and closed at least 10 times. Then the buckles shall be
clamped or firmly held against a flat surface so as to permit normal
movement of buckle part, but with the metal mating plate (metal-to-metal
buckles) or of webbing end (metal-to-webbing buckles) withdrawn from the
buckle. The release mechanism shall be moved 200 times through the
maximum possible travel against its stop with a force of 30 3 pounds or
14 1 kilograms at a rate not to exceed 30 cycles per minute. The buckle
shall be examined to determine compliance with the performance
requirements of S4.3(g). A metal-to-metal buckle shall be examined to
determine whether partial engagement is possible by means of any
technique representative of actual use. If partial engagement is
possible, the maximum force of separation when in such partial
engagement shall be determined.
(h) Nonlocking retractor. After the retractor is cycled 10 times by
full extension and retraction of the webbing, the retractor and webbing
shall be suspended vertically and a force of 4 pounds or 1.8 kilograms
shall be applied to extend the webbing from the retractor. The force
shall be reduced to 3 pounds or 1.4 kilograms when attached to a pelvic
restraint, or to 1.1 pounds or 0.5 kilogram per strap or webbing that
contacts the shoulder of an occupant when retractor is attached to an
upper torso restraint. The residual extension of the webbing shall be
measured by manual rotation of the retractor drum or by disengaging the
retraction mechanism. Measurements shall be made on three retractors.
The location of the retractor attached to upper torso restraint shall be
examined for visibility of reel during use of seat belt assembly in a
vehicle.
Note: This test shall not be required on a nonlocking retractor
attached to the free-end of webbing which is not subjected to any
tension during restraint of an occupant by the assembly.
(i) Automatic-locking retractor. Three retractors shall be tested in
a manner to permit the retraction force to be determined exclusive of
the gravitational forces on hardware or webbing being retracted. The
webbing shall be fully extended from the retractor. While the webbing
is being retracted, the average force or retraction within plus or minus
2 inches or 5 centimeters of 75 percent extension (25 percent
retraction) shall be determined and the webbing movement between
adjacent locking segments shall be measured in the same region of
extension. A seat belt assembly with automatic locking retractor in
upper torso restraint shall be tested in a vehicle in a manner
prescribed by the installation and usage instructions. The retraction
force on the occupant of the seat belt assembly shall be determined
before and after traveling for 10 minutes at a speed of 15 miles per
hour or 24 kilometers per hour or more over a rough road (e.g., Belgian
block road) where the occupant is subjected to displacement with respect
to the vehicle in both horizontal and vertical directions. Measurements
shall be made with the vehicle stopped and the occupant in the normal
seated position.
(j) Emergency-locking retractor. A retractor shall be tested in a
manner that permits the retraction force to be determined exclusive of
the gravitational forces on hardware or webbing being retracted. The
webbing shall be fully extended from the retractor, passing over or
through any hardware or other material specified in the installation
instructions. While the webbing is being retracted, the lowest force of
retraction within plus or minus 2 inches of 75 percent extension shall
be determined. A retractor that is sensitive to webbing withdrawal
shall be subjected to an acceleration of 0.3g within a period of 50 ms.
while the webbing is at 75 percent extension, to determine compliance
with S4.3(j)(2). The retractor shall be subjected to an acceleration of
0.7g within a period of 50 milliseconds, while the webbing is at 75
percent extension, and the webbing movement before locking shall be
measured under the following conditions: For a retractor sensitive to
webbing withdrawal, the retractor shall be accelerated in the direction
of webbing retraction while the retractor drum's central axis is
oriented horizontally and at angles of 45 , 90 , 135 , and 180 to the
horizontal plane. For a retractor sensitive to vehicle acceleration,
the retractor shall be:
(1) Accelerated in the horizontal plane in two directions normal to
each other, while the retractor drum's central axis is oriented at the
angle at which it is installed in the vehicle; and,
(2) Accelerated in three directions normal to each other while the
retractor drum's central axis is oriented at angles of 45 , 90 , 135 ,
and 180 from the angle at which it is installed in the vehicle, unless
the retractor locks by gravitational force when tilted in any direction
to any angle greater than 45 from the angle at which it is installed in
the vehicle.
(k) Performance of retractor. After completion of the
corrosion-resistance test described in paragraph (a) of this section,
the webbing shall be fully extended and allowed to dry for at least 24
hours under standard laboratory conditions specified in S5.1(a). The
retractor shall be examined for ferrous and nonferrous corrosion which
may be transferred, either directly or by means of the webbing, to a
person or his clothing during use of a seat belt assembly incorporating
the retractor, and for ferrous corrosion on significant surfaces if the
retractor is part of the attachment hardware. The webbing shall be
withdrawn manually and allowed to retract for 25 cycles. The retractor
shall be mounted in an apparatus capable of extending the webbing fully,
applying a force of 20 pounds or 9 kilograms at full extension, and
allowing the webbing to retract freely and completely. The webbing
shall be withdrawn from the retractor and allowed to retract repeatedly
in this apparatus until 2,500 cycles are completed. The retractor and
webbing shall then be subjected to the temperature resistance test
prescribed in paragraph (b) of this section. The retractor shall be
subjected to 2,500 additional cycles of webbing withdrawal and
retraction. Then, the retractor and webbing shall be subjected to dust
in a chamber similar to one illustrated in Figure 8 containing about 2
pounds or 0.9 kilogram of coarse grade dust conforming to the
specification given in Society of Automotive Engineering Recommended
Practice J726, ''Air Cleaner Test Code'' Sept. 1979. The dust shall be
agitated every 20 minutes for 5 seconds by compressed air, free of oil
and moisture, at a gage pressure of 80 8 pounds per square inch or 5.6
0.6 kilograms per square centimeter entering through an orifice 0.060
0.004 inch or 1.5 0.1 millimeters in diameter. The webbing shall be
extended to the top of the chamber and kept extended at all times except
that the webbing shall be subjected to 10 cycles of complete retraction
and extension within 1 to 2 minutes after each agitation of the dust.
At the end of 5 hours, the assembly shall be removed from the chamber.
The webbing shall be fully withdrawn from the retractor manually and
allowed to retract completely for 25 cycles. An automatic-locking
retractor or a nonlocking retractor attached to pelvic restraint shall
be subjected to 5,000 additional cycles of webbing withdrawal and
retraction. An emergency-locking retractor or a nonlocking retractor
attached to upper torso restraint shall be subjected to 45,000
additional cycles of webbing withdrawal and retraction between 50 and
100 percent extension. The locking mechanism of an emergency locking
retractor shall be actuated at least 10,000 times within 50 to 100
percent extension of webbing during the 50,000 cycles. At the end of
test, compliance of the retractors with applicable requirements in S4.3
(h), (i), and (j) shall be determined. Three retractors shall be tested
for performance.
S5.3 Assembly performance -- (a) Type 1 seat belt assembly. Three
complete seat belt assemblies, including webbing, straps, buckles,
adjustment and attachment hardware, and retractors, arranged in the form
of a loop as shown in Figure 5, shall be tested in the following manner:
(1) The testing machine shall conform to the requirements specified
in S5.1(b) A double-roller block shall be attached to one head of the
testing machine. This block shall consist of two rollers 4 inches or 10
centimeters in diameter and sufficiently long so that no part of the
seat belt assembly touches parts of the block other than the rollers
during test. The rollers shall be mounted on antifriction bearings and
spaced 12 inches or 30 centimeters between centers, and shall have
sufficient capacity so that there is no brinelling, bending or other
distortion of parts which may affect the results. An anchorage bar
shall be fastened to the other head of the testing machine.
(2) The attachment hardware furnished with the seat belt assembly
shall be attached to the anchorage bar. The anchor points shall be
spaced so that the webbing is parallel in the two sides of the loop.
The attaching bolts shall be parallel to, or at an angle of 45 or 90
to the webbing, whichever results in an angle nearest to 90 between
webbing and attachment hardware except that eye bolts shall be vertical,
and attaching bolts or nonthreaded anchorages of a seat belt assembly
designed for use in specific models of motor vehicles shall be installed
to produce the maximum angle in use indicated by the installation
instructions, utilizing special fixtures if necessary to simulate
installation in the motor vehicle. Rigid adapters between anchorage bar
and attachment hardware shall be used if necessary to locate and orient
the adjustment hardware. The adapters shall have a flat support face
perpendicular to the threaded hole for the attaching bolt and adequate
in area to provide full support for the base of the attachment hardware
connected to the webbing. If necessary, a washer shall be used under a
swivel plate or other attachment hardware to prevent the webbing from
being damaged as the attaching bolt is tightened.
(3) The length of the assembly loop from attaching bolt to attaching
bolt shall be adjusted to about 51 inches or 130 centimeters, or as near
thereto as possible. A force of 55 pounds or 25 kilograms shall be
applied to the loop to remove any slack in webbing at hardware. The
force shall be removed and the heads of the testing machine shall be
adjusted for an assembly loop between 48 and 50 inches or 122 and 127
centimeters in length. The length of the assembly loop shall then be
adjusted by applying a force between 20 and 22 pounds or 9 and 10
kilograms to the free end of the webbing at the buckle, or by the
retraction force of an automatic-locking or emergency-locking retractor.
A seat belt assembly that cannot be adjusted to this length shall be
adjusted as closely as possible. An automatic-locking or
emergency-locking retractor when included in a seat belt assembly shall
be locked at the start of the test with a tension on the webbing
slightly in excess of the retractive force in order to keep the
retractor locked. The buckle shall be in a location so that it does not
touch the rollers during test, but to facilitate making the buckle
release test in S5.2(d) the buckle should be between the rollers or near
a roller in one leg.
(4) The heads of the testing machine shall be separated at a rate
between 2 and 4 inches per minute or 5 and 10 centimeters per minute
until a force of 5,000 50 pounds or 2,270 20 kilograms is applied to the
assembly loop. The extension of the loop shall be determined from
measurements of head separation before and after the force is applied.
The force shall be decreased to 150 10 pounds or 68 4 kilograms and the
buckle release force measured as prescribed in S5.2(d).
(5) After the buckle is released, the webbing shall be examined for
cutting by the hardware. If the yarns are partially or completely
severed in a line for a distance of 10 percent or more of the webbing
width, the cut webbing shall be tested for breaking strength as
specified in S5.1(b) locating the cut in the free length between grips.
If there is insufficient webbing on either side of the cut to make such
a test for breaking strength, another seat belt assembly shall be used
with the webbing repositioned in the hardware. A tensile force of 2,500
25 pounds or 1,135 10 kilograms shall be applied to the components or a
force of 5,000 50 pounds or 2,270 20 kilograms shall be applied to an
assembly loop. After the force is removed, the breaking strength of the
cut webbing shall be determined as prescribed above.
(6) If a Type 1 seat belt assembly includes an automatic-locking
retractor or an emergency-locking retractor, the webbing and retractor
shall be subjected to a tensile force of 2,500 25 pounds or 1,135 10
kilograms with the webbing fully extended from the retractor.
(7) If a seat belt assembly has a buckle in which the tongue is
capable of inverted insertion, one of the three assemblies shall be
tested with the tongue inverted.
(b) Type 2 seat belt assembly. Components of three seat belt
assemblies shall be tested in the following manner:
(1) The pelvic restraint between anchorages shall be adjusted to a
length between 48 and 50 inches or 122 and 127 centimeters, or as near
this length as possible if the design of the pelvic restraint does not
permit its adjustment to this length. An automatic-locking or
emergency-locking retractor when included in a seat belt assembly shall
be locked at the start of the test with a tension on the webbing
slightly in excess of the retractive force in order to keep the
retractor locked. The attachment hardware shall be oriented to the
webbing as specified in paragraph (a)(2) of this section and illustrated
in Figure 5. A tensile force of 2,500 25 pounds or 1,135 10 kilograms
shall be applied on the components in any convenient manner and the
extension between anchorages under this force shall be measured. The
force shall be reduced to 75 5 pounds or 34 2 kilograms and the buckle
release force measured as prescribed in S5.2(d).
(2) The components of the upper torso restraint shall be subjected to
a tensile force of 1,500 15 pounds or 680 5 kilograms following the
procedure prescribed above for testing pelvic restraint and the
extension between anchorages under this force shall be measured. If the
testing apparatus permits, the pelvic and upper torso restraints may be
tested simultaneously. The force shall be reduced to 75 5 pounds or 34
2 kilograms and the buckle release force measured as prescribed in
S5.2(d).
(3) Any component of the seat belt assembly common to both pelvic and
upper torso restraint shall be subjected to a tensile force of 3,000 30
pounds or 1,360 15 kilograms.
(4) After the buckle is released in tests of pelvic and upper torso
restraints, the webbing shall be examined for cutting by the hardware.
If the yarns are partially or completely severed in a line for a
distance of 10 percent or more of the webbing width the cut webbing
shall be tested for breaking strength as specified in S5.1(b) locating
the cut in the free length between grips. If there is insufficient
webbing on either side of the cut to make such a test for breaking
strength, another seat belt assembly shall be used with the webbing
repositioned in the hardware. The force applied shall be 2,500 25
pounds or 1,135 10 kilograms for components of pelvic restraint, and
1,500 15 pounds or 680 5 kilograms for components of upper torso
restraint. After the force is removed the breaking strength of the cut
webbing shall be determined as prescribed above.
(5) If a Type 2 seat belt assembly includes an automatic-locking
retractor or an emergency-locking retractor the webbing and retractor
shall be subjected to a tensile force of 2,500 25 pounds or 1,135 10
kilograms with the webbing fully extended from the retractor, or to a
tensile force of 1,500 15 pounds or 680 5 kilograms with the webbing
fully extended from the retractor if the design of the assembly permits
only upper torso restraint forces on the retractor.
(6) If a seat belt assembly has a buckle in which the tongue is
capable of inverted insertion, one of the three assemblies shall be
tested with the tongue inverted.
(c) Resistance to buckle abrasion. Seatbelt assemblies shall be
tested for resistance to abrasion by each buckle or manual adjusting
device normally used to adjust the size of the assembly. The webbing of
the assembly to be used in this test shall be exposed for 4 hours to an
atmosphere having relative humidity of 65 percent and temperature of 70
F. The webbing shall be pulled back and forth through the buckle or
manual adjusting device as shown schematically in Figure 7. The anchor
end of the webbing (A) shall be attached to a weight (B) of 3 pounds.
The webbing shall pass through the buckle (C), and the other end (D)
shall be attached to a reciprocating device so that the webbing forms an
angle of 8 with the hinge stop (E). The reciprocating device shall be
operated for 2,500 cycles at a rate of 18 cycles per minute with a
stroke length of 8 inches. The abraded webbing shall be tested for
breaking strength by the procedure described in paragraph S5.1(b).
49 CFR 571.209
(44 FR 72139, Dec. 13, 1979, as amended at 45 FR 29048, May 1, 1980;
46 FR 2620, Jan. 12, 1981; 48 FR 30140, June 30, 1983; 49 FR 36508,
Sept. 18, 1984; 51 FR 9813, Mar. 21, 1986; 51 FR 31774, Sept. 5,
1986; 52 FR 44912, Nov. 23, 1987)
49 CFR 571.210Standard No. 210; Seat belt assembly anchorages.
S1. Purpose and scope. This standard establishes requirements for
seat belt assembly anchorages to insure their proper location for
effective occupant restraint and to reduce the likelihood of their
failure.
S2. Application. This standard applies to passenger cars,
multipurpose passenger vehicles, trucks, and buses.
S3. Definition. Seat belt anchorage means the provision for
transferring seat belt assembly loads to the vehicle structure.
S4. Requirements.
S4.1 Type.
S4.1.1 Seat belt anchorages for a Type 2 seat belt assembly shall be
installed for each forward-facing outboard designated seating position
in passenger cars other than convertibles and for each designated
seating position for which a Type 2 seat belt assembly is required by
Standard No. 208 (49 CFR 571.208) in vehicles other than passenger
cars. Seat belt anchorages for a Type 2 seat belt assembly shall be
installed for each rear forward-facing outboard designated seating
position in convertible passenger cars manufactured on or after
September 1, 1991.
S4.1.2 Seat belt anchorages for a Type 1 or a Type 2 seat belt
assembly shall be installed for each designated seating position, except
a passenger seat in a bus or a designated seating position for which
seat belt anchorages for a Type 2 seat belt assembly are required by
S4.1.1.
S4.1.3 (a) Notwithstanding the requirement of S4.1.1, each vehicle
manufactured on or after September 1, 1987 that is equipped with an
automatic restraint at the front right outboard designated seating
position, which automatic restraint cannot be used for securing a child
restraint system or cannot be adjusted by the vehicle owner to secure a
child restraint system solely through the use of attachment hardware
installed as an item of original equipment by the vehicle manufacturer,
shall have, at the manufacturer's option, either anchorages for a Type 1
seat belt assembly installed at that position or a Type 1 or Type 2 seat
belt assembly installed at that position. If a manufacturer elects to
install anchorages for a Type 1 seat belt assembly to comply with this
requirement, those anchorages shall consist of, at a minimum, holes
threaded to accept bolts that comply with S4.1(f) of Standard No. 209
(49 CFR 571.209).
(b) The requirement in S4.1.1 of this standard that seat belt
anchorages for a Type 2 seat belt assembly shall be installed for each
forward-facing outboard designated seating position in passenger cars
does not apply to any such seating positions that are equipped with an
automatic or dynamically tested manual seat belt assembly that meets the
frontal crash protection requirements of S5.1 of Standard No. 208 (49
CFR 571.208).
S4.2 Strength.
S4.2.1 Except for side-facing seats, the anchorage for a Type 1 seat
belt assembly or the pelvic portion of a Type 2 seat belt assembly shall
withstand a 5,000-pound force when tested in accordance with S5.1.
S4.2.2 The anchorage for a Type 2 seat belt assembly shall withstand
3,000-pound forces when tested in accordance with S5.2.
S4.2.3 Permanent deformation or rupture of a seat belt anchorage or
its surrounding area is not considered to be a failure, if the required
force is sustained for the specified time.
S4.2.4 Except for common seat belt anchorages for forward-facing and
rearward-facing seats, floor-mounted seat belt anchorages for adjacent
designated seating positions shall be tested by simultaneously loading
the seat belt assemblies attached to those anchorages.
S4.3 Location. As used in this section, ''forward'' means the
direction in which the seat faces, and other directional references are
to be interpreted accordingly. Anchorages for automatic seat belt
assemblies and for dynamically tested seat belt assemblies that meet the
frontal crash protection requirements of S5.1 of Standard No. 208 (49
CFR 571.208) are exempt from the location requirements of this section.
Anchorages are exempt from the requirements of S4.3.2 of this standard,
if those anchorages are for the upper torso portion of a Type 2 seat
belt assembly installed at a forward facing rear outboard seating
position of a passenger car, other than a convertible, that is
manufactured on or after December 11, 1989 and before September 1, 1990.
S4.3.1 Seat belt anchorages for Type 1 seat belt assemblies and the
pelvic portion of Type 2 seat belt assemblies.
S4.3.1.1 In an installation in which the seat belt does not bear upon
the seat frame, a line from the seating reference point to the nearest
contact point of the belt with the hardware attaching it to the
anchorage for a nonadjustable seat, or from a point 2.50 inches forward
of and 0.375 inch above the seating reference point to the nearest
contact point of the belt with the hardware attaching it to the
anchorage for an adjustable seat in its rearmost position, shall extend
forward from the anchorage at an angle with the horizontal of not less
than 20 and not more than 75 .
S4.3.1.2 In an installation in which the belt bears upon the seat
frame, the seat belt anchorage, if not on the seat structure, shall be
aft of the rearmost belt contact point on the seat frame with the seat
in the rearmost position. The line from the seating reference point to
the nearest belt contact point on the seat frame shall extend forward
from that contact point at an angle with the horizontal of not less than
20 and not more than 75 .
S4.3.1.3 In an installation in which the seat belt anchorage is on
the seat structure, the line from the seating reference point to the
nearest contact point of the belt with the hardware attaching it to the
anchorage shall extend forward from that contact point at an angle with
the horizontal of not less than 20 and not more than 75 .
S4.3.1.4 Anchorages for an individual seat belt assembly shall be
located at least 6.50 inches apart laterally, measured between the
vertical centerlines of the bolt holes.
S4.3.2 Seat belt anchorages for the upper torso portion of Type 2
seat belt assemblies. With the seat in its full rearward and downward
position and the seat back in its most upright position, the seat belt
anchorage for the upper end of the upper torso restraint shall be
located within the acceptable range shown in Figure 1, with reference to
a two dimensional manikin described in SAE Standard J826 (November 1962)
whose ''H'' point is at the seating reference point and whose torso line
is at the same angle from the vertical as the seat back.
S5. Test procedures. Each vehicle shall meet the requirements of
S4.2 when tested according to the following procedures. Where a range
of values is specified, the vehicle shall be able to meet the
requirements at all points within the range.
S5.1 Seats with Type 1 or Type 2 seat belt anchorages. With the seat
in its rearmost position, apply a force of 5,000 pounds in the direction
in which the seat faces to a pelvic body block as described in Figure 2,
restrained by a Type 1 or the pelvic portion of a Type 2 seat belt
assembly, as applicable, in a plane parallel to the longitudinal
centerline of the vehicle, with an initial force application angle of
not less than 5 nor more than 15 above the horizontal. Apply the
force at the onset rate of not more than 50,000 pounds per second.
Attain the 5,000-pound force in not more than 30 seconds and maintain it
for 10 seconds.
S5.2 Seats with Type 2 seat belt anchorages. With the seat in its
rearmost position, apply forces of 3,000 pounds in the direction in
which the seat faces simultaneously to pelvic and upper torso body
blocks as described in Figures 2 and 3, restrained by a Type 2 seat belt
assembly, in a plane parallel to the longitudinal centerline of the
vehicle, with an initial force application angle of not less than 5 nor
more than 15 above the horizontal. Apply the forces at the onset rate
of not more than 30,000 pounds per second. Attain the 3,000-pound
forces in not more than 30 seconds and maintain them for 10 seconds.
49 CFR 571.210
S6. Owner's Manual Information. The owner's manual in each vehicle
with a GVWR of 10,000 pounds or less manufactured after September 1,
1987 shall include:
(a) A section explaining that all child restraint systems are
designed to be secured in vehicle seats by lap belts or the lap belt
portion of a lap-shoulder belt. The section shall also explain that
children could be endangered in a crash if their child restraints are
not properly secured in the vehicle.
(b) In a vehicle with rear designated seating positions, a statement
alerting vehicle owners that, according to accident statistics, children
are safer when properly restrained in the rear seating positions than in
the front seating positions.
(c) In each passenger car, a diagram or diagrams showing the location
of the shoulder belt anchorages required by this standard for the rear
outboard designated seating positions, if shoulder belts are not
installed as items of original equipment by the vehicle manufacturer at
those positions.
S7. Installation Instructions. The owner's manual in each vehicle
manufactured on or after September 1, 1987, with an automatic restraint
at the front right outboard designated seating position that cannot be
used to secure a child restraint system when the automatic restraint is
adjusted to meet the performance requirements of S5.1 of Standard No.
208 shall have:
(a) A statement that the automatic restraint at the front right
outboard designated seating position cannot be used to secure a child
restraint and, as appropriate, one of the following three statements:
(1) A statement that the automatic restraint at the front right
outboard designated seating position can be adjusted to secure a child
restraint system using attachment hardware installed as original
equipment by the vehicle manufacturer;
(2) A statement that anchorages for installation of a lap belt to
secure a child restraint system have been provided at the front right
outboard designated seating position; or
(3) A statement that a lap or manual lap or lap/shoulder belt has
been installed by the vehicle manufacturer at the front right outboard
designated seating position to secure a child restraint.
(b) In each vehicle in which a lap or lap/shoulder belt is not
installed at the front right outboard designated seating position as an
item of original equipment, but the automatic restraint at that position
can be adjusted by the vehicle owner to secure a child restraint system
using an item or items of original equipment installed in the vehicle by
the vehicle manufacturer, the owner's manual shall also have:
(1) A diagram or diagrams showing the location of the attachment
hardware provided by the vehicle manufacturer.
(2) A step-by-step procedure with a diagram or diagrams showing how
to modify the automatic restraint system to secure a child restraint
system. The instructions shall explain the proper routing of the
attachment hardware.
(c) In each vehicle in which the automatic restraint at the front
right outboard designated seating position cannot be modified to secure
a child restraint system using attachment hardware installed as an
original equipment by the vehicle manufacturer and a manual lap or
lap/shoulder belt is not installed as an item of original equipment by
the vehicle manufacturer, the owner's manual shall also have:
(1) A diagram or diagrams showing the locations of the lap belt
anchorages for the front right outboard designated seating position.
(2) A step-by-step procedure and a diagram or diagrams for installing
the proper lap belt anchorage hardware and a Type 1 lap belt at the
front right outboard designated seating position. The instructions
shall explain the proper routing of the seat belt assembly and the
attachment of the seat belt assembly to the lap belt anchorages.
(36 FR 22902, Dec. 2, 1971, as amended at 37 FR 9323, May 9, 1972;
43 FR 21892, May 22, 1978; 43 FR 53442, Nov. 16, 1978; 50 FR 41359,
Oct. 10, 1985; 51 FR 9813, Mar. 21, 1986; 51 FR 29555, Aug. 19, 1986;
54 FR 25278, June 14, 1989; 54 FR 46268, Nov. 2, 1989; 55 FR 17983,
Apr. 30, 1990; 55 FR 24241, June 15, 1990)
Effective Date Note: At 55 FR 17983, Apr. 30, 1990, 571.210, was
amended by revising S4.2.1, S4.2.2, S4.2.4, S4.3.1.1, S4.3.1.2,
S4.3.1.3, S4.3.2, S5, and by revising Figure 1, redesignating Figure 2
as Figure 2A and adding a new Figure 2B, effective September 1, 1992.
At 55 FR 24241, June 15, 1990, 571.210, was further amended by revising
S5.2, effective September 1, 1992. For the convenience of the user, the
revised text follows.
571.210 Standard No. 210; Seat belt assembly anchorages.
S4.2 Strength.
S4.2.1 Except for side-facing seats, the anchorages, attachment
hardware, and attachment bolts for any of the following seat belt
assemblies shall withstand a 5,000-pound force when tested in accordance
with S5.1 of this standard:
(a) Type 1 seat belt assembly:
(b) Lap belt portion of either a Type 2 or automatic seat belt
assembly, if such seat belt assembly is voluntarily installed at a
seating position; and
(c) Lap belt portion of either a Type 2 or automatic seat belt
assembly, if such seat belt assembly is equipped with a detachable upper
torso belt.
S4.2.2 The anchorages, attachment hardware, and attachment bolts for
all Type 2 and automatic seat belt assemblies that are installed to
comply with Standard No. 208 (49 CFR 571.208) shall withstand
3,000-pound forces when tested in accordance with S5.2.
S4.2.4 The anchorages for all designated seating positions that face
in the same direction and are common to the same occupant seat shall be
tested by simultaneously loading those anchorages in accordance with the
applicable procedures set forth in S5 of this standard.
S4.3 Location. * * *
S4.3.1 Seat belt anchorages for Type 1 seat belt assemblies and the
pelvic portion of Type 2 seat belt assemblies.
S4.3.1.1 In an installation in which the seat belt does not bear upon
the seat frame:
(a) If the seat is a nonadjustable seat, then a line from the seating
reference point to the nearest contact point of the belt with the
hardware attaching it to the anchorage shall extend forward from the
anchorage at an angle with the horizontal of not less than 30 degrees
and not more than 75 degrees.
(b) If the seat is an adjustable seat, then a line from a point 2.50
inches forward of and 0.375 inches above the seating reference point to
the nearest contact point of the belt with the hardware attaching it to
the anchorage shall extend forward from the anchorage at an angle with
the horizontal of not less than 30 degrees and not more than 75 degrees.
S4.3.1.2 In an installation in which the belt bears upon the seat
frame, the seat belt anchorage, if not on the seat structure, shall be
aft of the rearmost belt contact point on the seat frame with the seat
in the rearmost position. The line from the seating reference point to
the nearest belt contact point on the seat frame, with the seat
positioned at the seating reference point, shall extend forward from
that contact point at an angle with the horizontal of not less than 30
degrees and not more than 75 degrees.
S4.3.1.3 In an installation in which the seat belt anchorage is on
the seat structure, the line from the seating reference point to the
nearest contact point of the belt with the hardware attaching it to the
anchorage shall extend forward from that contact point at an angle with
the horizontal of not less than 30 degrees and not more than 75 degrees.
S4.3.2 Seat belt anchorages for the upper torso portion of Type 2
seat belt assemblies. Adjust the seat to its full rearward and downward
position and adjust the seat back to its most upright position. With
the seat and seat back so positioned, the seat belt anchorage for the
upper end of the upper torso restraint shall be located within the
acceptable range shown in Figure 1, with reference to a two-dimensional
drafting template described in SAE Recommended Practice J826 (May 1987).
The template's ''H'' point shall be at the design ''H'' point of the
seat for its full rearward and full downward position, as defined in SAE
Recommended Practice J1100 (June 1984), and the template's torso line
shall be at the same angle from the vertical as the seat back.
S5 Test procedures. Each vehicle shall meet the requirements of S4.2
of this standard when tested according to the following procedures.
Where a range of values is specified, the vehicle shall be able to meet
the requirements at all points within the range. For the testing
specified in these procedures, the attachment hardware (including the
retractors and ''D'' rings) and the attachment bolts from the seat belt
assembly installed at a seating position shall be used to attach to the
anchorage being tested material whose breaking strength is equal to or
greater than the breaking strength of the webbing for the seat belt
assembly installed as original equipment at that seating position. The
geometry of the attachment shall duplicate the geometry of the
attachment of the originally installed seat belt assembly.
S5.1 Seats with Type 1 or Type 2 seat belt anchorages. With the seat
in its rearmost position, apply a force of 5,000 pounds in the direction
in which the seat faces to a pelvic body block as described in Figure
2A, restrained by a material whose breaking strength is equal to or
greater than the breaking strength of the webbing for the seat belt
assembly installed as original equipment at that seating position, which
material is installed so as to duplicate the geometry of any of the seat
belt assemblies identified in S4.2.1 of this standard that are installed
as original equipment at any designated seating positions on the seat,
in a plane parallel to the longitudinal centerline of the vehicle, with
an initial force application angle of not less than 5 degrees nor more
than 15 degrees above the horizontal. Apply the force at the onset rate
of not more than 50,000 pounds per second. Attain the 5,000 pound force
in not more than 30 seconds and maintain it for 10 seconds. At the
manufacturer's option, the pelvic body block described in Figure 2B may
be substituted for the pelvic body block described in Figure 2A to apply
the specified force to the center set(s) of anchorages for any group of
three or more sets of anchorages that are simultaneously loaded in
accordance with S4.2.4 of this standard.
S5.2 Seats with Type 2 or automatic seat belt anchorages. With the
seat in its rearmost position, apply forces of 3,000 pounds in the
direction in which the seat faces simultaneously to a pelvic body block,
as described in Figure 2A, and an upper torso body block, as described
in Figure 3, restrained by a material whose breaking strength is equal
to or greater than the breaking strength of the webbing for the seat
belt assembly installed as original equipment at that seating position,
which material is installed so as to duplicate the geometry of any of
the seat belt assemblies identified in S4.2.2 of this standard that are
installed as original equipment at any designated seating positions on
the seat, in a plane parallel to the longitudinal centerline of the
vehicle, with an initial force application angle of not less than 5
degrees more than 15 degrees above the horizontal. Apply the forces at
the onset rate of not more than 30,000 pounds per second. Attain the
3,000 pound forces in not more than 30 seconds and maintain it for 10
seconds. At the manufacturer's option, the pelvic body block described
in Figure 2B may be substituted for the pelvic body block described in
Figure 2A to apply the specified force to the center set(s) of
anchorages for any group of three or more sets of anchorages that are
simultaneously loaded in accordance with S4.2.4 of this standard.
Insert illustration 0 129
Insert illustration 0 130
49 CFR 571.211Standard No. 211; Wheel nuts, wheel discs, and hub
caps.
S1. Purpose and scope. This standard precludes the use of wheel
nuts, wheel discs, and hub caps that constitute a hazard to pedestrians
and cyclists.
S2. Application. This standard applies to passenger cars,
multipurpose passenger vehicles, and passenger car and multipurpose
passenger vehicle equipment.
S3. Requirements. Wheel nuts, hub caps, and wheel discs for use on
passenger cars and multipurpose passenger vehicles shall not incorporate
winged projections.
Note: A clarification of the term ''wheel nuts'' as used in the
requirements section S3. of 571.211 has been requested. This section
states that ''wheel nuts, hub caps, and wheel discs for use on passenger
cars and multipurpose passenger vehicles shall not incorporate winged
projections.'' A ''wheel nut'' is an exposed nut that is mounted at the
center or hub of a wheel, and not the ordinary small hexagonal nut, one
of several which secures a wheel to an axle, and which is normally
covered by a hub cap or wheel disc.
49 CFR 571.212Standard No. 212; Windshield mounting.
S1. Scope. This standard establishes windshield retention
requirements for motor vehicles during crashes.
S2. Purpose. The purpose of this standard is to reduce crash injuries
and fatalities by providing for retention of the vehicle windshield
during a crash, thereby utilizing fully the penetration-resistance and
injury-avoidance properties of the windshield glazing material and
preventing the ejection of occupants from the vehicle.
S3. Application. This standard applies to passenger cars, and to
multipurpose passenger vehicles, trucks, and buses having a gross
vehicle weight rating of 10,000 pounds or less. However, it does not
apply to forward control vehicles, walk-in van-type vehicles, or to
open-body type vehicles with fold-down or removable windshields.
S4. Definition. Passive restraint system means a system meeting the
occupant crash protection requirements of S5. of Standard No. 208 by
means that require no action by vehicle occupants.
S5. Requirements. When the vehicle traveling longitudinally forward
at any speed up to and including 30 mph impacts a fixed collision
barrier that is perpendicular to the line of travel of the vehicle,
under the conditions of S6, the windshield mounting of the vehicle shall
retain not less than the minimum portion of the windshield periphery
specified in S5.1 and S5.2.
S5.1 Vehicles equipped with passive restraints. Vehicles equipped
with passive restraint systems shall retain not less than 50 percent of
the portion of the windshield periphery on each side of the vehicle
longitudinal centerline.
S5.2 Vehicles not equipped with passive restraints. Vehicles not
equipped with passive restraint systems shall retain not less than 75
percent of the windshield periphery.
S6. Test conditions. The requirements of S5. shall be met under the
following conditions:
S6.1 The vehicle, including test devices and instrumentation, is
loaded as follows:
(a) Except as specified in S6.2, a passenger car is loaded to its
unloaded vehicle weight plus its cargo and luggage capacity weight,
secured in the luggage area, plus a 50th-percentile test dummy as
specified in Part 572 of this chapter at each front outboard designated
seating position and at any other position whose protection system is
required to be tested by a dummy under the provisions of Standard No.
208. Each dummy is restrained only by means that are installed for
protection at its seating position.
(b) Except as specified in S6.2, a multipurpose passenger vehicle,
truck, or bus is loaded to its unloaded vehicle weight, plus 300 pounds
or its rated cargo and luggage capacity, whichever is less, secured to
the vehicle, plus a 50th-percentile test dummy as specified in Part 572
of this chapter at each front outboard designated seating position and
at any other position whose protection system is required to be tested
by a dummy under the provisions of Standard No. 208. Each dummy is
restrained only by means that are installed for protection at its
seating position. The load is distributed so that the weight on each
axle as measured at the tire-ground interface is in proportion to its
GAWR. If the weight on any axle when the vehicle is loaded to its
unloaded vehicle weight plus dummy weight exceeds the axle's
proportional share of the test weight, the remaining weight is placed so
that the weight on that axle remains the same. For the purposes of this
section, unloaded vehicle weight does not include the weight of
work-performing accessories. Vehicles are tested to a maximum unloaded
vehicle weight of 5,500 pounds.
S6.2 The fuel tank is filled to any level from 90 to 95 percent of
capacity.
S6.3 The parking brake is disengaged and the transmission is in
neutral.
S6.4 Tires are inflated to the vehicle manufacturer's specifications.
S6.5 The windshield mounting material and all vehicle components in
direct contact with the mounting material are at any temperature between
15 F and 110 F.
(41 FR 36494, Aug. 30, 1976, as amended at 42 FR 34289, July 5, 1977;
45 FR 22046, Apr. 3, 1980)
49 CFR 571.213Standard No. 213; Child restraint systems.
S1. Scope. This standard specifies requirements for child restraint
systems used in motor vehicles and aircraft.
S2. Purpose. The purpose of this standard is to reduce the number of
children killed or injured in motor vehicle crashes and in aircraft.
S3. Application. This standard applies to child restraint systems for
use in motor vehicles and aircraft.
S4. Definitions.
Add-on child restraint system means any portable child restraint
system.
Booster seat means a child restraint which consists of only a seating
platform that does not extend up to provide a cushion for the child's
back or head.
Built-in child restraint system means any child restraint system
which is an integral part of a passenger car.
Car bed means a child restraint system designed to restrain or
position a child in the supine or prone position on a continuous flat
surface.
Child restraint system means any device except Type I or Type II seat
belts, designed for use in a motor vehicle or aircraft to restrain,
seat, or position children who weigh 50 pounds or less.
Contactable surface means any child restraint system surface (other
than that of a belt, belt buckle, or belt adjustment hardware) that may
contact any part of the head or torso of the appropriate test dummy,
specified in S7, when a child restraint system is tested in accordance
with S6.1.
Representative aircraft passenger seat means either a Federal
Aviation Administration approved production aircraft passenger seat or a
simulated aircraft passenger seat conforming to Figure 6.
Seat orientation reference line or SORL means the horizontal line
through Point Z as illustrated in Figure 1A.
Specific vehicle shell means the actual vehicle model part into which
the built-in child restraint sytem is fabricated, including the complete
surroundings of the built-in system. If the built-in child restraint
system is manufactured as part of the rear seat, these surroundings,
include the back of the front seat, the interior rear side door panels
and trim, the rear seat, the floor pan, the B and C pillars, and the
ceiling. If the built-in system is manufactured as part of the front
seat, these surroundings include the dashboard; the steering wheel,
column, and attached levers and knobs; the ''A'' pillars; any levers
and knobs installed in the floor or on a console; the interior front
side door panels and trim; the front seat; the floor pan; and the
ceiling.
Torso means the portion of the body of a seated anthropomorphic test
dummy, excluding the thighs, that lies between the top of the child
restraint system seating surface and the top of the shoulders of the
test dummy.
S5 Requirements for child restraint systems certified for use in
motor vehicles. Each child restraint system certified for use in motor
vehicles shall meet the requirements in this section when, as specified,
tested in accordance with S6.1.
S5.1 Dynamic performance.
S5.1.1 Child restraint system integrity. When tested in accordance
with S6.1, each child restraint system shall:
(a) Exhibit no complete separation of any load bearing structural
element and no partial separation exposing either surfaces with a radius
of less than 1/4 inch or surfaces with protrusions greater than 3/8 inch
above the immediate adjacent surrounding contactable surface of any
structural element of the system;
(b) If adjustable to different positions, remain in the same
adjustment position during the testing as it was immediately before the
testing; and
(c) If a front facing child restraint system, not allow the angle
between the system's back support surfaces for the child and the
system's seating surface to be less than 45 degrees at the completion of
the test.
S5.1.2 Injury criteria. When tested in accordance with S6.1, each
child restraint system that, in accordance with S5.5.2(f), is
recommended for use by children weighing more than 20 pounds, shall --
(a) Limit the resultant acceleration at the location of the
accelerometer mounted in the test dummy head as specified in Part 572
such that the expression:
shall not exceed 1,000, where a is the resultant acceleration
expressed as a multiple of g (the acceleration of gravity), and t1 and
t2 are any two moments during the impacts.
(b) Limit the resultant acceleration at the location of the
accelerometer mounted in the test dummy upper thorax as specified in
Part 572 to not more than 60 g's, except for intervals whose cumulative
duration is not more than 3 milliseconds.
S5.1.3 Occupant excursion. When tested in accordance with S6.1 and
adjusted in any position which the manufacturer has not, in accordance
with S5.5.2(i), specifically warned against using in motor vehicles,
each child restraint system shall meet the applicable excursion limit
requirements specified in S5.1.3.1-S5.1.3.3.
S5.1.3.1 Child restraint systems other than rear-facing ones and car
beds. Each child restraint system, other than a rear-facing child
restraint system or a car bed, shall retain the test dummy's torso
within the system.
(a) In the case of an add-on child restraint system, no portion of
the test dummy's head shall pass through a vertical transverse plane
that is 32 inches forward of point z on the standard seat assembly,
measure along the center SORL (as illustrated in figure 1B), and neither
knee pivot point shall pass through a vertical, transverse plan that is
36 inches forward of point z on the standard seat assembly, measured
along the center SORL.
(b) In the case of a built-in child restraint system, neither knee
pivot shall pass through a vertical, transverse plane that is 36 inches
forward of the hinge point of the specific passenger car seat into which
the system is built, measured along a horizontal line parallel to the
vehicle's longitudinal center line and the center line of the passenger
car seat.
S5.1.3.2 Rear-facing child restraint systems. In the case of each
rear-facing child restraint system, all portions of the test dummy's
torso shall be retained within the system and no portion of the target
point on either side of the dummy's head shall pass through the
transverse orthogonal planes whose intersection contains, the
forward-most and top-most points on the child restraint system surfaces
(illustrated in Figure 1C).
S5.1.3.3 Car beds. In the case of car beds, all portions of the test
dummy's head and torso shall be retained within the confines of the car
bed.
S5.1.4 Back support angle. When a rear-facing child restraint system
is tested in accordance with S6.1, the angle between the system's back
support surface for the child and the vertical shall not exceed 70
degrees.
S5.2 Force distribution.
S5.2.1 Minimum head support surface -- child restraints other than
car beds.
S5.2.1.1 Except as provided in S5.2.1.2, each child restraint system
other than a car bed shall provide restraint against rearward movement
of the head of the child (rearward in relation to the child) by means of
a continuous seat back which is an integral part of the system and which
--
(a) Has a height, measured along the system seat back surface for the
child in the vertical longitudinal plane passing through the
longitudinal centerline of the child restraint systems from the lowest
point on the system seating surface that is contacted by the buttocks of
the seated dummy, as follows:
(b) Has a width of not less than 8 inches, measured in the horizontal
plane at the height specified in paragraph (a) of this section. Except
that a child restraint system with side supports extending at least 4
inches forward from the padded surface of the portion of the restraint
system provided for support of the child's head may have a width of not
less than 6 inches, measured in the horizontal plane at the height
specified in paragraph (a) of this section.
(c) Limits the rearward rotation of the test dummy head so that the
angle between the head and torso of the dummy specified in S7. when
tested in accordance with S6.1 is not more than 45 degrees greater than
the angle between the head and torso after the dummy has been placed in
the system in accordance with S6.1.2.3 and before the system is tested
in accordance with S6.1.
S5.2.1.2 A front-facing child restraint system is not required to
comply with S5.2.1.1 if the target point on either side of the dummy's
head is below a horizontal plane tangent to the top of --
(a) The standard seat assembly, in the case of an add-on child
restraint system, when the dummy is positioned in the system and the
system is installed on the assembly in accordance with S6.1.2.
(b) the passenger car seat, in the case of a built-in child restraint
system, when the system is activiated and the dummy is positioned in the
system in accordance with S6.1.2.
S5.2.2 Torso impact protection. Each child restraint system other
than a car bed shall comply with the applicable requirements of S5.2.2.1
and S5.2.2.2.
S5.2.2.1(a) The system surface provided for the support of the
child's back shall be flat or concave and have a continuous surface area
of not less than 85 square inches.
(b) Each system surface provided for support of the side of the
child's torso shall be flat or concave and have a continuous surface of
not less than 24 square inches for systems recommended for children
weighing 20 pounds or more, or 48 square inches for systems recommended
for children weighing less than 20 pounds.
(c) Each horizontal cross section of each system surface designed to
restrain forward movement of the child's torso shall be flat or concave
and each vertical longitudinal cross section shall be flat or convex
with a radius of curvature of the underlying structure of not less than
2 inches.
S5.2.2.2 Each forward-facing child restraint system shall have no
fixed or movable surface --
(a) Directly forward of the dummy and intersected by a horizontal
line --
(1) Parallel to the SORL, in the case of the add-on child restraint
system, or
(2) Parallel to a vertical plane through the longitudinal center line
of the passenger car seat, in the case of the built-in child restraint
system, and
(b) Passing through any portion of the dummy, except for surfaces
which restrain the dummy when the system is tested in accordance with
S6.1.2.1.2, so that the child restraint system shall conform to the
requirements of S5.1.2 and S5.1.3.1.
S5.2.3 Head impact protection.
S5.2.3.1 Each child restraint system, other than a child harness,
which is recommended under S5.5.2(f) for children weighing less than 20
pounds shall comply with S5.2.3.2.
S5.2.3.2 Each system surface, except for protrusions that comply with
S5.2.4, which is contactable by the dummy head when the system is tested
in accordance with S6.1 shall be covered with slow recovery, energy
absorbing material with the following characteristics:
(a) A 25 percent compression-deflection resistance of not less than
0.5 and not more than 10 pounds per square inch when tested in
accordance with S6.3.
(b) A thickness of not less than 1/2 inch for materials having a 25
percent compression-deflection resistance of not less than 1.8 and not
more than 10 pounds per square inch when tested in accordance with S6.3.
Materials having a 25 percent compression-deflection resistance of less
than 1.8 pounds per square inch shall have a thickness of not less than
3/4 inch.
S5.2.4 Protrusion limitation. Any portion of a rigid structural
component within or underlying a contactable surface, or any portion of
a child restraint system surface that is subject to the requirements of
S5.2.3 shall, with any padding or other flexible overlay material
removed, have a height above any immediately adjacent restraint system
surface of not more than 3/8 inch and no exposed edge with a radius of
less than 1/4 inch.
S5.3 Installation.
S5.3.1 Each add-on child restraint system shall have no means
designed for attaching the system to a vehicle seat cushion and vehicle
seat back and no component (except belts) that is designed to be
inserted between the vehicle seat cushion and vehicle seat back.
S5.3.2 When installed on a vehicle seat, each add-on child restraint
system, other than child harnesses, shall be capable of being restrained
against forward movement solely by means of a Type I seat belt assembly
(defined in 571.209) that meets Standard No. 208 ( 571.208), or by
means of a Type I seat belt assembly plus one additional anchorage strap
that is supplied with the system and conforms to S5.4.
S5.3.3 Car beds. Each car bed shall be designed to be installed on a
vehicle seat so that the car bed's longitudinal axis is perpendicular to
a vertical longitudinal plane through the longitudinal axis of the
vehicle.
S5.4 Belts, belt buckles, and belt webbing.
S5.4.1 Performance requirements. The webbing of belts provided with
a child restrain system and used to attach the system to the vehicle or
to restrain the child within the system shall --
(a) After being subjected to abrasion as specified in S5.1(d) or
S5.3(c) of FMVSS 209 ( 571.209), have a breaking strength of not less
than 75 percent of the strength of the unabraded webbing when tested in
accordance with S5.1(b) of FMVSS 209.
(b) Meet the requirements of S4.2 (e) through (h) of FMVSS No. 209 (
571.209); and
(c) If contactable by the test dummy torso when the system is tested
in accordance with S6.1, have a width of not less than 1 1/2 inches when
measured in accordance with S5.4.1.1.
S5.4.1.1 Width test procedure. Condition the webbing for 24 hours in
an atmosphere of any relative humidity between 48 and 67 percent, and
any ambient temperature between 70 and 77 F. Measure belt webbing
width under a tension of 5 pounds applied lengthwise.
S5.4.2 Belt buckles and belt adjustment hardware. Each belt buckle
and item of belt adjustment hardware used in a child restraint system
shall conform to the requirements of S4.3(a) and S4.3(b) of FMVSS No.
209 ( 571.209).
S5.4.3 Belt Restraint.
S5.4.3.1 General. Each belt that is part of a child restraint system
and that is designed to restrain a child using the system shall be
adjustable to snugly fit any child whose height and weight are within
the ranges recommended in accordance with S5.5.2(f) and who is
positioned in the system in accordance with the instructions required by
S5.6.
S5.4.3.2 Direct restraint. Each belt that is part of a child
restraint system and that is designed to restrain a child using the
system and to attach the system to the vehicle shall, when tested in
accordance with S6.1, impose no loads on the child that result from the
mass of the system, or
(a) In the case of an add-on child restraint system, for the mass of
the seat back of the standard seat assembly specified in S7.3, or
(b) In the case of a built-in child restraint system, from the mass
of any part of the vehicle into which the child restraint system is
built.
S5.4.3.3 Seating systems. Except for child restraint systems subject
to S5.4.3.4, each child restraint system that is designed for use by a
child in a seated position and that has belts designed to restrain the
child, shall, with the test dummy specified in S7. positioned in the
system in accordance with S6.1.2.3 provide:
(a) Upper torso restraint in the form of:
(i) Belts passing over each shoulder of the child, or
(ii) A fixed or movable surface that complies with S5.2.2.1(c), and
(b) Lower torso restraint in the form of:
(i) A lap belt assembly making an angle between 45 and 90 with the
child restraint seating surface at the lap belt attachment points, or
(ii) A fixed or movable surface that complies with S5.2.2.1(c), and
(c) In the case of each seating system recommended for children over
20 pounds, crotch restraint in the form of:
(i) A crotch belt connectable to the lap belt or other device used to
restrain the lower torso, or
(ii) A fixed or movable surface that complies with S5.2.2.1(c).
S5.4.3.4 Harnesses. Each child harness shall:
(a) Provide upper torso restraint, including belts passing over each
shoulder of the child;
(b) Provide lower torso restraint by means of lap and crotch belt;
and
(c) Prevent a child of any height for which the restraint is
recommended for use pursuant to S5.5.2(f) from standing upright on the
vehicle seat when the child is placed in the device in accordance with
the instructions required by S5.6.
S5.4.3.5 Buckle Release. Any buckle in a child restraint system belt
assembly designed to restrain a child using the system shall:
(a) When tested in accordance with S6.2.1 prior to the dynamic test
of S6.1, not release when a force of less than 9 pounds is applied and
shall release when a force of not more than 14 pounds is applied;
(b) After the dynamic test of S6.1, when tested in accordance with
S6.2.3, release when a force of not more than 16 pounds is applied;
(c) Meet the requirements of S4.3(d)(2) of FMVSS No. 209 ( 571.209),
except that the minimum surface area for child restraint buckles
designed for push button application shall be 0.6 square inch;
(d) Meet the requirements of S4.3(g) of FMVSS No. 209 ( 571.209)
when tested in accordance with S5.2(g) of FMVSS No. 209; and
(e) Not release during the testing specified in S6.1.
S5.5 Labeling.
S5.5.1 Each add-on child restraint system shall be permanently
labeled with the information specified in S5.5.2 (a) through (l).
S5.5.2 The information specified in paragraphs (a) through (l) of
this section shall be stated in the English language and lettered in
letters and numbers that are not smaller than 10 point type and are on a
contrasting background.
(a) The model name or number of the system.
(b) The manufacturer's name. A distributor's name may be used
instead if the distributor assumes responsibility for all duties and
liabilities imposed on the manufacturer with respect to the system by
the National Traffic and Motor Vehicle Safety Act, as amended.
(c) The statement: ''Manufactured in ---- ,'' inserting the month
and year of manufacture.
(d) The place of manufacture (city and State, or foreign country).
However, if the manufacturer uses the name of the distributor, then it
shall state the location (city and State, or foreign country) of the
principal offices of the distributor.
(e) The statement: ''This child restraint system conforms to all
applicable Federal motor vehicle safety standards.''
(f) One of the following statements, inserting the manufacturer's
recommendations for the maximum weight and height of children who can
safely occupy the system:
(i) This infant restraint is designed for use by children who weigh
------ pounds or less and whose height is ------ inches or less; or
(ii) This child restraint is designed for use only by children who
weigh between ------ and ------ pounds and whose height is ------ inches
or less and who are capable of sitting upright alone; or
(iii) This child restraint is designed for use only by children who
weigh between ------ and ------ pounds and are between ------ and ------
inches in height.
(g) The following statement, inserting the location of the
manufacturer's installation instruction booklet or sheet on the
restraint:
WARNING! FAILURE TO FOLLOW EACH OF THE FOLLOWING INSTRUCTIONS CAN
RESULT IN YOUR CHILD STRIKING THE VEHICLE'S INTERIOR DURING A SUDDEN
STOP OR CRASH.
SECURE THIS CHILD RESTRAINT WITH A VEHICLE BELT AS SPECIFIED IN THE
MAUFACTURER'S INSTRUCTIONS LOCATED ---- .
(h) In the case of each child restraint system that has belts
designed to restrain children using them:
SNUGLY ADJUST THE BELTS PROVIDED WITH THIS CHILD RESTRAINT AROUND
YOUR CHILD.
(i) In the case of each child restraint system which is not intended
for use in motor vehicles at certain adjustment positions, the following
statement, inserting the manufacturer's adjustment restrictions.
DO NOT USE THE ---- ADJUSTMENT POSITION(S) OF THIS CHILD RESTRAINT IN
A MOTOR VEHICLE.
(j) In the case of each child restraint system equipped with an
anchorage strap, the statement:
SECURE THE TOP ANCHORAGE STRAP PROVIDED WITH THIS CHILD RESTRAINT AS
SPECIFIED IN THE MANUFACTURER'S INSTRUCTIONS.
(k) In the case of each child restraint system which can be used in a
rear-facing position, one of the following statements:
(i) PLACE THIS CHILD RESTRAINT IN REAR-FACING POSITION WHEN USING IT
WITH AN INFANT; or
(ii) PLACE THIS INFANT RESTRAINT IN A REAR-FACING POSITION WHEN USING
IT IN THE VEHICLE.
(l) An installation diagram showing the child restraint system
installed in the right front outboard seating position equipped with a
continuous-loop lap/shoulder belt and in the center rear seating
position as specified in the manufacturer's instructions.
(m) Child restraints that are certified as complying with the
provisions of section S8 shall be labeled with the statement ''THIS
RESTRAINT IS CERTIFIED FOR USE IN MOTOR VEHICLES AND AIRCRAFT''. This
statement shall be in red lettering, and shall be placed after the
certification statement required by paragraph (e) of this section.
S5.5.3 The information specified in S5.5.2 (g) through (k) shall be
located on the add-on child restraint system so that it is visible when
the system is installed as specified in S5.6.1.
S5.5.4 Each built-in child restraint system shall be permanently
labeled with the information specified in S5.5.5 (a) through (j), so
that it is visible when the system is activated for use as specified in
S5.6.2.
S5.5.5 The information specified in paragraphs (a) through (j) of
this section shall be stated in the English language and lettered in
letters and numbers which are not smaller than 10-point type and are on
a contrasting background. This information shall be printed in the
vehicle owner's manual.
(a) The model name or number of the system.
(b) The manufacturer's name. A distributor's or dealer's name may be
used instead if the distributor or dealer assumes responsibility for all
duties and liabilities imposed on the manufacturer with respect to the
system by the National Traffic and Motor Vehicle Safety Act, as amended.
(c) The statement: ''Manufactured in ------ ,'' inserting the month
and year of manufacture.
(d) The place of manufacture (city and State, or foreign country).
However, if the manufacturer uses the name of the distributor or dealer,
then it shall state the location (city and State, or foreign country) of
the principal offices of the distributor or dealer.
(e) The statement: ''This child restraint system conforms to all
applicable Federal motor vehicle safety standards.''
(f) One of the following statements, inserting the manufacturer's
recommendations for the maximum weight and height of children who can
safely occupy the system:
(i) This infant restraint is designed for use by children who weigh
---- pounds or less and whose height is ---- inches or less;
(ii) This child restraint is designed for use only by children who
weigh between ---- and ---- pounds and whose height is ---- inches or
less and who are capable of sitting upright alone; or
(iii) This child restraint is designed for use by children who weigh
between ---- and ---- pounds and are between ---- and ---- inches in
height.
(g) The following statement:
WARNING! FAILURE TO FOLLOW THE MANUFACTURER'S INSTRUCTIONS ON THE USE
OF THIS CHILD RESTRAINT SYSTEM CAN RESULT IN YOUR CHILD STRIKING THE
VEHICLE'S INTERIOR DURING A SUDDEN STOP OR CRASH.
(h) In the case of each built-in child restraint system that has
belts designed to restrain children using them:
SNUGLY ADJUST THE BELTS PROVIDED WITH THIS CHILD RESTRAINT AROUND
YOUR CHILD.
(i) In the case of each built-in child restraint which can be used in
a rear-facing position, the following statement:
PLACE AN INFANT IN A REAR-FACING POSITION IN THIS CHILD RESTRAINT.
(j) A diagram or diagrams showing the fully activated child restraint
system in infant and/or child configurations.
S5.6 Printed Instructions for Proper Use.
S5.6.1 Add-on child restraint systems. Each add-on child restraint
system shall be accompanied by printed installation instructions in the
English language that provide a step-by-step procedure, including
diagrams, for installing the system in motor vehicles, securing the
system in the vehicles, positioning a child in the system, and adjusting
the system to fit the child.
S5.6.1.1 In a vehicle with rear designated seating positions, the
instructions shall alert vehicle owners that, according to accident
statistics, children are safer when properly restrained in the rear
seating positions than in the front seating positions.
S5.6.1.2 The instructions shall specify in general terms the types of
vehicles, the types of seating positions, and the types of vehicle
safety belts with which the add-on child restraint system can or cannot
be used.
S5.6.1.3 The instructions shall explain the primary consequences of
not following the warnings required to be labeled on the child restraint
system in accordance with S5.5.2 (g) through (k).
S5.6.1.4 The instructions for each car bed shall explain that the car
bed should position in such a way that the child's head is near the
center of the vehicle.
S5.6.1.5 The instructions shall state that add-on child restraint
systems should be securely belted to the vehicle, even when they are not
occupied, since in a crash an unsecured child restraint system may
injure other occupants.
S5.6.1.6 Each add-on child restraint system shall have a location on
the restraint for storing the manufacturer's instructions.
S5.6.2 Built-in Child restraint systems. Each built-in child
restraint system shall be accompanied by printed instructions in the
English language that provide a step-by-step procedure, including
diagrams, for activating the built-in child restraint system,
positioning a child in the system, adjusting the restraint and, if
provided, the restraint harness to fit the child. This information and
the information specified in S5.5.5, shall be included in the vehicle
owner's manual.
S5.6.2.1 The instructions shall explain the primary consequences of
not following the manufacturer's warnings for proper use of the child
restraint system in accordance with S5.5.5(f) through (i).
S5.6.3 The instructions shall explain the primary consequences of
noting following the warnings required to be labeled on the child
restraint system in accordance with S5.5.2 (g) through (k).
S5.6.4 The instructions for each car bed shall explain that the car
bed should position in such a way that the child's head is near the
center of the vehicle.
S5.6.5 The instructions shall state that child restraint systems
should be securely belted to the vehicle, even when they are not
occupied, since in a crash an unsecured child restraint system may
injure other occupants.
S5.6.6 Each child restraint system shall have a location on the
restraint for storing the manufacturer's instructions.
S5.7 Flammability. Each material used in a child restraint system
shall conform to the requirements of S4 of FMVSS No. 302 (571.302). In
the case of a built-in child restraint system, the requirements of S4 of
FMVSS No. 302 shall be met in both the ''in-use'' and ''stowed''
positions.
S6 Test conditions and procedures.
S6.1 Dynamic systems test.
S6.1.1 Test conditions.
S6.1.1.1 (a) The test device for add-on child restraint systems is
the standard seat assembly specified in S7.3. The assembly is mounted on
a dynamic test platform so that the center SORL of the seat is parallel
to the direction of the test platform travel and so that movement
between the base of the assembly and the platform is prevented. The
test device for built-in child restraint systems is either the specific
vehicle shell or the specific vehicle. The specific vehicle shell, if
selected for testing, is mounted on a dynamic test platform so that the
longitudinal center line of the shell is parallel to the direction of
the test platform travel and so that movement between the base of the
shell and the platform is prevented.
(b) The platform is instrumented with an accelerometer and data
processing system having a frequency response of 60 Hz channel class as
specified in Society of Automotive Engineers Recommended Practice J211
JUN80 ''Instrumentation for Impact Tests.'' The accelerometer sensitive
axis is parallel to the direction of test platform travel.
(c) For built-in child restraint systems, an alternate test device is
the specific vehicle into which the built-in system is fabricated.
Activate the system in accordance with the manufacturer's instructions
provided in the vehicle owner's manual in accordance with S5.6.2. When
the complete vehicle traveling longitudinally forward at any speed up to
and including 30 mph, impacts a fixed collision barrier that is
perpendicular to the line of travel of the vehicle, the built-in child
restraint system shall meet the injury criteria of S5.1.2. The following
test conditions apply to this alternate test device.
(i) The vehicle is loaded to its unloaded vehicle weight plus its
rated cargo and luggage capacity weight, secured in the luggage area,
plus the appropriate child test dummy and, at the option of the
manufacturer, an anthropomorphic test dummy which conforms to the
requirements of Subpart B or Subpart E of Part 572 of this title for a
50th percentile adult male dummy placed in the front outboard seating
position. If the built-in child restraint system is installed at one of
the seating positions otherwise requiring the placement of a Part 572
test dummy, then in the frontal barrier crash specified in S6.1.1.2, the
appropriate child test dummy shall be substituted for the Part 572 test
dummy, but only at that seating position. The fuel tank is filled to
any level from 90 to 95 percent of capacity.
(ii) Adjustable seats are in the adjustment position midway between
the forward-most and rearmost positions, and if separately adjustable in
a vertical direction, are at the lowest position. If an adjustment
position does not exist midway between the forward-most and rearmost
positions, the closest adjustment position to the rear of the midpoint
is used.
(iii) Adjustable seat backs are in the manufacturer's nominal design
riding position. If a nominal position is not specified, the seat back
is positioned so that the longitudinal center line of the child test
dummy's neck is vertical, and if an anthropomorphic test dummy is used,
the accelerometer surfaces in the test dummy's head and thorax, as
positioned in the vehicle, are horizontal. If the vehicle is equipped
with adjustable head restraints, each is adjusted to its highest
adjustment position.
(iv) Movable vehicle windows and vents are, at the manufacturer's
option, placed in the fully closed position.
(v) Convertibles and open-body type vehicles have the top, if any, in
place in the closed passenger compartment configuration.
(vi) Doors are fully closed and latched but not locked.
(vii) All instrumentation and data reduction is in conformance with
SAE J211 JUN80.
S6.1.1.2 The tests are frontal barrier impact simulations of the test
platform or frontal barrier crashes of the specific vehicles as
specified in S5.1 ( 571.208) and for:
(a) Test Configuration I specified in S6.1.2.1.1, are at a velocity
change of 30 mph with the acceleration of the test platform entirely
within the curve shown in Figure 2, or for the specific vehicle test
with the deceleration produced in 30 mph frontal barrier crash.
(b) Test Configuration II specified in S6.1.2.1.2 are set at a
velocity change of 20 mph with the acceleration of the test platform
entirely within the curve shown in Figure 3, or for the specific vehicle
test with the deceleration produced in 20 mph frontal barrier crash.
S6.1.1.3 In the case of add-on child restraint systems, Type 1 seat
belt assemblies meeting the requirements of Standard No. 209 ( 571.209)
and having webbing with a width of not more than 2 inches are attached,
without the use of retractors or reels of any kind, to the seat belt
anchorage points (illustrated in Figure 1B) provided on the standard
seat assembly.
S6.1.1.4 Performance tests under S6.1 are conducted at any ambient
temperature from 66 to 78 F and at any relative humidity from 10
percent to 70 percent.
S6.1.2 Dynamic test procedure.
S6.1.2.1 Test configuration.
S6.1.2.1.1 Test configuration I. (a) In the case of each add-on
child restraint system other than a child harness, a booster seat with a
top anchorage strap, or a restraint designed for use by physically
handicapped children, install a new add-on child restraint system at the
center seating position of the standard seat assembly in accordance with
the manufacturer's instructions provided with the system pursuant to
S5.6.1, except that the add-on restraint shall be secured to the
standard vehicle seat using only the standard vehicle lap belt. A child
harness, a booster seat with a top anchorage strap, or a restraint
designed for use by physically handicapped children shall be installed
at the center seating position of the standard seat assembly in
accordance with the manufacturer's instructions provided with the system
pursuant to S5.6.1.
(b) In the case of each built-in child restraint system, activate the
restraint in the specific vehicle shell or the specific vehicle, in
accordance with the manufacturer's instructions provided in the vehicle
owner's manual in accordance with S5.6.2.
S6.1.2.1.2 Test configuration II. (a) In the case of each add-on
child restraint system which is equipped with a fixed or movable surface
described in S5.2.2.2, or a booster seat with a top anchorage strap,
install a new add-on child restraint system at the center seating
position of the standard seat assembly using only the standard seat lap
belt to secure the system to the standard seat.
(b) In the case of each built-in child restraint system which is
equipped with a fixed or movable surface described in S5.2.2.2, or a
built-in booster seat with a top anchorage strap, activate the system in
the specific vehicle shell or the specific vehicle in accordance with
the manufacturer's instructions provided in the vehicle owner's manual
in accordance with S5.6.2.
S6.1.2.2 Tighten all belts used to attach the add-on child restraint
system to the standard seat assembly to a tension of not less than 12
pounds and not more than 15 pounds, as measured by a load cell used on
the webbing portion of the belt. Tighten all manual vehicle belts used
to secure the built-in child restraint system or a child to the specific
vehicle shell or specific vehicle to one of the following tensions:
(a) For a seat equipped with a manual adjuster or automatic locking
retractor, not less than 12 pounds and not more than 15 pounds, as
measured by a load cell used on the webbing portion of the belt;
(b) For a seat equipped with an emergency locking retractor, as
specified in S4.3 of Standard 209.
S6.1.2.3 Place in the child restraint any dummy specified in S7. for
testing systems for use by children of the heights and weights for which
the system is recommended in accordance with S5.6.
S6.1.2.3.1 When placing the 3-year-old test dummy in add-on or
built-in child restraint systems other than car beds, position the test
dummy according to the instructions for child positioning provided by
the manufacturer with the system in accordance with S5.6.1 or S5.6.2
while conforming to the following:
(a) Holding the test dummy torso upright until it contacts the
system's design seating surface, place the test dummy in the seated
position within the system with the midsagittal plane of the test dummy
head --
(1) Coincident with the center SORL of the standard seating assembly,
in the case of the add-on child restraint system, or
(2) Vertical and parallel to the longitudinal center line of the
specific vehicle shell or the specific vehicle, in the case of a
built-in child restraint system.
(b) Extend the arms of the test dummy as far as possible in the
upward vertical direction. Extend the legs of the dummy as far as
possible in the forward horizontal direction, with the dummy feet
perpendicular to the centerline of the lower legs.
(c) Using a flat square surface with an area of 4 square inches,
apply a force of 40 pounds, perpendicular to:
(i) The plane of the back of the standard seat assembly in the case
of an add-on child restraint system, or
(ii) The back of the vehicle seat in the specific vehicle shell or
the specific vehicle in the case of a built-in child restraint system,
first against the dummy crotch and then at the dummy thorax in the
midsagittal plane of the dummy. For a child restraint system with a
fixed or movable surface described in S5.2.2.2, which is being tested
under the conditions of test configuration II, do not attach any of the
child restraint belts unless they are an integral part of the fixed or
movable surface. For all other child restraint systems and for a child
restraint system with a fixed or movable surface which is being tested
under the conditions of test configuration I, attach all appropriate
child restraint belts and tighten them as specified in S6.1.2.4. Attach
all appropriate vehicle belts and tighten them as specified in S6.1.2.2.
Position each movable surface in accordance with the manufacturer's
instructions provided in accordance with S5.6.1 or S5.6.2.
(d) After the steps specified in paragraph (c) of this standard,
rotate each dummy limb downwards in the plane parallel to the dummy's
midsagittal plane until the limb contacts a surface of the child
restraint system or the standard seat assembly in the case of an add-on
system, or the specific vehicle shell or specific vehicle in the case of
a built-in system, as appropriate. Position the limbs, if necessary, so
that limb placement does not inhibit torso or head movement in tests
conducted under S6.
S6.1.2.3.2 When placing the 6-month-old dummy in add-on or built-in
child restraint systems other than car beds, position the test dummy
according to the instructions for child positioning provided with the
system by the manufacturer in accordance with S5.6.1 or S5.6.2 while
conforming to the following:
(a) With the dummy in the supine position on a horizontal surface,
and while preventing movement of the dummy torso by placing a hand on
the center of the torso, rotate the dummy legs upward by lifting the
feet until the legs contact the upper torso and the feet touch the head,
and then slowly release the legs but do not return them to the flat
surface.
(b) Place the dummy in the child restraint system so that the back of
the dummy torso contacts the back support surface of the system. For a
child restraint system which is equipped with a fixed or movable surface
described in S5.2.2.2, which is being tested under the conditions of
test configuration II, do not attach any of the child restraint belts
unless they are an integral part of the fixed or movable surface. For
all other child restraint systems and for a child restraint system with
a fixed or movable surface which is being tested under the conditions of
test configuration I, attach all appropriate child restraint belts and
tighten them as specified in S6.1.2.4. Attach all appropriate vehicle
belts and tighten them as specified in S6.1.2.2. Position each movable
surface in accordance with the manufacturer's instructions provided in
accordance with S5.6.1 or S5.6.2. If the dummy's head does not remain in
the proper position, it shall be taped against the front of the seat
back surface of the system by means of a single thickness of
1/4-inch-wide paper masking tape placed across the center of the dummy's
face.
(c) Position the dummy arms vertically upwards and then rotate each
arm downward toward the dummy's lower body until the arm contacts a
surface of the child restraint system or the standard seat assembly in
the case of an add-on child restraint system, or the specific vehicle
shell or the specific vehicle in the case of a built-in child restraint
system, ensuring that no arm is restrained from movement in other than
the downward direction, by any part of the system or the belts used to
anchor the system to the standard seat assembly, the specific vehicle
shell, or the specific vehicle.
S6.1.2.3.3 When placing the 6-month-old dummy or 3-year-old dummy in
a car bed, place the dummy in the car bed in the supine position with
its midsagittal plane perpendicular to the center SORL of the standard
seat assembly and position the dummy within the car bed in accordance
with instructions for child positioning provided with the car bed by its
manufacturer in accordance with S5.6.
S6.1.2.4 If provided, shoulder and pelvic belts that directly
restrain the dummy shall be adjusted as follows:
Tighten the belts until a 2-pound force applied (as illustrated in
figure 5) to the webbing at the top of each dummy shoulder and to the
pelvic webbing two inches on either side of the torso midsagittal plane
pulls the webbing 1/4 inch from the dummy.
S6.1.2.5 Accelerate the test platform to simulate frontal impact in
accordance with S6.1.1.2(a) or S6.1.1.2(b), as appropriate.
S6.1.2.6 For add-on child restraint systems, measure dummy excursion
and determine conformance with the requirements specified in S5.1 as
appropriate. For built-in child restraint systems, measure dummy knee
excursion and determine conformance with the requirements specified in
S5.1 as appropriate.
S6.2 Buckle release test procedure. The belt assembly buckles used
in any child restraint system shall be tested in accordance with S6.2.1
through S6.2.4 inclusive.
S6.2.1 Before conducting the testing specified in S6.1, place the
loaded buckle on a hard, flat, horizontal surface. Each belt end of the
buckle shall be pre-loaded in the following manner. The anchor end of
the buckle shall be loaded with a two pound force in the direction away
from the buckle. In the case of buckles designed to secure a single
latch plate, the belt latch plate end of the buckle shall be pre-loaded
with a two pound force in the direction away from the buckle. In the
case of buckles designed to secure two or more latch plates, the belt
latch plate ends of the buckle shall be loaded equally so that the total
load is two pounds, in the direction away from the buckle. For
pushbutton-release buckles, the release force shall be applied by a
conical surface (cone angle not exceeding 90 degrees). For
pushbutton-release mechanisms with a fixed edge (referred to in Figure 7
as ''hinged button''), the release force shall be applied at the
centerline of the button, 0.125 inches away from the movable edge
directly opposite the fixed edge, and in the direction that produces
maximum releasing effect. For pushbutton-release mechanisms with no
fixed edge (referred to in Figure 7 as ''floating button''), the release
force shall be applied at the center of the release mechanism in the
direction that produces the maximum releasing effect. For all other
buckle release mechanisms, the force shall be applied on the centerline
of the buckle lever or finger tab in the direction that produces the
maximum releasing effect. Measure the force required to release the
buckle. Figure 7 illustrates the loading for the different buckles and
the point where the release force should be applied, and Figure 8
illustrates the conical surface used to apply the release force to
pushbutton-release buckles.
S6.2.2 After completion of the testing specified in S6.1, and before
the buckle is unlatched, tie a self-adjusting sling to each wrist and
ankle of the test dummy in the manner illustrated in Figure 4.
S6.2.3 Pull the sling horizontally in the manner illustrated in
Figure 4 and parallel to the center SORL of the standard seat assembly,
in the case of an add-on child restraint system, or parallel to the
longitudinal center line of either the specific vehicle shell or the
specific vehicle, in the case of a built-in child restraint system, and
apply a force of 20 pounds in the case of a system tested with a
6-month-old dummy and 45 pounds in the case of a system tested with a
3-year-old dummy.
S6.2.4 While applying the force specified in S6.2.3, and using the
device shown in Figure 8 for pushbutton-release buckles, apply the
release force in the manner and location specified in S6.2.1, for that
type of buckle. Measure the force required to release the buckle.
S6.3 Head impact protection -- energy absorbing material test
procedure.
S6.3.1 Prepare and test specimens of the energy absorbing material
used to comply with S5.2.3 in accordance with the applicable 25 percent
compression-deflection test described in the American Society for
Testing and Materials (ASTM) Standard D1056-73, ''Standard Specification
for Flexible Cellular Materials -- Sponge or Expanded Rubber,'' or
D1564-71 ''Standard Method of Testing Flexible Cellular Materials --
Slab Urethane Foam'' or D1565-76 ''Standard Specification for Flexible
Cellular Materials -- Vinyl Chloride Polymer and Copolymer open-cell
foams.''
S7 Test dummies.
S7.1 Six-month-old dummy. An unclothed ''Six-month-old Size
Manikin'' conforming to Subpart D of Part 572 of this chapter is used
for testing a child restraint system that is recommended by its
manufacturer in accordance with S5.6 for use by children in a weight
range that includes children weighing not more than 20 pounds.
S7.2 Three-year-old dummy. A three-year-old dummy conforming to
subpart C of part 572 of this chapter is used for testing a child
restraint that is recommended by its manufacturer in accordance with
S5.6 for use by children in a weight range that includes children
weighing more than 20 pounds.
(a) Built-in child restraints. When a three-year-old test dummy is
used for testing a built-in child restraint, the dummy shall be
assembled with the head assembly specified in 572.16(a)(1) of this
chapter.
(b) Add-on child restraints. (1) Until September 1, 1993, when a
three-year-old test dummy is used for testing an add-on child restraint,
the dummy shall be assembled using, at the manufacturer's option, either
head assembly specified in 572.16(a) of this chapter.
(2) Effective September 1, 1993, when a three-year-old dummy is used
for testing an add-on child restraint, the dummy shall be assembled with
the head assembly specified in 572.16(a)(1) of this chapter.
S7.2.1 Before being used in testing under this standard, the dummy is
conditioned at any ambient temperature from 66 F to 78 F and at any
relative humidity from 10 percent to 70 percent for at least 4 hours.
S7.2.2 When used in testing under this standard, the dummy is clothed
in thermal knit waffle-weave polyester and cotton underwear, a size 4
long-sleeved shirt weighing 0.2 pounds, a size 4 pair of long pants
weighing 0.2 pounds and cut off just far enough above the knee to allow
the knee target to be visible, and size 7M sneakers with rubber toe
caps, uppers of dacron and cotton or nylon and a total weight of 1
pound. Clothing other than the shoes is machine-washed in 160 F to 180
F water and machine-dried at 120 F to 140 F for 30 minutes.
S7.3 Standard test devices.
(a) The standard test devices used in testing add-on child restraint
systems under this standard are:
(1) For testing for motor vehicle use, a standard seat assembly
consisting of a simulated vehicle bench seat, with three seating
positions, which is described in Drawing Package SAS-100-1000
(consisting of drawings and a bill of materials); and
(2) For testing for aircraft use, a standard seat assembly consisting
of a representative aircraft passenger seat.
(b) The standard test devices used in testing built-in child
restraint systems under this standard are either a specific vehicle
shell or a specific vehicle.
S8 Requirements, test conditions, and procedures for child restraint
systems manufactured for use in aircraft.
Each child restraint system manufactured for use in both motor
vehicles and aircraft must comply with all of the applicable
requirements specified in Section S5 and with the additional
requirements specified in S8.1 and S8.2.
S8.1 Installation instructions. Each child restraint system
manufactured for use in aircraft shall be accompanied by printed
instructions in the English language that provide a step-by-step
procedure, including diagrams, for installing the system in aircraft
passenger seats, securing the system to the seat, positioning a child in
the system when it is installed in aircraft, and adjusting the system to
fit the child. In the case of each child restraint which is not
intended for use in aircraft at certain adjustment positions, the
following statement, with the manufacturer's restrictions inserted,
shall be included in the instructions.
DO NOT USE THE ---- ADJUSTMENT POSITION(S) OF THIS CHILD RESTRAINT IN
AIRCRAFT.
S8.2 Inversion test. When tested in accordance with S8.2.1 through
S8.2.5 and adjusted in any position which the manufacturer has not, in
accordance with S8.1, specifically warned against using in aircraft,
each child restraint system manufactured for use in aircraft shall meet
the requirements of S.8.2.1 through S8.2.6. The manufacturer may, at its
option, use any seat which is a representative aircraft passenger seat
within the meaning of S4.
S8.2.1 A representative aircraft passenger seat shall be positioned
and adjusted so that its horizontal and vertical orientation and its
seat back angle are the same as shown in Figure 6.
S8.2.2 The child restraint system shall be attached to the
representative aircraft passenger seat using, at the manufacturer's
option, any Federal Aviation Administration approved aircraft safety
belt, according to the restraint manufacturer's instructions for
attaching the restraint to an aircraft seat. No supplementary anchorage
belts or tether straps may be attached; however, Federal Aviation
Administration approved safety belt extensions may be used.
S8.2.3 In accordance with S6.1.2.3.1 through S6.1.2.3.3, place in the
child restraint any dummy specified in S7 for testing systems for use by
children of the heights and weights for which the system is recommended
in accordance with S5.5 and S8.1.
S8.2.4 If provided, shoulder and pelvic belts that directly restrain
the dummy shall be adjusted in accordance with S6.1.2.4.
S8.2.5 The combination of representative aircraft passenger seat,
child restraint, and test dummy shall be rotated forward around a
horizontal axis which is contained in the median transverse vertical
plane of the seating surface portion of the aircraft seat and is located
one inch below the bottom of the seat frame, at a speed of 35 to 45
degrees per second, to an angle of 180 degrees. The rotation shall be
stopped when it reaches that angle and the seat shall be held in this
position for three seconds. The child restraint shall not fall out of
the aircraft safety belt nor shall the test dummy fall out of the child
restraint at any time during the rotation or the three second period.
The specified rate of rotation shall be attained in not less than one
half second and not more than one second, and the rotating combination
shall be brought to a stop in not less than one half second and not more
than one second.
S8.2.6 Repeat the procedures set forth in S8.2.1 through S8. 2.4.
The combination of the representative aircraft passenger seat, child
restraint, and test dummy shall be rotated sideways around a horizontal
axis which is contained in the median longitudinal vertical plane of the
seating surface portion of the aircraft seat and is located one inch
below the bottom of the seat frame, at a speed of 35 to 45 degrees per
second, to an angle of 180 degrees. The rotation shall be stopped when
it reaches that angle and the seat shall be held in this position for
three seconds. The child restraint shall not fall out of the aircraft
safety belt, nor shall the test dummy fall out of the child restraint at
any time during the rotation or the three second period. The specified
rate of rotation shall be attained in not less than one half second and
not more than one second, and the rotating combination shall be brought
to a stop in not less than one half second and not more than one second.
Insert illustration 0236
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Insert illustration 926
Insert illustration 992
Insert illustration 993
(44 FR 72147, Dec. 13, 1979, as amended at 45 FR 29047, May 1, 1980;
45 FR 67096, Oct. 9, 1980; 45 FR 82265, Dec. 15, 1980; 47 FR 30077,
July 12, 1982; 49 FR 34362, Aug. 30, 1984; 50 FR 15156, Apr. 17,
1985; 50 FR 33726, Aug. 21, 1985; 50 FR 39114, Sept. 27, 1985; 51 FR
5339, Feb. 13, 1986; 53 FR 1784 Jan. 22, 1988; 55 FR 30467, July 26,
1990)
49 CFR 571.214Standard No. 214; Side door strength.
S1. Scope and purpose.
(a) Scope. This standard specifies performance requirements for
protection of occupants in side impact crashes.
(b) Purpose. The purpose of this standard is to reduce the risk of
serious and fatal injury to occupants of passenger cars in side impact
crashes by specifying vehicle crashworthiness requirements in terms of
accelerations measured on anthropomorphic dummies in test crashes, by
specifying strength requirements for side doors, and by other means.
S2. Application. This standard applies to passenger cars.
S3. Requirements.
(a) Each vehicle shall be able to meet the requirements of either, at
the manufacturer's option, S3. 1 or S3.2 when any of its side doors
that can be used for occupant egress are tested according to S4.
(b) When tested under the conditions of S6, each passenger-car
manufactured on or after September 1, 1996 shall meet the requirements
of S5.1, S5.2, and S5.3 in a 33.5 miles per hour impact in which the car
is struck on either side by a moving deformable barrier. Part 572,
subpart F test dummies are placed in the front and rear outboard seating
positions on the struck side of the car. However, the rear seat
requirements do not apply to passenger cars with a wheelbase greater
than 130 inches, or to passenger cars which have rear seating areas that
are so small that the part 572, subpart F dummies cannot be accommodated
according to the positioning procedure specified in S7.
(c) Except as provided in paragraph (d) of this section, from
September 1, 1993 to August 31, 1996, a specified percentage of each
manufacturer's yearly passenger car production, as set forth in S8,
shall, when tested under the conditions of S6, meet the requirements of
S5.1, S5.2, and S5.3 in a 33.5 miles per hour impact in which the car is
struck on either side by a moving deformable barrier. Part 572, subpart
F test dummies are placed in the front and rear outboard seating
positions on the struck side of the car. However, the rear seat
requirements do not apply to passenger cars with a wheelbase greater
than 130 inches, or to passenger cars which have rear seating areas that
are so small that the part 572, subpart F dummies cannot be accommodated
according to the positioning procedure specified in S7.
(d) A manufacturer may, at its option, comply with the requirements
of this paragraph instead of paragraph (c) of this section. When tested
under the conditions of S6, each passenger car manufactured from
September 1, 1994 to August 31, 1996 shall meet the requirements of S5.
1, S5.2, and S5.3 in a 33.5 miles per hour impact in which the car is
struck on either side by a moving deformable barrier. Part 572, subpart
F test dummies are placed in the front and rear outboard seating
positions on the struck side of the car. However, the rear seat
requirements do not apply to passenger cars with a wheelbase greater
than 130 inches, or to passenger cars which have rear seating areas that
are so small that the part 572, subpart F dummies cannot be accommodated
according to the positioning procedure specified in S7.
S3.1 With any seats that may affect load upon or deflection of the
side of the vehicle removed from the vehicle, each vehicle must be able
to meet the requirements of S3.1.1 through S3.1.3.
S3.1.1 Initial crush resistance. The initial crush resistance shall
not be less than 2,250 pounds.
S3.1.2 Intermediate crush resistance. The intermediate crush
resistance shall not be less than 3,500 pounds.
S3.1.3 Peak crush resistance. The peak crush resistance shall not be
less than two times the curb weight of the vehicle or 7,000 pounds,
whichever is less.
S3.2 With seats installed in the vehicle, and located in any
horizontal or vertical position to which they can be adjusted and at any
seat back angle to which they can be adjusted, each vehicle must be able
to meet the requirements of S3.2.1 through S3.2.2.
S3.2.1 Initial crush resistance. The initial crush resistance shall
not be less than 2,250 pounds.
S3.2.2 Intermediate crush resistance. The intermediate crush
resistance shall not be less than 4,375 pounds.
S3.2.3 Peak crush resistance. The peak crush resistance shall not be
less than three and one half times the curb weight of the vehicle or
12,000 pounds, whichever is less.
S4. Test procedures. The following procedures apply to determining
compliance with paragraph S3:
(a) Place side windows in their uppermost position and all doors in
locked position. Place the sill of the side of the vehicle opposite to
the side being tested against a rigid unyielding vertical surface. Fix
the vehicle rigidly in position by means of tiedown attachments located
at or forward of the front wheel centerline and at or rearward of the
rear wheel centerline.
(b) Prepare a loading device consisting of a rigid steel cylinder or
semicylinder 12 inches in diameter with an edge radius of one-half inch.
The length of the loading device shall be such that the top surface of
the loading device is at least one-half inch above the bottom edge of
the door window opening but not of a length that will cause contact with
any structure above the bottom edge of the door window opening during
the test.
(c) Locate the loading device as shown in Figure 1 (side view) of
this section so that:
(1) Its longitudinal axis is vertical;
(2) Its longitudinal axis is laterally opposite the midpoint of a
horizontal line drawn across the outer surface of the door 5 inches
above the lowest point of the door;
(3) Its bottom surface is in the same horizontal plane as the
horizontal line described in paragraph (c)(2) of this section; and
(4) The cylindrical face of the device is in contact with the outer
surface of the door.
(d) Using the loading device, apply a load to the outer surface of
the door in an inboard direction normal to a vertical plane along the
vehicle's longitudinal centerline. Apply the load continuously such
that the loading device travel rate does not exceed one-half inch per
second until the loading device travels 18 inches. Guide the loading
device to prevent it from being rotated or displaced from its direction
of travel. The test must be completed within 120 seconds.
(e) Record applied load versus displacement of the loading device,
either continuously or in increments of not more than 1 inch or 200
pounds for the entire crush distance of 18 inches.
(f) Determine the initial crush resistance, intermediate crush
resistance, and peak crush resistance as follows:
(1) From the results recorded in paragraph (e) of this section, plot
a curve of load versus displacement and obtain the integral of the
applied load with respect to the crush distances specified in paragraphs
(f) (2) and (3) of this section. These quantities, expressed in
inch-pounds and divided by the specified crush distances, represent the
average forces in pounds required to deflect the door those distances.
(2) The initial crush resistance is the average force required to
deform the door over the initial 6 inches of crush.
(3) The intermediate crush resistance is the average force required
to deform the door over the initial 12 inches of crush.
(4) The peak crush resistance is the largest force recorded over the
entire 18-inch crush distance.
49 CFR 571.214
S5. Dynamic performance requirements.
S5.1 Thorax. The Thoracic Trauma Index (TTI(d)) shall not exceed 85 g
for passenger cars with four side doors, and shall not exceed 90 g for
passenger cars with two side doors, when calculated in accordance with
the following formula:
TTI(d) = 1/2(GR + GLS)
The term ''GR'' is the greater of the peak accelerations of either
the upper or lower rib, expressed in g's and the term ''GLS'' is the
lower spine (T12) peak acceleration, expressed in g's. The peak
acceleration values are obtained in accordance with the procedure
specified in S6.13.5.
S5.2 Pelvis. The peak lateral acceleration of the pelvis, as measured
in accordance with S6.13.5, shall not exceed 130 g's.
S5.3 Door opening.
S5.3.1 Any side door, which is struck by the moving deformable
barrier, shall not separate totally from the car.
S5.3.2 Any door (including a rear hatchback or tailgate), which is
not struck by the moving deformable barrier, shall meet the following
requirements:
S5.3.2.1 The door shall not disengage from the latched position;
S5.3.2.2 The latch shall not separate from the striker, and the hinge
components shall not separate from each other or from their attachment
to the vehicle.
S5.3.2.3 Neither the latch nor the hinge systems of the door shall
pull out of their anchorages.
S6. Test conditions.
S6.1 Test weight. Each passenger car is loaded to its unloaded
vehicle weight, plus its rated cargo and luggage capacity, secured in
the luggage area, plus the weight of the necessary anthropomorphic test
dummies. Any added test equipment is located away from impact areas in
secure places in the vehicle. The car's fuel system is filled in
accordance with the following procedure. With the test vehicle on a
level surface, pump the fuel from the vehicle's fuel tank and then
operate the engine until it stops. Then, add Stoddard solvent to the
test vehicle's fuel tank in an amount which is equal to not less than 92
percent and not more than 94 percent of the fuel tank's usable capacity
stated by the vehicle's manufacturer. In addition, add the amount of
Stoddard solvent needed to fill the entire fuel system from the fuel
tank through the engine's induction system.
S6.2 Vehicle test attitude. Determine the distance between a level
surface and a standard reference point on the test vehicle's body,
directly above each wheel opening, when the vehicle is in its ''as
delivered'' condition. The ''as delivered'' condition is the vehicle as
received at the test site, filled to 100 percent of all fluid capacities
and with all tires inflated to the manufacturer's specifications listed
on the vehicle's tire placard. Determine the distance between the same
level surface and the same standard reference points in the vehicle's
''fully loaded condition.'' The ''fully loaded condition'' is the test
vehicle loaded in accordance with S6.1. The load placed in the cargo
area is centered over the longitudinal centerline of the vehicle. The
pretest vehicle attitude is equal to either the as delivered or fully
loaded attitude or between the as delivered attitude and the fully
loaded attitude.
S6.3 Adjustable seats. Adjustable seats are placed in the adjustment
position midway between the forward most and rearmost positions, and if
separately adjustable in a vertical direction, are at the lowest
position. If an adjustment position does not exist midway between the
forwardmost and rearmost positions, the closest adjustment position to
the rear of the midpoint is used.
S6.4 Adjustable seat back placement. Place adjustable seat backs in
the manufacturer's nominal design riding position in the manner
specified by the manufacturer. If the position is not specified, set
the seat back at the first detent rearward of 25 from the vertical.
Place each adjustable head restraint in its highest adjustment position.
Position adjustable lumbar supports so that they are set in their
released, i.e., full back position.
S6.5 Adjustable steering wheels. Adjustable steering controls are
adjusted so that the steering wheel hub is at the geometric center of
the locus it describes when it is moved through its full range of
driving positions.
S6.6 Windows. Movable vehicle windows and vents are placed in the
fully closed position on the struck side of the vehicle.
S6.7 Convertible tops. Convertibles and open-body type vehicles have
the top, if any, in place in the closed passenger compartment
configuration.
S6.8 Doors. Doors, including any rear hatchback or tailgate, are
fully closed and latched but not locked.
S6.9 Transmission and brake engagement. For a vehicle equipped with
a manual transmission, the transmission is placed in second gear. For a
vehicle equipped with an automatic transmission, the transmission is
placed in neutral. For all vehicles, the parking brake is engaged.
S6.10 Moving deformable barrier. The moving deformable barrier
conforms to the dimensions shown in Figure 2 and specified in part 587.
S6.11 Impact reference line. For vehicles with a wheelbase of 114
inches or less, on the side of the vehicle that will be struck by the
moving deformable barrier, place a vertical reference line which is 37
inches forward of the center of the vehicle's wheelbase. For vehicles
with a wheelbase greater than 114 inches, on the side of the vehicle
that will be struck by the moving deformable barrier, place a vertical
reference line which is 20 inches rearward of the centerline of the
vehicle's front axle.
S6.12 Impact configuration. The test vehicle (vehicle A in Figure 3)
is stationary. The line of forward motion of the moving deformable
barrier (vehicle B in Figure 3) forms an angle of 63 degrees with the
centerline of the test vehicle. The longitudinal centerline of the
moving deformable barrier is perpendicular to the longitudinal
centerline of the test vehicle when the barrier strikes the test
vehicle. In a test in which the test vehicle is to be struck on its
left (right) side: All wheels of the moving deformable barrier are
positioned at an angle of 27 1 degrees to the right (left) of the
centerline of the moving deformable barrier; and the left (right)
forward edge of the moving deformable barrier is aligned so that a
longitudinal plane tangent to that side passes through the impact
reference line within a tolerance of 2 inches when the barrier strikes
the test vehicle.
S6.13 Anthropomorphic test dummies.
S6.13.1 The anthropomorphic test dummies used for evaluation of a
vehicle's side impact protection conform to the requirements of subpart
F of part 572 of this chapter. In a test in which the test vehicle is
to be struck on its left side, each dummy is to be configured and
instrumented to be struck on its left side, in accordance with subpart F
of part 572. In a test in which the test vehicle is to be struck on its
right side, each dummy is to be configured and instrumented to be struck
on its right side, in accordance with subpart F of part 572.
S6.13.2 Each part 572, subpart F test dummy specified is clothed in
formfitting cotton stretch garments with short sleeves and midcalf
length pants. Each foot of the test dummy is equipped with a size 11EE
shoe, which meets the configuration size, sole, and heel thickness
specifications of MIL-S-13192 (1976) and weighs 1.25 0.2 pounds.
S6.13.3 Limb joints are set at between 1 and 2 g's. Leg joints are
adjusted with the torso in the supine position.
S6.13.4 The stabilized temperature of the test dummy at the time of
the side impact test shall be at any temperature between 66 degrees F.
and 78 degrees F.
S6.13.5 The acceleration data from the accelerometers mounted on the
ribs, spine and pelvis of the test dummy are processed with the FIR100
software specified in 49 CFR 572.44(d). The data are processed in the
following manner:
S6.13.5.1 Filter the data with a 300 Hz, SAE Class 180 filter;
S6.13.5.2 Subsample the data to a 1600 Hz sampling rate;
S6.13.5.3 Remove the bias from the subsampled data, and
S6.13.5.4 Filter the data with the FIR100 software specified in 49
CFR 572.44(d), which has the following characteristics --
S6.13.5.4.1 Passband frequency 100 Hz.
S6.13.5.4.2 Stopband frequency 189 Hz.
S6.13.5.4.3 Stopband gain ^50 db.
S6.13.5.4.4 Passband ripple 0.0225 db.
Insert illustration 0176
Insert illustration 0178
S7. Positioning procedure for the Part 572 Subpart F Test Dummy.
Position a correctly configured test dummy, conforming to subpart F of
part 572 of this chapter, in the front outboard seating position on the
side of the test vehicle to be struck by the moving deformable barrier
and position another conforming test dummy in the rear outboard position
on the same side of the vehicle, as specified in S7.1 through S7.4. Each
test dummy is restrained using all available belt systems in all seating
positions where such belt restraints are provided. In addition, any
folding armrest is retracted.
S7.1 Torso.
S7.1.1 For a test dummy in the driver position.
(a) For a bench seat. The upper torso of the test dummy rests
against the seat back. The midsagittal plane of the test dummy is
vertical and parallel to the vehicle's longitudinal centerline, and
passes through the center of the steering wheel.
(b) For a bucket seat. The upper torso of the test dummy rests
against the seat back. The midsagittal plane of the test dummy is
vertical and parallel to the vehicle's longitudinal centerline, and
coincides with the longitudinal centerline of the bucket seat.
S7.1.2 For a test dummy in the front outboard passenger position.
(a) For a bench seat. The upper torso of the test dummy rests
against the seat back. The midsagittal plane of the test dummy is
vertical and parallel to the vehicle's longitudinal centerline, and the
same distance from the vehicle's longitudinal centerline as would be the
midsagittal plane of a test dummy positioned in the driver position
under S7.1.1.
(b) For a bucket seat. The upper torso of the test dummy rests
against the seat back. The midsagittal plane of the test dummy is
vertical and parallel to the vehicle's longitudinal centerline, and
coincides with the longitudinal centerline of the bucket seat.
S7.1.3 For a test dummy in either of the rear outboard passenger
positions.
(a) For a bench seat. The upper torso of the test dummy rests
against the seat back. The midsagittal plane of the test dummy is
vertical and parallel to the vehicle's longitudinal centerline, and, if
possible, the same distance from the vehicle's longitudinal centerline
as the midsagittal plane of a test dummy positioned in the driver
position under S7.1.1. If it is not possible to position the test dummy
so that its midsagittal plane is parallel to the vehicle longitudinal
centerline and is at this distance from the vehicle's longitudinal
centerline, the test dummy is positioned so that some portion of the
test dummy just touches, at or above the seat level, the side surface of
the vehicle, such as the upper quarter panel, an armrest, or any
interior trim (i.e., either the broad trim panel surface or a smaller,
localized trim feature).
(b) For a bucket or contoured seat. The upper torso of the test
dummy rests against the seat back. The midsagittal plane of the test
dummy is vertical and parallel to the vehicle's longitudinal centerline,
and coincides with the longitudinal centerline of the bucket or
contoured seat.
S7.2 Pelvis.
S7.2.1 H-point. The H-points of each test dummy coincide within 1/2
inch in the vertical dimension and 1/2 inch in the horizontal dimension
of a point 1/4 inch below the position of the H-point determined by
using the equipment for the 50th percentile and procedures specified in
SAE J826 (1980) (incorporated by reference; see 571.5), except that
Table 1 of SAE J826 is not applicable. The length of the lower leg and
thigh segments of the H-point machine are adjusted to 16.3 and 15.8
inches, respectively.
S7.2.2 Pelvic angle. As determined using the pelvic angle gauge (GM
drawing 78051-532 incorporated by reference in part 572, subpart E of
this chapter) which is inserted into the H-point gauging hole of the
dummy, the angle of the plane of the surface on the lumbar-pelvic
adaptor on which the lumbar spine attaches is 23 to 25 degrees from the
horizontal, sloping upward toward the front of the vehicle.
S7.3 Legs.
7.3.1 For a test dummy in the driver position. The upper legs of
each test dummy rest against the seat cushion to the extent permitted by
placement of the feet. The left knee of the dummy is positioned such
that the distance from the outer surface of the knee pivot bolt to the
dummy's midsagittal plane is six inches. To the extent practicable, the
left leg of the test dummy is in a vertical longitudinal plane.
S7.3.2 For a test dummy in the outboard passenger positions. The
upper legs of each test dummy rest against the seat cushion to the
extent permitted by placement of the feet. The initial distance between
the outboard knee clevis flange surfaces is 11.5 inches. To the extent
practicable, both legs of the test dummies in outboard passenger
positions are in vertical longitudinal planes. Final adjustment to
accommodate placement of feet in accordance with S7.4 for various
passenger compartment configurations is permitted.
S7.4 Feet.
S7.4.1 For a test dummy in the driver position. The right foot of
the test dummy rests on the undepressed accelerator with the heel
resting as far forward as possible on the floorpan. The left foot is
set perpendicular to the lower leg with the heel resting on the floorpan
in the same lateral line as the right heel.
S7.4.2 For a test dummy in the front outboard passenger position.
The feet of the test dummy are placed on the vehicle's toeboard with the
heels resting on the floorpan as close as possible to the intersection
of the toeboard and floorpan. If the feet cannot be placed flat on the
toeboard, they are set perpendicular to the lower legs and placed as far
forward as possible so that the heels rest on the floorpan.
S7.4.3 For a test dummy in either of the rear outboard passenger
positions. The feet of the test dummy are placed flat on the floorpan
and beneath the front seat as far as possible without front seat
interference. If necessary, the distance between the knees can be
changed in order to place the feet beneath the seat.
S8. Phase-in of dynamic test and performance requirements.
S8.1 Passenger cars manufactured on or after September 1, 1993 and
before September 1, 1994.
S8.1.1 The number of passenger cars complying with the requirements
of S3(c) shall be not less than 10 percent of:
(a) The average annual production of passenger cars manufactured on
or after September 1, 1990, and before September 1, 1993, by each
manufacturer, or
(b) The manufacturer's annual production of passenger cars during the
period specified in S8.1.
S8.2 Passenger cars manufactured on or after September 1, 1994 and
before September 1, 1995.
S8.2.1 The number of passenger cars complying with the requirements
of S3(c) shall be not less than 25 percent of:
(a) The average annual production of passenger cars manufactured on
or after September 1, 1991, and before September 1, 1994, by each
manufacturer, or
(b) The manufacturer's annual production of passenger cars during the
period specified in S8.2.
S8.3 Passenger cars manufactured on or after September 1, 1995 and
before September 1, 1996.
S8. 3.1 The number of passenger cars complying with the requirements
of S3(c) shall be not less than 40 percent of:
(a) The average annual production of passenger cars manufactured on
or after September 1, 1992, and before September 1, 1995, by each
manufacturer, or
(b) The manufacturer's annual production of passenger cars during the
period specified in S8.3.
S8.4 Passenger cars produced by more than one manufacturer.
S8.4.1 For the purposes of calculating average annual production of
passenger cars for each manufacturer and the number of passenger cars
manufactured by each manufacturer under S8.1, S8.2, and S8.3, a
passenger car produced by more than one manufacturer shall be attributed
to a single manufacturer as follows, subject to S8.4.2:
(a) A passenger car which is imported shall be attributed to the
importer.
(b) A passenger car manufactured in the United States by more than
one manufacturer, one of which also markets the vehicle, shall be
attributed to the manufacturer which markets the vehicle.
S8.4.2 A passenger car produced by more than one manufacturer shall
be attributed to any one of the vehicle's manufacturers specified by an
express written contract, reported to the National Highway Traffic
Safety Administration under 49 CFR part 586, between the manufacturer so
specified and the manufacturer to which the vehicle would otherwise be
attributed under S8.4.1.
(36 FR 22902, Dec. 2, 1971, as amended at 45 FR 17018, Mar. 17, 1980;
55 FR 45752, Oct. 30, 1990; 56 FR 15517, Apr. 17, 1991; 56 FR 47011,
Sept. 17, 1991)
Effective Date Note: At 56 FR 27437, June 14, 1991, 571.214 was
amended by revising sections S2, S3 and S3.2, and adding section S2.1,
effective September 1, 1993. For the convenience of the user, the
revised text follows:
571.214 Standard No. 214; Side door strength.
S2. Applicability. This standard applies to passenger cars.
Effective September 1, 1993, sections S3(a), S3(e), S3.1 through S3.2.3,
and S4 of the standard apply to multipurpose passenger vehicles, trucks,
and buses with a GVWR of 10,000 pounds or less, except for walk-in vans.
S2.1 Definitions. Walk-in van means a van in which a person can enter
the occupant compartment in an upright position.
S3. Requirements. (a) Except as provided in section S3(e), each
vehicle shall be able to meet the requirements of either, at the
manufacturer's option, S3.1 or S3.2, when any of its side doors that can
be used for occupant egress is tested according to S4.
(b) When tested under the conditions of S6, each pasenger car
manufactured on or after September 1, 1996 shall meet the requirements
of S5.1, S5.2, and S5.3 in a 33.5 miles per hour impact in which the car
is struck on either side by a moving deformable barrier. Part 572,
subpart F test dummies are placed in the front and rear outboard seating
positions on the struck side of the car. However, the rear seat
requirements do not apply to passenger cars with a wheelbase greater
than 130 inches, or to passenger cars which have rear seating areas that
are so small that the part 572, subpart F dummies cannot be accommodated
according to the positioning procedure specified in S7.
(c) Except as provided in paragraph (d) of this section, from
September 1, 1993 to August 31, 1996, a specified percentage of each
manufacturer's yearly passenger car production, as set forth in S8,
shall, when tested under the conditions of S6, meet the requirements of
S5.1, S5.2, and S5.3 in a 33.5 miles per hour impact in which the car is
struck on either side by a moving deformable barrier. Part 572, subpart
F test dummies are placed in the front and rear outboard seating
positions on the struck side of the car. However, the rear seat
requirements do not apply to passenger cars with a wheelbase greater
than 130 inches, or to passenger cars which have rear seating areas that
are so small that the part 572, subpart F dummies cannot be accommodated
according to the positioning procedure specified in S7.
(d) A manufacturer may, at its option, comply with the requirements
of this paragraph instead of paragraph (c) of this section. When tested
under the conditions of S6, each passenger car manufactured from
September 1, 1994 to August 31, 1996 shall meet the requirements of
S5.1, S5.2, and S5.3 in a 33.5 miles per hour impact in which the car is
struck on either side by a moving deformable barrier. Part 572, subpart
F test dummies are placed in the front and rear outboard seating
positions on the struck side of the car. However, the rear seat
requirements do not apply to passenger cars with a wheelbase greater
than 130 inches, or to passenger cars which have rear seating areas that
are so small that the Part 572, Subpart F dummies cannot be accommodated
according to the positioning procedure specified in S7.
(e) A vehicle need not meet the requirements of sections S3.1 or S3.2
for --
(1) Any side door located so that no point on a ten-inch horizontal
longitudinal line passing through and bisected by the H-point of a
manikin placed in any seat, with the seat adjusted to any position and
the seat back adjusted as specified in Section S6.4, falls within the
transverse, horizontal projection of the door's opening,
(2) Any side door located so that no point on a ten-inch horizontal
longitudinal line passing through and bisected by the H-point of a
manikin placed in any seat recommended by the manufacturer for
installation in a location for which seat anchorage hardware is
provided, with the seat adjusted to any position and the seat back
adjusted as specified in section S6.4, falls within the transverse,
horizontal projection of the door's opening,
(3) Any side door located so that a portion of a seat, with the seat
adjusted to any position and the seat back adjusted as specified in
section S6.4, falls within the transverse, horizontal protection of the
door's opening, but a longitudinal vertical plane tangent to the
outboard side of the seat cushion is more than 10 inches from the
innermost point on the inside surface of the door at a height between
the H-point and shoulder reference point (as shown in figure 1 of the
Federal Motor Vehicle Safety Standard No. 210) and longitudinally
between the front edge of the cushion with the seat adjusted to its
forwardmost position and the rear edge of the cushion with the seat
adjusted to its rearmost position.
(4) Any side door that is designed to be easily attached to or
removed (e.g., using simple hand tools such as pliers and/or a screw
driver) from a motor vehicle manufactured for operation without doors.
S3.2 With seats installed in the vehicle, and located in any
horizontal or vertical position to which they can be adjusted and at any
seat back angle to which they can be adjusted, each vehicle must be able
to meet the requirements of S3.2.1 through S3.2.3.
571.215 (Reserved)
49 CFR 571.216Standard No. 216; Roof crush resistance-passenger cars.
S1. Scope. This standard establishes strength requirements for the
passenger compartment roof.
S2. Purpose. The purpose of this standard is to reduce deaths and
injuries due to the crushing of the roof into the passenger compartment
in rollover accidents.
S3. Application. This standard applies to passenger cars. However,
it does not apply to vehicles that conform to the rollover test
requirements (S5.3) of Standard 208 ( 571.208) by means that require no
action by vehicle occupants. It also does not apply to convertibles,
except for optional compliance with the standard as an alternative to
the rollover test requirements in S5.3 of Standard 208.
S4. Requirements. A test device as described in S5 shall not move
more than 5 inches, measured in accordance with S6.4, when it is used to
apply a force of 1 1/2 times the unloaded vehicle weight of the vehicle
or 5,000 pounds whichever is less, to either side of the forward edge of
a vehicle's roof in accordance with the procedures of S6. Both the left
and right front portions of the vehicle's roof structure shall be
capable of meeting the requirements, but a particular vehicle need not
meet further requirements after being tested at one location.
S5. Test device. The test device is a rigid unyielding block with
its lower surface formed as a flat rectangle 30 inches 72 inches.
S6. Test procedure. Each vehicle shall be capable of meeting the
requirements of S4 when tested in accordance with the following
procedure.
S6.1 Place the sills or the chassis frame of the vehicle on a rigid
horizontal surface, fix the vehicle rigidly in position, close all
windows, close and lock all doors, and secure any convertible top or
removable roof structure in place over the passenger compartment.
S6.2 Orient the test device as shown in Figure 1, so that --
(a) Its longitudinal axis is at a forward angle (side view) of 5
below the horizontal, and is parallel to the vertical plane through the
vehicle's longitudinal centerline;
(b) Its lateral axis is at a lateral outboard angle, in the front
view projection, of 25 below the horizontal;
(c) Its lower surface is tangent to the surface of the vehicle; and
(d) The initial contact point, or center of the initial contact area,
is on the longitudinal centerline of the lower surface of the test
device and 10 inches from the forwardmost point of that centerline.
49 CFR 571.216
S6.3 Apply force in a downward direction perpendicular to the lower
surface of the test device at a rate of not more than one-half inch per
second until reaching a force of 1 1/2 times the unloaded vehicle weight
of the tested vehicle or 5,000 pounds, whichever is less. Complete the
test within 120 seconds. Guide the test device so that throughout the
test it moves, without rotation, in a straight line with its lower
surface oriented as specified in S6.2(a) through S6.2(d).
S6.4 Measure the distance that the test device moves, i.e., the
distance between the original location of the lower surface of the test
device and its location as the force level specified in S6.3 is reached.
(36 FR 23300, Dec. 8, 1971, as amended at 38 FR 21930, Aug. 14, 1973;
56 FR 15517, Apr. 17, 1991)
Effective Date Note: At 56 FR 15517, Apr. 17, 1991, 571.216 was
amended by revising the section heading and sections S3, S4 and S6.3,
effective September 1, 1993. For the convenience of the user, the
revised text appears as follows:
571.216 Standard No. 216; Roof crush resistance.
S3. Application. This standard applies to passenger cars, and to
multipurpose passenger vehicles, trucks and buses with a GVWR of 6,000
pounds or less. However, it does not apply to --
(a) School buses;
(b) Vehicles that conform to the rollover test requirements (S5.3) of
Standard No. 208 ( 571.208) by means that require no action by vehicle
occupants; or
(c) Convertibles, except for optional compliance with the standard as
an alternative to the rollover test requirements in S5.3 of Standard No.
208.
S4. Requirements.
(a) Passenger cars. A test device as described in S5 shall not move
more than 5 inches, measured in accordance with S6.4, when it is used to
apply a force of 1 1/2 times the unloaded vehicle weight of the vehicle
or 5,000 pounds, whichever is less, to either side of the forward edge
of a vehicle's roof in accordance with the procedures of S6. Both the
left and right front portions of the vehicle's roof structure shall be
capable of meeting the requirements, but a particular vehicle need not
meet further requirements after being tested at one location.
(b) Multipurpose passenger vehicles, trucks and buses with a GVWR of
6,000 pounds or less, manufactured on or after September 1, 1993. A
test device as described in S5 shall not move more than 5 inches,
measured in accordance with S6.4, when it is used to apply a force of 1
1/2 times the unloaded vehicle weight of the vehicle to either side of
the forward edge of a vehicle's roof in accordance with the procedures
of S6. Both the left and right front portions of the vehicle's roof
structure shall be capable of meeting the requirements, but a particular
vehicle need not meet further requirements after being tested at one
location.
S6.3 (a) Passenger cars. Apply force in a downward direction
perpendicular to the lower surface of the test device at a rate of not
more than one-half inch per second until reaching a force of 1 1/2 times
the unloaded vehicle weight of the tested vehicle or 5,000 pounds,
whichever is less. Complete the test within 120 seconds. Guide the
test device so that throughout the test it moves, without rotation, in a
straight line with its lower surface oriented as specified in S6.2(a)
through S6.2(d).
(b) Multipurpose passenger vehicles, trucks and buses with a GVWR of
6,000 pounds or less, manufactured on or after September 1, 1993. Apply
force in a downward direction perpendicular to the lower surface of the
test device at a rate of not more than one-half inch per second until
reaching a force of 1 1/2 times the unloaded vehicle weight of the
tested vehicle. Complete the test within 120 seconds. Guide the test
device so that throughout the test it moves, without rotation, in a
straight line with its lower surface oriented as specified in S6.2(a)
through S6.2(d).
49 CFR 571.217Standard No. 217; Bus window retention and release.
S1. Scope. This standard establishes requirements for the retention
of windows other than windshields in buses, and establishes operating
forces, opening dimensions, and markings for pushout bus windows and
other emergency exits.
S2. Purpose. The purpose of this standard is to minimize the
likelihood of occupants being thrown from the bus and to provide a means
of readily accessible emergency egress.
S3. Application. This standard applies to buses, except buses
manufactured for the purpose of transporting persons under physical
restraint.
S4. Definitions. Push-out window means a vehicle window designed to
open outward to provide for emergency egress.
Adjacent seat means a designated seating position located so that
some portion of its occupant space is not more than 10 inches from an
emergency exit, for a distance of at least 15 inches measured
horizontally and parallel to the exit.
Occupant space means the space directly above the seat and footwell,
bounded vertically by the ceiling and horizontally by the normally
positioned seat back and the nearest obstruction of occupant motion in
the direction the seat faces.
S5. Requirements.
S5.1 Window retention. Except as provided in S5.1.2, each piece of
window glazing and each surrounding window frame when tested in
accordance with the procedure in S5.1.1 under the conditions of S6.1
through S6.3, shall be retained by its surrounding structure in a manner
that prevents the formation of any opening large enough to admit the
passage of a 4-inch diameter sphere under a force, including the weight
of the sphere, of 5 pounds until any one of the following events occurs:
(a) A force of 1,200 pounds is reached.
(b) At least 80 percent of the glazing thickness has developed cracks
running from the load contact region to the periphery at two or more
points, or shattering of the glazing occurs.
(c) The inner surface of the glazing at the center of force
application has moved relative to the window frame, along a line
perpendicular to the undisturbed inner surface, a distance equal to
one-half of the square root of the minimum surface dimension measured
through the center of the area of the entire sheet of window glazing.
S5.1.1 An increasing force shall be applied to the window glazing
through the head form specified in Figure 4, outward and perpendicular
to the undisturbed inside surface at the center of the area of each
sheet of window glazing, with a head form travel of 2 inches per minute.
S5.1.2 The requirements of this standard do not apply to a window
whose minimum surface dimension measured through the center of its area
is less than 8 inches.
S5.2 Provision of emergency exits.
Buses other than schoolbuses shall provide unobstructed openings for
emergency exit which collectively amount, in total square inches, to at
least 67 times the number of designated seating positions on the bus.
At least 40 percent of the total required area of unobstructed openings,
computed in the above manner, shall be provided on each side of a bus.
However, in determining the total unobstructed openings provided by a
bus, no emergency exit, regardless of its area, shall be credited with
more than 536 square inches of the total area requirement. School buses
shall provide openings for emergency exits that conform to S5.2.3.
S5.2.1 Buses with GVWR of more than 10,000 pounds. Except as
provided in S5.2.1.1, buses with a GVWR of more than 10,000 pounds shall
meet the unobstructed openings requirements by providing side exits and
at least one rear exit that conforms to S5.3 through S5.5. The rear
exit shall meet the requirements when the bus is upright and when the
bus is overturned on either side, with the occupant standing facing the
exit. When the bus configuration precludes installation of an
accessible rear exit, a roof exit that meets the requirements of S5.3
through S5.5 when the bus is overturned on either side, with the
occupant standing facing the exit, shall be provided in the rear half of
the bus.
S5.2.1.1 A bus with GVWR of more than 10,000 pounds may satisfy the
unobstructed openings requirement by providing at least one side door
for each three passenger seating positions in the vehicle.
S5.2.2 Buses with a GVWR of 10,000 pounds or less. Buses with a GVWR
of 10,000 pounds or less may meet the unobstructed openings requirement
by providing:
(a) Devices that meet the requirements of S5.3 through S5.5 without
using remote controls or central power systems;
(b) Windows that can be opened manually to a position that provides
an opening large enough to admit unobstructed passage, keeping a major
axis horizontal at all time, of an ellipsoid generated by rotating about
its minor axis an ellipse having a major axis of 20 inches and a minor
axis of 13 inches; or
(c) Doors.
S5.2.3 School buses.
S5.2.3.1 Each school bus shall comply with either one of the
following minimum emergency exit provisions, chosen at the option of the
manufacturer:
(a) One rear emergency door that opens outward and is hinged on the
right side (either side in the case of a bus with a GVWR of 10,000
pounds or less); or
(b) One emergency door on the vehicle's left side that is in the rear
half of the bus passenger compartment and is hinged on its forward side,
and a push-out rear window that provides a minimum opening clearance 16
inches high and 48 inches wide. This window shall be releasable by
operation of not more than two mechanisms which are located in the high
force access region as shown in Figure 3C, and which do not have to be
operated simultaneously. Release and opening of the window shall
require force applications, not to exceed 40 pounds, in the directions
specified in S5.3.2.
S5.2.3.2 The engine starting system of a school bus shall not operate
if any emergency exit is locked from either inside or outside the bus.
For purposes of this requirement, ''locked'' means that the release
mechanism cannot be activated by a person at the door without a special
device such as a key or special information such as a combination.
S5.3 Emergency exit release.
S5.3.1 Each push-out window or other emergency exit not required by
S5.2.3 shall be releasable by operating one or two mechanisms located
within the regions specified in Figure 1, Figure 2, or Figure 3. The
lower edge of the region in Figure 1, and Region B in Figure 2, shall be
located 5 inches above the adjacent seat, or 2 inches above the armrest,
if any, whichever is higher.
S5.3.2 When tested under the conditions of S6., both before and after
the window retention test required by S5.1, each emergency exit not
required by S5.2.3 shall allow manual release of the exit by a single
occupant using force applications each of which conforms, at the option
of the manufacturer, either to (a) or (b). The release mechanism or
mechanisms shall require for release one or two force applications, at
least one of which differs by a 90 to 180 from the direction of the
initial push-out motion of the emergency exit (outward and perpendicular
to the exit surface).
(a) Low-force application.
(1) Location. As shown in Figure 1 or Figure 3.
(2) Type of motion. Rotary or straight.
(3) Magnitude. Not more than 20 pounds.
(b) High force application.
(1) Location. As shown in Figure 2 or Figure 3.
(2) Type of motion. Straight, perpendicular to the undisturbed exit
surface.
(3) Magnitude. Not more than 60 pounds.
S5.3.3 When tested under the conditions of S6., both before and after
the window retention test required by S5.1, each school bus emergency
door shall allow manual release of the door by a single person, from
both inside and outside the bus passenger compartment, using a force
application that conforms to paragraphs (a) through (c) except a school
bus with a GVWR of 10,000 pounds or less does not have to conform to
paragraph (a). Each release mechanism shall operate without the use of
remote controls or tools, and notwithstanding any failure of the
vehicle's power system. When the release mechanism is not in the closed
position and the vehicle ignition is in the ''on'' position, a
continuous warning sound shall be audible at the driver's seating
position and in the vicinity of the emergency door having the unclosed
mechanism.
(a) Location: Within the high force access region shown in Figure 3A
for a side emergency door, and in Figure 3D for a rear emergency door.
(b) Type of motion: Upward from inside the bus; at the discretion
of the manufacturer from outside the bus.
Buses with a GVWR of 10,000 pounds or less shall provide interior
release mechanisms that operate by either an upward or pull-type motion.
The pull-type motion shall be used only when the release mechanism is
recessed in such a manner that the handle, lever, or other activating
device does not protrude beyond the rim of the recessed receptacle.
(c) Magnitude of force: Not more than 40 pounds.
S5.4 Emergency exit extension.
S5.4.1 After the release mechanism has been operated, each push-out
window or other emergency exit not required by S5.2.3 shall, under the
conditions of S6., before and after the window retention test required
by S5.1, using the reach distances and corresponding force levels
specified in S5.3.2, be manually extendable by a single occupant to a
position that provides an opening large enough to admit unobstructed
passage, keeping a major axis horizontal at all times, of an ellipsoid
generated by rotating about its minor axis an ellipse having a major
axis of 20 inches and a minor axis of 13 inches.
S5.4.2 School bus emergency exit extension.
S5.4.2.1 School bus with a GVWR of more than 10,000 pounds. After
the release mechanism has been operated, the emergency door of a school
bus with a GVWR of more than 10,000 pounds shall, under the conditions
of S6., before and after the window retention test required by S5.1,
using the force levels specified in S5.3.3, be manually extendable by a
single person to a position that permits --
(a) In the case of rear emergency door, an opening large enough to
permit unobstructed passage of a rectangular parallelepiped 45 inches
high, 24 inches wide, and 12 inches deep, keeping the 45-inch dimension
vertical, the 24-inch dimension parallel to the opening, and the lower
surface in contact with the floor of the bus at all times; and
(b) In the case of a side emergency door, an opening at least 45
inches high and 24 inches wide. A vertical transverse plane tangent to
the rearmost point of a seat back shall pass through the forward edge of
a side emergency door.
S5.4.2.2 School bus with a GVWR of 10,000 pounds or less. A school
bus with a GVWR of 10,000 pounds or less shall conform to all the
provisions of S5.4.2, except that the parallelepiped dimension for the
opening of the rear emergency door or doors shall be 45 inches high, 22
inches wide, and 6 inches deep.
S5.5 Emergency exit identification.
S5.5.1 In buses other than school buses, except for windows serving
as emergency exits in accordance with S5.2.2(b) and doors in buses with
a GVWR of 10,000 pounds or less, each emergency door shall have the
designation ''Emergency Door'' or ''Emergency Exit'' and each push-out
window or other emergency exit shall have the designation ''Emergency
Exit'' followed by concise operating instructions describing each motion
necessary to unlatch and open the exit, located within 6 inches of the
release mechanism.
(1) Lift to Unlatch, Push to Open
(2) Lift Handle and Push out to Open
When a release mechanism is not located within an occupant space of
an adjacent seat, a label meeting the requirements of S5.5.2 that
indicates the location of the nearest release mechanism shall be placed
within the occupant space.
Emergency exit instructions located next to seat ahead.
Seat Ahead''
S5.5.2 In buses other than school buses. Except as provided in
S5.5.2.1, each marking shall be legible, when the only source of light
is the normal nighttime illumination of the bus interior, to occupants
having corrected visual acuity of 20/40 (Snellen ratio) seated in the
adjacent seat, seated in the seat directly adjoining the adjacent seat,
and standing in the aisle location that is closest to that adjacent
seat. The marking shall be legible from each of these locations when
the other two corresponding locations are occupied.
S5.5.2.1 If the exit has no adjacent seat, the marking must meet the
legibility requirements of S5.5.2 for occupants standing in the aisle
location nearest to the emergency exit, except for a roof exit, which
must meet the legibility requirements for occupants positioned with
their backs against the floor opposite the roof exit.
S5.5.3 School Bus. Each school bus emergency exit provided in
accordance with S5.2.3.1 shall have the designation ''Emergency Door''
or ''Emergency Exit,'' as appropriate, in letters at least 2 inches
high, of a color that contrasts with its background, located at the top
of or directly above the emergency exit on both the inside and outside
surfaces of the bus. Concise operating instructions describing the
motions necessary to unlatch and open the emergency exit, in letters at
least three-eighths of an inch high, of a color that contrasts with its
background, shall be located within 6 inches of the release mechanism on
the inside surface of the bus.
(1) Lift to Unlatch, Push to Open
(2) Lift Handle, Push Out to Open
S6. Test conditions.
S6.1 The vehicle is on a flat, horizontal surface.
S6.2 The inside of the vehicle and the outside environment are kept
at any temperature from 70 to 85 Fahrenheit for 4 hours immediately
preceding the tests, and during the tests.
S6.3 For the window retention test, windows are installed, closed,
and latched (where latches are provided) in the condition intended for
normal bus operation.
S6.4 For the emergency exit release and extension tests, windows are
installed as in S6.3, seats, armrests, and interior objects near the
windows are installed as for normal use, and seats are in the upright
position.
Insert ILLUS. 124A
Insert ILLUS. 125A
Insert ILLUS. 127A
Insert ILLUS. 129A
Insert ILLUS. 130A
(37 FR 9395, May 10, 1972, as amended at 37 FR 18035, Sept. 6, 1972;
38 FR 6070, Mar. 6, 1973; 38 FR 7562, Mar. 28, 1973; 39 FR 15274, May
2, 1974; 40 FR 48512, Oct. 16, 1975; 41 FR 3872, Jan. 27, 1976; 41 FR
22357, June 3, 1976; 41 FR 24592, June 17, 1976; 41 FR 36027, Aug. 26,
1976; 47 FR 7256, Feb. 18, 1982; 47 FR 37555, Aug. 26, 1982)
49 CFR 571.218Standard No. 218; Motorcycle helmets.
S1. Scope. This standard establishes minimum performance requirements
for helmets designed for use by motorcyclists and other motor vehicle
users.
S2. Purpose. The purpose of this standard is to reduce deaths and
injuries to motorcyclists and other motor vehicle users resulting from
head impacts.
S3. Application. This standard applies to all helmets designed for
use by motorcyclists and other motor vehicle users.
S4. Definitions.
Basic plane means a plane through the centers of the right and left
external ear openings and the lower edge of the eye sockets (Figure 1)
of a reference headform (Figure 2) or test headform.
Helmet positioning index means the distance in inches, as specified
by the manufacturer, from the lowest point of the brow opening at the
lateral midpoint of the helmet to the basic plane of a reference
headform, when the helmet is firmly and properly positioned on the
reference headform.
Midsagittal plane means a longitudinal plane through the apex of a
reference headform or test headform that is perpendicular to the basic
plane (Figure 3).
Reference headform means a measuring device contoured to the
dimensions of one of the three headforms described in Table 2 and
Figures 5 through 8 with surface markings indicating the locations of
the basic, mid-sagittal, and reference planes, and the centers of the
external ear openings.
Reference plane means a plane above and parallel to the basic plane
on a reference headform or test headform (Figure 2) at the distance
indicated in Table 2.
Retention system means the complete assembly by which the helmet is
retained in position on the head during use.
Test headform means a test device contoured to the dimensions of one
of the three headforms described in Table 2 and Figures 5 through 8 with
surface markings indicating the locations of the basic, mid-sagittal,
and reference planes.
S5. Requirements. Each helmet shall meet the requirements of S5.1,
S5.2, and S5.3 when subjected to any conditioning procedure specified in
S6.4, and tested in accordance with S7.1, S7.2, and S7.3.
S5.1 Impact attenuation. When an impact attenuation test is
conducted in accordance with S7.1, all of the following requirements
shall be met:
(a) Peak accelerations shall not exceed 400g;
(b) Accelerations in excess of 200g shall not exceed a cumulative
duration of 2.0 milliseconds; and
(c) Accelerations in excess of 150g shall not exceed a cumulative
duration of 4.0 milliseconds.
S5.2 Penetration. When a penetration test is conducted in accordance
with S7.2, the striker shall not contact the surface of the test
headform.
S5.3 Retention system.
S5.3.1 When tested in accordance with S7.3:
(a) The retention system or its components shall attain the loads
specified without separation; and
(b) The adjustable portion of the retention system test device shall
not move more than 1 inch (2.5 cm) measured between preliminary and test
load positions.
S5.3.2 Where the retention system consists of components which can be
independently fastened without securing the complete assembly, each such
component shall independently meet the requirements of S5.3.1.
S5.4 Configuration. Each helmet shall have a protective surface of
continuous contour at all points on or above the test line described in
S6.2.3. The helmet shall provide peripheral vision clearance of at least
105 to each side of the mid-sagittal plane, when the helmet is adjusted
as specified in S6.3. The vertex of these angles, shown in Figure 3,
shall be at the point on the anterior surface of the reference headform
at the intersection of the mid-sagittal and basic planes. The brow
opening of the helmet shall be at least 1 inch (2.5 cm) above all points
in the basic plane that are within the angles of peripheral vision (see
Figure 3).
S5.5 Projections. A helmet shall not have any rigid projections
inside its shell. Rigid projections outside any helmet's shell shall be
limited to those required for operation of essential accessories, and
shall not protrude more than 0.20 inch (5 mm).
S5.6 Labeling.
S5.6.1 Each helmet shall be labeled permanently and legibly, in a
manner such that the label(s) can be read easily without removing
padding or any other permanent part, with the following:
(a) Manufacturer's name or identification.
(b) Precise model designation.
(c) Size.
(d) Month and year of manufacture. This may be spelled out (for
example, June 1988), or expressed in numerals (for example, 6/88).
(e) The symbol DOT, constituting the manufacturer's certification
that the helmet conforms to the applicable Federal motor vehicle safety
standards. This symbol shall appear on the outer surface, in a color
that contrasts with the background, in letters at least 3/8 inch (1 cm)
high, centered laterally with the horizontal centerline of the symbol
located a minimum of 1 1/8 inches (2.9 cm) and a maximum of 1 3/8 inches
(3.5 cm) from the bottom edge of the posterior portion of the helmet.
(f) Instructions to the purchaser as follows:
(1) ''Shell and liner constructed of (identify type(s) of materials).
(2) ''Helmet can be seriously damaged by some common substances
without damage being visible to the user. Apply only the following:
(Recommended cleaning agents, paints, adhesives, etc., as appropriate).
(3) ''Make no modifications. Fasten helmet securely. If helmet
experiences a severe blow, return it to the manufacturer for inspection,
or destory it and replace it.''
(4) Any additional relevant safety information should be applied at
the time of purchase by means of an attached tag, brochure, or other
suitable means.
S5.7 Helmet positioning index. Each manufacturer of helmets shall
establish a positioning index for each helmet he manufactures. This
index shall be furnished immediately to any person who requests the
information, with respect to a helmet identified by manufacturer, model
designation, and size.
S6. Preliminary test procedures. Before subjecting a helmet to the
testing sequence specified in S7., prepare it according to the
procedures in S6.1, S6.2, and S6.3.
S6.1 Selection of appropriate headform.
S6.1.1 A helmet with a manufacturer's designated discrete size or
size range which does not exceed 6 3/4 (European size: 54) is tested on
the small headform. A helmet with a manufacturer's designated discrete
size or size range which exceeds 6 3/4, but does not exceed 7 1/2
(European size: 60) is tested on the medium headform. A helmet with a
manufacturer's designated discrete size or size range which exceeds 7
1/2 is tested on the large headform.
S6.1.2 A helmet with a manufacturer's designated size range which
includes sizes falling into two or all three size ranges described in
S6.1.1 is tested on each headform specified for each size range.
S6.2 Reference marking.
S6.2.1 Use a reference headform that is firmly seated with the basic
and reference planes horizontal. Place the complete helmet to be tested
on the appropriate reference headform, as specified in S6.1.1 and
S6.1.2.
S6.2.2 Apply a 10-pound (4.5 kg) static verticle load through the
helmet's apex. Center the helmet laterally and seat it firmly on the
reference headform according to its helmet positioning index.
S6.2.3 Maintaining the load and position described in S6.2.2, draw a
line (hereinafter referred to as ''test line'') on the outer surface of
the helmet coinciding with portions of the intersection of that service
with the following planes, as shown in Figure 2:
(a) A plane 1 inch (2.5 cm) above and parallel to the reference plane
in the anterior portion of the reference headform;
(b) A vertical transverse plane 2.5 inches (6.4 cm) behind the point
on the anterior surface of the reference headform at the intersection of
the mid-sagittal and reference planes;
(c) The reference plane of the reference headform;
(d) A vertical transverse plane 2.5 inches (6.4. cm) behind the
center of the external ear opening in a side view; and
(e) A plane 1 inch (2.5 cm) below and parallel to the reference plane
in the posterior portion of the reference headform.
S6.3 Helmet positioning.
S6.3.1 Before each test, fix the helmet on a test headform in the
position that conforms to its helmet positioning index. Secure the
helmet so that it does not shift position before impact or before
application of force during testing.
S6.3.2 In testing as specified in S7.1 and S7.2, place the retention
system in a position such that it does not interfere with free fall,
impact or penetration.
S6.4 Conditioning.
S6.4.1 Immediately before conducting the testing sequence specified
in S7, condition each test helmet in accordance with any one of the
following procedures:
(a) Ambient conditions. Expose to a temperature of 70 F(21 C) and a
relative humidity of 50 percent for 12 hours.
(b) Low temperature. Expose to a temperature of 14 F(^10 C) for 12
hours.
(c) High temperature. Expose to a temperature of 122 F(50 C) for 12
hours.
(d) Water immersion. Immerse in water at a temperature of 77 F(25 C)
for 12 hours.
S6.4.2 If during testing, as specified in S7.1.3 and S7.2.3, a helmet
is returned to the conditioning environment before the time out of that
environment exceeds 4 minutes, the helmet is kept in the environment for
a minimum of 3 minutes before resumption of testing with that helmet.
If the time out of the environment exceeds 4 minutes, the helmet is
returned to the environment for a minimum of 3 minutes for each minute
or portion of a minute that the helmet remained out of the environment
in excess of 4 minutes or for a maximum of 12 hours, whichever is less,
before the resumption of testing with that helmet.
S7. Test conditions.
S7.1 Impact attenuation test.
S7.1.1 Impact attenuation is measured by determining acceleration
imparted to an instrumented test headform on which a complete helmet is
mounted as specified in S6.3, when it is dropped in guided free fall
upon a fixed hemispherical anvil and a fixed flat steel anvil.
S7.1.2 Each helmet is impacted at four sites with two successive
identical impacts at each site. Two of these sites are impacted upon a
flat steel anvil and two upon a hemispherical steel anvil as specified
in S7.1.10 and S7.1.11. The impact sites are at any point on the area
above the test line described in paragraph S6.2.3, and separated by a
distance not less than one-sixth of the maximum circumference of the
helmet in the test area.
S7.1.3 Impact testing at each of the four sites, as specified in
S7.1.2, shall start at two minutes, and be completed by four minutes,
after removal of the helmet from the conditioning environment.
S7.1.4 (a) The guided free fall drop height for the helmet and test
headform combination onto the hemispherical anvil shall be such that the
minimum impact speed is 17.1 feet/second (5.2 m/sec). The minimum drop
height is 54.5 inches (138.4 cm). The drop height is adjusted upward
from the minimum to the extent necessary to compensate for friction
losses.
(b) The guided free fall drop height for the helmet and test headform
combination onto the flat anvil shall be such that the minimum impact
speed is 19.7 ft./sec (6.0 m/sec). The minimum drop height is 72 inches
(182.9 cm). The drop height is adjusted upward from the minimum to the
extent necessary to compensate for friction losses.
S7.1.5 Test headforms for impact attenuation testing are constructed
of magnesium alloy (K-1A), and exhibit no resonant frequencies below
2,000 Hz.
S7.1.6 The monorail drop test system is used for impact attenuation
testing.
S7.1.7 The weight of the drop assembly, as specified in Table 1, is
the combined weight of the test headform and the supporting assembly for
the drop test. The weight of the supporting assembly is not less than
2.0 lbs. and not more than 2.4 lbs. (0.9 to 1.1 kg). The supporting
assembly weight for the monorail system is the drop assembly weight
minus the combined weight of the test headform, the headform's clamp
down ring, and its tie down screws.
S7.1.8 The center of gravity of the test headform is located at the
center of the mounting ball on the supporting assembly and lies within a
cone with its axis vertical and forming a 10 included angle with the
vertex at the point of impact. The center of gravity of the drop
assembly lies within the rectangular volume bounded by x = ^0.25 inch
(^0.64 cm), x = 0.85 inch (2.16 cm), y = 0.25 inch (0.64 cm), and y =
^0.25 inch (^0.64 cm) with the origin located at the center of gravity
of the test headform. The rectangular volume has no boundary along the
z-axis. The x-y-z axes are mutually perpendicular and have positive or
negative designations in accordance with the right-hand rule (See Figure
5). The origin of the coordinate axes also is located at the center of
the mounting ball on the supporting assembly (See Figures 6, 7, and 8).
The x-y-z axes of the test headform assembly on a monorail drop test
equipment are oriented as follows: From the origin, the x-axis is
horizontal with its positive direction going toward and passing through
the vertical centerline of the monorail. The positive z-axis is
downward. The y-axis also is horizontal and its direction can be
decided by the z- and x-axes, using the right-hand rule.
S7.1.9 The acceleration transducer is mounted at the center of
gravity of the test headform with the sensitive axis aligned to within 5
of vertical when the test headform assembly is in the impact position.
The acceleration data channel complies with SAE Recommended Practice
J211 JUN 80, Instrumentation for Impact Tests, requirements for channel
class 1,000.
S7.1.10 The flat anvil is constructed of steel with a 5-inch (12.7
cm) minimum diameter impact face, and the hemispherical anvil is
constructed of steel with a 1.9 inch (4.8 cm) radius impact face.
S7.1.11 The rigid mount for both of the anvils consists of a solid
mass of at least 300 pounds (136.1 kg), the outer surface of which
consists of a steel plate with minimum thickness of 1 inch (2.5 cm) and
minimum surface area of 1 ft /2/ (929 cm /2/ ).
S7.1.12 The drop system restricts side movement during the impact
attenuation test so that the sum of the areas bounded by the
acceleration-time response curves for both the x- and y-axes (horizontal
axes) is less than five percent of the area bounded by the
acceleration-time response curve for the vertical axis.
S7.2 Penetration test.
S7.2.1 The penetration test is conducted by dropping the penetration
test striker in guided free fall, with its axis aligned vertically, onto
the outer surface of the complete helmet, when mounted as specified in
S6.3, at any point above the test line, described in S6.2.3, except on a
fastener or other rigid projection.
S7.2.2 Two penetration blows are applied at least 3 inches (7.6 cm)
apart, and at least 3 inches (7.6 cm) from the centers of any impacts
applied during the impact attenuation test.
S7.2.3 The application of the two penetration blows, specified in
S7.2.2, starts at two minutes and is completed by four minutes, after
removal of the helmet from the conditioning environment.
S7.2.4 The height of the guided free fall is 118.1 inches (3 m), as
measured from the striker point to the impact point on the outer surface
of the test helmet.
S7.2.5 The contactable surface of the penetration test headform is
constructed of a metal or metallic alloy having a Brinell hardness
number no greater than 55, which will permit ready detection should
contact by the striker occur. The surface is refinished if necessary
before each penetration test blow to permit detection of contact by the
striker.
S7.2.6 The weight of the penetration striker is 6 pounds, 10 ounces
(3 kg).
S7.2.7 The point of the striker has an included angle of 60 , a cone
height of 1.5 inches (3.8 cm), a tip radius of 0.02 inch (standard 0.5
millimeter radius) and a minimum hardness of 60 Rockwell, C-scale.
S7.2.8 The rigid mount for the penetration test headform is as
described in S7.1.11.
S7.3 Retention system test.
S7.3.1 The retention system test is conducted by applying a static
tensile load to the retention assembly of a complete helmet, which is
mounted, as described in S6.3, on a stationary test headform as shown in
Figure 4, and by measuring the movement of the adjustable portion of the
retention system test device under tension.
S7.3.2 The retention system test device consists of both an
adjustable loading mechanism by which a static tensile load is applied
to the helmet retention assembly and a means for holding the test
headform and helmet stationary. The retention assembly is fastened
around two freely moving rollers, both of which have a 0.5 inch (1.3 cm)
diameter and a 3-inch (7.6 cm) center-to-center separation, and which
are mounted on the adjustable portion of the tensile loading device
(Figure 4). The helmet is fixed on the test headform as necessary to
ensure that it does not move during the application of the test loads to
the retention assembly.
S7.3.3 A 50-pound (22.7 kg) preliminary test load is applied to the
retention assembly, normal to the basic plane of the test headform and
symmetrical with respect to the center of the retention assembly for 30
seconds, and the maximum distance from the extremity of the adjustable
portion of the retention system test device to the apex of the helmet is
measured.
S7.3.4 An additional 250-pound (113.4 kg) test load is applied to the
retention assembly, in the same manner and at the same location as
described in S7.3.3, for 120 seconds, and the maximum distance from the
extremity of the adjustable portion of the retention system test device
to the apex of the helmet is measured.
Insert Illus. 132A
Insert Illus 0385
Insert ILLUS. 134A
Insert ILLUS. 135A
Insert Illus 0386
Insert Illus 274
Insert Illus 275
Insert Illus 276
Insert Illus 277
Insert Illus 0388
Insert Illus 0389
Insert Illus 0390
(38 FR 22391, Aug. 20, 1973, as amended at 39 FR 3554, Jan. 28, 1974;
45 FR 15181, Mar. 10, 1980; 53 FR 11288, Apr. 6, 1988; 53 FR 12529,
Apr. 15, 1988)
49 CFR 571.219Standard No. 219; Windshield zone intrusion.
S1. Scope. This standard specifies limits for the displacement into
the windshield area of motor vehicle components during a crash.
S2. Purpose. The purpose of this standard is to reduce crash injuries
and fatalities that result from occupants contacting vehicle components
displaced near or through the windshield.
S3. Application. This standard applies to passenger cars and to
multipurpose passenger vehicles, trucks and buses of 10,000 pounds or
less gross vehicle weight rating. However, it does not apply to forward
control vehicles, walk-in van-type vehicles, or to open-body-type
vehicles with fold-down or removable windshields.
S4. Definitions. Daylight Opening (DLO) means the maximum
unobstructed opening through the glazing surface, including reveal or
garnish moldings adjoining the surface, as measured parallel to the
outer surface of the glazing material.
S5. Requirement. When the vehicle traveling longitudinally forward at
any speed up to and including 30 mph impacts a fixed collision barrier
that is perpendicular to the line of travel of the vehicle, under the
conditions of S7., no part of the vehicle outside the occupant
compartment, except windshield molding and other components designed to
be normally in contact with the windshield, shall penetrate the
protected zone template, affixed according to S6., to a depth of more
than one-quarter inch, and no such part of a vehicle shall penetrate the
inner surface of that portion of the windshield, within the DLO, below
the protected zone defined in S6.
S6. Protected zone template.
S6.1 The lower edge of the protected zone is determined by the
following procedure (see Figure 1).
(a) Place a 6.5-inch diameter rigid sphere, weighing 15 pounds, in a
position such that it simultaneously contacts the inner surface of the
windshield glazing and the surface of the instrument panel, including
padding. If any accessories or equipment such as the steering control
system obstruct positioning of the sphere, remove them for the purposes
of this procedure.
(b) Draw the locus of points on the inner surface of the windshield
contactable by the sphere across the width of the instrument panel.
From the outermost contactable points, extend the locus line
horizontally to the edges of the glazing material.
(c) Draw a line on the inner surface of the windshield below and
one-half inch distant from the locus line.
(d) The lower edge of the protected zone is the longitudinal
projection onto the outer surface of the windshield of the line
determined in S6.1(c).
S6.2 The protected zone is the space enclosed by the following
surfaces, as shown in Figure 1:
(a) The outer surface of the windshield in its precrash
configuration.
(b) The locus of points 3 inches outward along perpendiculars drawn
to each point on the outer surface of the windshield.
(c) The locus of lines forming a 45 angle with the outer surface of
the windshield at each point along the top and side edges of the outer
surface of the windshield and the lower edge of the protected zone
determined in S6.1, in the plane perpendicular to the edge at that
point.
S6.3 A template is cut or formed from Styrofoam, type DB, cut cell,
to the dimensions of the zone as determined in S6.2. The template is
affixed to the windshield so that it delineates the protected zone and
remains affixed throughout the crash test.
S7. Test conditions. The requirement of S5. shall be met under the
following conditions:
S7.1 The protected zone template is affixed to the windshield in the
manner described in S6.
S7.2 The hood, hood latches, and any other hood retention components
are engaged prior to the barrier crash.
S7.3 Adjustable cowl tops or other adjustable panels in front of the
windshield are in the position used under normal operating conditions
when windshield wiping systems are not in use.
S7.4 The parking brake is disengaged and the transmission is in
neutral.
S7.5 Tires are inflated to the vehicle manufacturer's specifications.
S7.6 The fuel tank is filled to any level from 90 to 95 per cent of
capacity.
S7.7 The vehicle, including test devices and instrumentation, is
loaded as follows:
(a) Except as specified in S7.6, a passenger car is loaded to its
unloaded vehicle weight plus its rated cargo and luggage capacity
weight, secured in the luggage area, plus a 50th-percentile test dummy
as specified in Part 572 of this chapter at each front outboard
designated seating position and at any other position whose protection
system is required to be tested by a dummy under the provisions of
Standard No. 208. Each dummy is restrained only by means that are
installed for protection at its seating position.
(b) Except as specified in S7.6, a multipurpose passenger vehicle,
truck or bus is loaded to its unloaded vehicle weight, plus 300 pounds
or its rated cargo and luggage capacity, whichever is less, secured to
the vehicle, plus a 50th-percentile test dummy as specified in Part 572
of this chapter at each front outboard designated seating position and
at any other position whose protection system is required to be tested
by a dummy under the provisions of Standard No. 208. Each dummy is
restrained only by means that are installed for protection at its
seating position. The load is distributed so that the weight on each
axle as measured at the tire-ground interface is in proportion to its
GAWR. If the weight on any axle when the vehicle is loaded to its
unloaded vehicle weight plus dummy weight exceeds the axle's
proportional share of the test weight, the remaining weight is placed so
that the weight on that axle remains the same. For the purposes of this
section, unloaded vehicle weight does not include the weight of
work-performing accessories. Vehicles are tested to a maximum unloaded
vehicle weight of 5,500 pounds.
(40 FR 25462, June 16, 1975, as amended at 40 FR 53033, Nov. 14,
1975; 41 FR 54946, Dec. 16, 1976; 45 FR 22046, Apr. 3, 1980)
49 CFR 571.220Standard No. 220; School bus rollover protection.
S1. Scope. This standard establishes performance requirements for
school bus rollover protection.
S2. Purpose. The purpose of this standard is to reduce the number of
deaths and the severity of injuries that result from failure of the
school bus body structure to withstand forces encountered in rollover
crashes.
S3. Applicability. This standard applies to school buses.
S4. Requirements. When a force equal to 1 1/2 times the unloaded
vehicle weight is applied to the roof of the vehicle's body structure
through a force application plate as specified in S5., Test procedures
--
(a) The downward vertical movement at any point on the application
plate shall not exceed 5 1/8 inches; and
(b) Each emergency exit of the vehicle provided in accordance with
Standard No. 217 ( 571.217) shall be capable of opening as specified in
that standard during the full application of the force and after release
of the force, except that an emergency exit located in the roof of the
vehicle is not required to be capable of being opened during the
application of the force. A particular vehicle (i.e., test specimen)
need not meet the emergency exit opening requirement after release of
force if it is subjected to the emergency exit opening requirements
during the full application of the force.
S5. Test procedures. Each vehicle shall be capable of meeting the
requirements of S4. when tested in accordance with the procedures set
forth below.
S5.1 With any non-rigid chassis-to-body mounts replaced with
equivalent rigid mounts, place the vehicle on a rigid horizontal surface
so that the vehicle is entirely supported by means of the vehicle frame.
If the vehicle is constructed without a frame, place the vehicle on its
body sills. Remove any components which extend upward from the vehicle
roof.
S5.2 Use a flat, rigid, rectangular force application plate that is
measured with respect to the vehicle roof longitudinal and lateral
centerlines,
(a) In the case of a vehicle with a GVWR of more than 10,000 pounds,
12 inches shorter than the vehicle roof and 36 inches wide; and
(b) In the case of a vehicle with a GVWR of 10,000 pounds or less, 5
inches longer and 5 inches wider than the vehicle roof. For purposes of
these measurements, the vehicle roof is that structure, seen in the top
projected view, that coincides with the passenger and driver compartment
of the vehicle.
S5.3 Position the force application plate on the vehicle roof so that
its rigid surface is perpendicular to a vertical longitudinal plane and
it contacts the roof at not less than two points, and so that, in the
top projected view, its longitudinal centerline coincides with the
longitudinal centerline of the vehicle, and its front and rear edges are
an equal distance inside the front and rear edges of the vehicle roof at
the centerline.
S5.4 Apply an evenly-distributed vertical force in the downward
direction to the force application plate at any rate not more than 0.5
inch per second, until a force of 500 pounds has been applied.
S5.5 Apply additional vertical force in the downward direction to the
force application plate at a rate of not more than 0.5 inch per second
until the force specified in S4. has been applied, and maintain this
application of force.
S5.6 Measure the downward movement of any point on the force
application plate which occurred during the application of force in
accordance with S5.5.
S5.7 To test the capability of the vehicle's emergency exits to open
in accordance with S4.(b) --
(a) In the case of testing under the full application of force, open
the emergency exits as specified in S4.(b) while maintaining the force
applied in accordance with S5.4 and S5.5; and
(b) In the case of testing after the release of all force, release
all downward force applied to the force application plate and open the
emergency exits as specified in S4.(b).
S6. Test conditions. The following conditions apply to the
requirements specified in S4.
S6.1 Temperature. The ambient temperature is any level between 32 F.
and 90 F.
S6.2 Windows and doors. Vehicle windows, doors, and emergency exits
are in the fully-closed position, and latched but not locked.
(41 FR 3875, Jan. 27, 1976, as amended at 41 FR 36026, 36027, Aug.
26, 1976)
49 CFR 571.221Standard No. 221; School bus body joint strength.
S1. Scope. This standard establishes requirements for the strength of
the body panel joints in school bus bodies.
S2. Purpose. The purpose of this standard is to reduce deaths and
injuries resulting from the structural collapse of school bus bodies
during crashes.
S3. Application. This standard applies to school buses with gross
vehicle weight ratings of more than 10,000 pounds.
S4. Definitions. Body component means a part of a bus body made from
a single piece of homogeneous material or from a single piece of
composite material such as plywood.
Body panel means a body component used on the exterior or interior
surface to enclose the bus' occupant space.
Body panel joint means the area of contact or close proximity between
the edges of a body panel and another body component, excluding spaces
designed for ventilation or another functional purpose, and excluding
doors, windows, and maintenance access panels.
Bus body means the portion of a bus that encloses the bus's occupant
space, exclusive of the bumpers, the chassis frame, and any structure
forward of the forwardmost point of the windshield mounting.
S5. Requirement. When tested in accordance with the procedure of S6.,
each body panel joint shall be capable of holding the body panel to the
member to which it is joined when subjected to a force of 60% of the
tensile strength of the weakest joined body panel determined pursuant to
S6.2.
S6. Procedure.
S6.1 Preparation of the test specimen.
S6.1.1 If a body panel joint is 8 inches long or longer, cut a test
specimen that consists of any randomly selected 8-inch segment of the
joint, together with a portion of the bus body whose dimensions, to the
extent permitted by the size of the joined parts, are those specified in
Figure 1, so that the specimen's centerline is perpendicular to the
joint at the midpoint of the joint segment. Where the body panel joint
is not fastened continuously, select the segment so that it does not
bisect a spot weld or a discrete fastener.
S6.1.2 If a joint is less than 8 inches long, cut a test specimen
with enough of the adjacent material to permit it to be held in the
tension testing machine specified in S6.3.
S6.1.3 Prepare the test specimen in accordance with the preparation
procedures specified in the 1973 edition of the Annual Book of ASTM
Standards, published by the American Society for Testing and Materials,
1916 Race Street, Philadelphia, Pennsylvania 19103.
S6.2 Determination of minimum allowable strength. For purposes of
determining the minimum allowable joint strength, determine the tensile
strengths of the joined body components as follows:
49 CFR 571.221
(a) If the mechanical properties of a material are specified by the
American Society for Testing and Materials, the relative tensile
strength for such a material is the minimum tensile strength specified
for that material in the 1973 edition of the Annual Book of ASTM
Standards.
(b) If the mechanical properties of a material are not specified by
the American Society for Testing and Materials, determine its tensile
strength by cutting a specimen from the bus body outside the area of the
joint and by testing it in accordance with S6.3.
S6.3 Strength test.
S6.3.1 Grip the joint specimen on opposite sides of the joint in a
tension testing machine calibrated in accordance with Method E4,
Verification of Testing Machines, of the American Society for Testing
and Materials (1973 Annual Book of ASTM Standards).
S6.3.2 Adjust the testing machine grips so that the joint, under
load, will be in stress approximately perpendicular to the joint.
S6.3.3 Apply a tensile force to the specimen by separating the heads
of the testing machine at any uniform rate not less than 1/8 inch and
not more than 3/8-inch per minute until the specimen separates.
(41 FR 3872, Jan. 27, 1976, as amended at 41 FR 36027, Aug. 26, 1976)
49 CFR 571.222Standard No. 222; School bus passenger seating and
crash protection.
S1. Scope. This standard establishes occupant protection requirements
for school bus passenger seating and restraining barriers.
S2. Purpose. The purpose of this standard is to reduce the number of
deaths and the severity of injuries that result from the impact of
school bus occupants against structures within the vehicle during
crashes and sudden driving maneuvers.
S3. Application. This standard applies to school buses.
S4. Definitions. Contactable surface means any surface within the
zone specified in S.5.3.1.1 that is contactable from any direction by
the test device described in S6.6, except any surface on the front of a
seat back or restraining barrier 3 inches or more below the top of the
seat back or restraining barrier.
School bus passenger seat means a seat in a school bus, other than
the driver's seat or a seat installed to accommodate handicapped or
convalescent passengers as evidenced by orientation of the seat in a
direction that is more than 45 degrees to the left or right of the
longitudinal centerline of the vehicle.
S4.1 The number of seating positions considered to be in a bench seat
is expressed by the symbol W, and calculated as the bench width in
inches divided by 15 and rounded to the nearest whole number.
S5. Requirements. (a) Each vehicle with a gross vehicle weight rating
of more than 10,000 pounds shall be capable of meeting any of the
requirements set forth under this heading when tested under the
conditions of S6. However, a particular school bus passenger seat
(i.e., test specimen) in that weight class need not meet further
requirements after having met S5.1.2 and S5.1.5, or having been
subjected to either S5.1.3, S5.1.4, or S5.3.
(b) Each vehicle with a gross vehicle weight rating of 10,000 pounds
or less shall be capable of meeting the following requirements at all
seating positions other than the driver's seat:
(1)(A) In the case of vehicles manufactured before September 1, 1991,
the requirements of 571.208, 571.209, and 571.210 as they apply to
multipurpose passenger vehicles; or
(B) In the case of vehicles manufactured on or after September 1,
1991, the requirements of S4.4.3.3 of 571.208 and the requirements of
571.209 and 571.210 as they apply to school buses with a gross vehicle
weight rating of 10,000 pounds or less; and
(2) The requirements of S5.1.2, S5.1.3, S5.1.4, S5.1 5, and S5.3 of
this standard. However, the requirements of 571.208 and 571.210 shall
be met at W seating positions in a bench seat using a body block as
specified in Figure 2 of this standard, and a particular school bus
passenger seat (i.e., a test specimen) in that weight class need not
meet further requirements after having met S5.1.2 and S5.1.5, or after
having been subjected to either S5.1.3, S5.1.4, or S5.3 of this standard
or 571.210.
S5.1 Seating requirements. School bus passenger seats shall be
forward facing.
S5.1.1 (Reserved)
S5.1.2 Seat back height and surface area. Each school bus passenger
seat shall be equipped with a seat back that, in the front projected
view, has a front surface area above the horizontal plane that passes
through the seating reference point, and below the horizontal plane 20
inches above the seating reference point, of not less than 90 percent of
the sea bench width in inches multiplied by 20.
S5.1.3 Seat performance forward. When a school bus passenger seat
that has another seat behind it is subjected to the application of force
as specified in S5.1.3.1 and S5.1.3.2, and subsequently, the application
of additional force to the seat back as specified in S5.1.3.3 and
S5.1.3.4:
(a) The seat back force/deflection curve shall fall within the zone
specified in Figure 1;
(b) Seat back deflection shall not exceed 14 inches; (for
determination of (a) and (b) the force/deflection curve describes only
the force applied through the upper loading bar, and only the forward
travel of the pivot attachment point of the upper loading bar, measured
from the point at which the initial application of 10 pounds of force is
attained.)
(c) The seat shall not deflect by an amount such that any part of the
seat moves to within 4 inches of any part of another school bus
passenger seat or restraining barrier in its originally installed
position;
(d) The seat shall not separate from the vehicle at any attachment
point; and
(e) Seat components shall not separate at any attachment point.
S5.1.3.1 Position the loading bar specified in S6.5 so that it is
laterally centered behind the seat back with the bar's longitudinal axis
in a transverse plane of the vehicle and in any horizontal plane between
4 inches above and 4 inches below the seating reference point of the
school bus passenger seat behind the test specimen.
S5.1.3.2 Apply a force of 700W pounds horizontally in the forward
direction through the loading bar at the pivot attachment point. Reach
the specified load in not less than 5 nor more than 30 seconds.
S5.1.3.3 No sooner than 1.0 second after attaining the required
force, reduce that force to 350W pounds and, while maintaining the pivot
point position of the first loading bar at the position where the 350W
pounds is attained, position a second loading bar described in S6.5 so
that it is laterally centered behind the seat back with the bar's
longitudinal axis in a transverse plane of the vehicle and in the
horizontal plane 16 inches above the seating reference point of the
school bus passenger seat behind the test specimen, and move the bar
forward against the seat back until a force of 10 pounds has been
applied.
S5.1.3.4 Apply additional force horizontally in the forward direction
through the upper bar until 4,000W inch-pounds of energy have been
absorbed in deflecting the seat back (or restraining barrier). Apply
the additional load in not less than 5 seconds nor more than 30 seconds.
Maintain the pivot attachment point in the maximum forward travel
position for not less than 5 seconds nor more than 10 seconds and
release the load in not less than 5 nor more than 30 seconds. (For the
determination of S5.1.3.4 the force/deflection curve describes only the
force applied through the upper loading bar, and the forward and
rearward travel distance of the upper loading bar pivot attachment point
measured from the position at which the initial application of 10 pounds
of force is attained.)
S5.1.4 Seat performance rearward. When a school bus passenger seat
that has another seat behind it is subjected to the application of force
as specified in S5.1.4.1 and S5.1.4.2:
(a) Seat back force shall not exceed 2,200 pounds;
(b) In the case of a school bus manufactured on or after April 1,
1978, seat back deflection shall not exceed 10 inches; (For
determination of (a) and (b) the force/deflection curve describes only
the force applied through the loading bar, and only the rearward travel
of the pivot attachment point of the loading bar, measured from the
point at which the initial application of 50 pounds of force is
attained.
(c) The seat shall not deflect by an amount such that any part of the
seat moves to within 4 inches of any part of another passenger seat in
its originally installed position;
(d) The seat shall not separate from the vehicle at any attachment
point; and
(e) Seat components shall not separate at any attachment point.
S5.1.4.1 Position the loading bar described in S6.5 so that it is
laterally centered forward of the seat back with the bar's longitudinal
axis in a transverse plane of the vehicle and in the horizontal plane
13.5 inches above the seating reference point of the test specimen, and
move the loading bar rearward against the seat back until a force of 50
pounds has been applied.
S5.1.4.2 Apply additional force horizontally rearward through the
loading bar until 2,800W inch-pounds of energy has been absorbed in
deflecting the seat back. Apply the additional load in not less than 5
seconds nor more than 30 seconds. Maintain the pivot attachment point
in the maximum rearward travel position for not less than 5 seconds nor
more than 10 seconds and release the load in not less than 5 seconds nor
more than 30 seconds. (For determination of S5.1.4.2 the
force/deflection curve describes the force applied through the loading
bar and the rearward and forward travel distance of the loading bar
pivot attachment point measured from the position at which the initial
application of 50 pounds of force is attained.)
S5.1.5 Seat cushion retention. In the case of school bus passenger
seats equipped with seat cushions, with all manual attachment devices
between the seat and the seat cushion in the manufacturer's designed
position for attachment, the seat cushion shall not separate from the
seat at any attachment point when subjected to an upward force of five
times the seat cushion weight, applied in any period of not less than 1
nor more than 5 seconds, and maintained for 5 seconds.
S5.2 Restraining barrier requirements. Each vehicle shall be
equipped with a restraining barrier forward of any designated seating
position that does not have the rear surface of another school bus
passenger seat within 24 inches of its seating reference point, measured
along a horizontal longitudinal line through the seating reference point
in the forward direction.
S5.2.1 Barrier-seat separation. The horizontal distance between the
restraining barrier's rear surface and the seating reference point of
the seat in front of which the barrier is required shall not be more
than 24 inches measured along a horizontal longitudinal line through the
seating reference point in the forward direction.
S5.2.2 Barrier position and rear surface area. The position and rear
surface area of the restraining barrier shall be such that, in a front
projected view of the bus, each point of the barrier's perimeter
coincides with or lies outside of the perimeter of the seat back of the
seat for which it is required.
S5.2.3 Barrier performance forward. When force is applied to the
restraining barrier in the same manner as specified in S5.1.3.1 through
S5.1.3.4 for seating performance tests:
(a) The restraining barrier force/deflection curve shall fall within
the zone specified in Figure 1;
(b) Restraining barrier deflection shall not exceed 14 inches; (For
computation of (a) and (b) the force/deflection curve describes only the
force applied through the upper loading bar, and only the forward travel
of the pivot attachment point of the loading bar, measured from the
point at which the initial application of 10 pounds of force is
attained.)
(c) Restraining barrier deflection shall not interfere with normal
door operation;
(d) The restraining barrier shall not separate from the vehicle at
any attachment point; and
(e) Restraining barrier components shall not separate at any
attachment point.
S5.3 Impact zone requirements.
S5.3.1 Head protection zone. Any contactable surface of the vehicle
within any zone specified in S5.3.1.1 shall meet the requirements of
S5.3.1.2 and S5.3.1.3. However, a surface area that has been contacted
pursuant to an impact test need not meet further requirements contained
in S5.3.
S5.3.1.1 The head protection zones in each vehicle are the spaces in
front of each school bus passenger seat which are not occupied by bus
sidewall, window, or door structure and which, in relation to that seat
and its seating reference point, are enclosed by the following planes;
(a) Horizontal planes 12 inches and 40 inches above the seating
reference point;
(b) A vertical longitudinal plane tangent to the inboard (aisle side)
edge of the seat;
(c) A vertical longitudinal plane 3.25 inches inboard of the outboard
edge of the seat, and
(d) Vertical transverse planes through and 30 inches forward of the
reference point.
S5.3.1.2 Head form impact requirement. When any contactable surface
of the vehicle within the zones specified in S5.3.1.1 is impacted from
any direction at 22 feet per second by the head form described in S6.6,
the axial acceleration at the center of gravity of the head form shall
be such that the expression
shall not exceed 1,000 where a is the axial acceleration expressed as
a multiple of g (the acceleration due to gravity), and t1 and t2 are any
two points in time during the impact.
S5.3.1.3 Head form force distribution. When any contactable surface
of the vehicle within the zones specified in S5.3.1.1 is impacted from
any direction at 22 feet per second by the head form described in S6.6,
the energy necessary to deflect the impacted material shall be not less
than 40 inch-pounds before the force level on the head form exceeds 150
pounds. When any contactable surface within such zones is impacted by
the head form from any direction at 5 feet per second, the contact area
on the head form surface shall be not less than 3 square inches.
S5.3.2 Leg protection zone. Any part of the seat backs or
restraining barriers in the vehicle within any zone specified in
S5.3.2.1 shall meet the requirements of S5.3.2.2.
S5.3.2.1 The leg protection zones of each vehicle are those parts of
the school bus passenger seat backs and restraining barriers bounded by
horizontal planes 12 inches above and 4 inches below the seating
reference point of the school bus passenger seat immediately behind the
seat back or restraining barrier.
S5.3.2.2 When any point on the rear surface of that part of a seat
back or restraining barrier within any zone specified in S5.3.2.1 is
impacted from any direction at 16 feet per second by the knee form
specified in S6.7, the resisting force of the impacted material shall
not exceed 600 pounds and the contact area on the knee form surface
shall not be less than 3 square inches.
S6. Test conditions. The following conditions apply to the
requirements specified in S5.
S6.1 Test surface. The bus is at rest on a level surface.
S6.2 Tires. Tires are inflated to the pressure specified by the
manufacturer for the gross vehicle weight rating.
S6.3 Temperature. The ambient temperature is any level between 32
degrees F. and 90 degrees F.
S6.4 Seat back position. If adjustable, a seat back is adjusted to
its most upright position.
S6.5 Loading bar. The loading bar is a rigid cylinder with an
outside diameter of 6 inches that has hemispherical ends with radii of 3
inches and with a surface roughness that does not exceed 63
micro-inches, root mean square. The length of the loading bar is 4
inches less than the width of the seat back in each test. The stroking
mechanism applies force through a pivot attachment at the centerpoint of
the loading bar which allows the loading bar to rotate in a horizontal
plane 30 degrees in either direction from the transverse position.
S6.5.1 A vertical or lateral force of 4,000 pounds applied externally
through the pivot attachment point of the loading bar at any position
reached during a test specified in this standard shall not deflect that
point more than 1 inch.
S6.6 Head form. The head form for the measurement of acceleration is
a rigid surface comprised of two hemispherical shapes, with total
equivalent weight of 11.5 pounds. The first of the two hemispherical
shapes has a diameter of 6.5 inches. The second of the two hemispherical
shapes has a 2 inch diameter and is centered as shown in Figure 3 to
protrude from the outer surface of the first hemispherical shape. The
surface roughness of the hemispherical shapes does not exceed 63
micro-inches, root mean square.
S6.6.1 The direction of travel of the head form is coincidental with
the straight line connecting the centerpoints of the two spherical outer
surfaces which constitute the head form shape.
S6.6.2 The head form is instrumented with an acceleration sensing
device whose output is recorded in a data channel that conforms to the
requirements for a 1,000 Hz channel class as specified in SAE
Recommended Practice J211a, December 1971. The head form exhibits no
resonant frequency below three times the frequency of the channel class.
The axis of the acceleration sensing device coincides with the straight
line connecting the centerpoints of the two hemispherical outer surfaces
which constitute the head form shape.
S6.6.3 The head form is guided by a stroking device so that the
direction of travel of the head form is not affected by impact with the
surface being tested at the levels called for in the standard.
S6.7 Knee form. The knee form for measurement of force is a rigid
3-inch-diameter cylinder, with an equivalent weight of 10 pounds, that
has one rigid hemispherical end with a 1 1/2 inch radius forming the
contact surface of the knee form. The hemispherical surface roughness
does not exceed 63 micro-inches, root mean square.
S6.7.1 The direction of travel of the knee form is coincidental with
the centerline of the rigid cylinder.
S6.7.2 The knee form is instrumented with an acceleration sensing
device whose output is recorded in a data channel that conforms to the
requirements of a 600 Hz channel class as specified in the SAE
Recommended Practice J211a, December 1971. The knee form exhibits no
resonant frequency below three times the frequency of the channel class.
The axis of the acceleration sensing device is aligned to measure
acceleration along the centerline of the cylindrical knee form.
S6.7.3 The knee form is guided by a stroking device so that the
direction of travel of the knee form is not affected by impact with the
surface being tested at the levels called for in the standard.
S6.8 The head form, knee form, and contactable surfaces are clean and
dry during impact testing.
(41 FR 4018, Jan. 28, 1976, as amended at 41 FR 28528, July 12, 1976;
41 FR 36027, Aug. 26, 1976; 41 FR 54945, Dec. 16, 1976; 42 FR 64120,
Dec. 22, 1977; 43 FR 9150, Mar. 6, 1978; 44 FR 18675, Mar. 29, 1979;
48 FR 12386, Mar. 24, 1983; 54 FR 46268, Nov. 2, 1989)
49 CFR 571.301Standard No. 301; Fuel system integrity.
S1. Scope. This standard specifies requirements for the integrity of
motor vehicle fuel systems.
S2. Purpose. The purpose of this standard is to reduce deaths and
injuries occurring from fires that result from fuel spillage during and
after motor vehicle crashes.
S3. Application. This standard applies to passenger cars, and to
multipurpose passenger vehicles, trucks and buses that have a GVWR of
10,000 pounds or less and use fuel with a boiling point above 32 F, and
to school buses that have a GVWR greater than 10,000 pounds and use fuel
with a boiling point above 32 F.
S4. Definition. Fuel spillage means the fall, flow, or run of fuel
from the vehicle but does not include wetness resulting from capillary
action.
S5. General requirements.
S5.1 Passenger cars. Each passenger car manufactured from September
1, 1975, to August 31, 1976, shall meet the requirements of S6.1 in a
perpendicular impact only, and S6.4. Each passenger car manufactured on
or after September 1, 1976, shall meet all the requirements of S6,
except S6.5.
S5.2 Vehicles with GVWR of 6,000 pounds or less. Each multipurpose
passenger vehicle, truck, and bus with a GVWR of 6,000 pounds or less
manufactured from September 1, 1976, to August 31, 1977, shall meet all
the requirements of S6.1 in a perpendicular impact only, S6.2, and S6.4.
Each of these types of vehicles manufactured on or after September 1,
1977, shall meet all the requirements of S6., except S6.5.
S5.3 Vehicles with GVWR of more than 6,000 pounds but not more than
10,000 pounds. Each multipurpose passenger vehicle, truck, and bus with
a GVWR of more than 6,000 pounds but not more than 10,000 pounds
manufactured from September 1, 1976, to August 31, 1977, shall meet the
requirements of S6.1 in a perpendicular impact only. Each vehicle
manufactured on or after September 1, 1977, shall meet all the
requirements of S6., except S6.5.
S5.4 Schoolbuses with a GVWR greater than 10,000 pounds. Each
schoolbus with a GVWR greater than 10,000 pounds manufactured on or
after April 1, 1977, shall meet the requirements of S6.5.
S5.5 Fuel spillage: Barrier crash. Fuel spillage in any fixed or
moving barrier crash test shall not exceed 1 ounce by weight from impact
until motion of the vehicle has ceased, and shall not exceed a total of
5 ounces by weight in the 5-minute period following cessation of motion.
For the subsequent 25-minute period (for vehicles manufactured before
September 1, 1976, other than school buses with a GVWR greater than
10,000 pounds: the subsequent 10-minute period), fuel spillage during
any 1-minute interval shall not exceed 1 ounce by weight.
S5.6 Fuel spillage: Rollover. Fuel spillage in any rollover test,
from the onset of rotational motion, shall not exceed a total of 5
ounces by weight for the first 5 minutes of testing at each successive
90 increment. For the remaining testing period, at each increment of
90 fuel spillage during any 1-minute interval shall not exceed 1 ounce
by weight.
S6. Test requirements. Each vehicle with a GVWR of 10,000 pounds or
less shall be capable of meeting the requirements of any applicable
barrier crash test followed by a static rollover, without alteration of
the vehicle during the test sequence. A particular vehicle need not
meet further requirements after having been subjected to a single
barrier crash test and a static rollover test.
S6.1 Frontal barrier crash. When the vehicle traveling
longitudinally forward at any speed up to and including 30 mph impacts a
fixed collision barrier that is perpendicular to the line of travel of
the vehicle, or at any angle up to 30 in either direction from the
perpendicular to the line of travel of the vehicle, with 50th-percentile
test dummies as specified in Part 572 of this chapter at each front
outboard designated seating position and at any other position whose
protection system is required to be tested by a dummy under the
provisions of Standard No. 208, under the applicable conditions of S7.,
fuel spillage shall not exceed the limits of S5.5.
S6.2 Rear moving barrier crash. When the vehicle is impacted from
the rear by a barrier moving at 30 mph, with test dummies as specified
in Part 572 of this chapter at each front outboard designated seating
position, under the applicable conditions of S7., fuel spillage shall
not exceed the limits of S5.5.
S6.3 Lateral moving barrier crash. When the vehicle is impacted
laterally on either side by a barrier moving at 20 mph with
50th-percentile test dummies as specified in Part 572 of this chapter at
positions required for testing to Standard No. 208, under the
applicable conditions of S7., fuel spillage shall not exceed the limits
of S5.5.
S6.4 Static rollover. When the vehicle is rotated on its
longitudinal axis to each successive increment of 90 , following an
impact crash of S6.1, S6.2, or S6.3, fuel spillage shall not exceed the
limits of S5.6.
S6.5 Moving contoured barrier crash. When the moving contoured
barrier assembly traveling longitudinally forward at any speed up to and
including 30 mph impacts the test vehicle (schoolbus with a GVWR
exceeding 10,000 pounds) at any point and angle, under the applicable
conditions of S7.1 and S7.5, fuel spillage shall not exceed the limits
of S5.5.
S7. Test conditions. The requirements of S5. and S6. shall be met
under the following conditions. Where a range of conditions is
specified, the vehicle must be capable of meeting the requirements at
all points within the range.
S7.1 General test conditions. The following conditions apply to all
tests.
S7.1.1 The fuel tank is filled to any level from 90 to 95 percent of
capacity with Stoddard solvent, having the physical and chemical
properties of type 1 solvent, Table I ASTM Standard D484-71, ''Standard
Specifications for Hydrocarbon Dry Cleaning Solvents.''
S7.1.2 The fuel system other than the fuel tank is filled with
Stoddard solvent to its normal operating level.
S7.1.3 In meeting the requirements of S6.1 through S6.3, if the
vehicle has an electrically driven fuel pump that normally runs when the
vehicle's electrical system is activated, it is operating at the time of
the barrier crash.
S7.1.4 The parking brake is disengaged and the transmission is in
neutral, except that in meeting the requirements of S6.5 the parking
brake is set.
S7.1.5 Tires are inflated to manufacturer's specifications.
S7.1.6 The vehicle, including test devices and instrumentation, is
loaded as follows:
(a) Except as specified in S7.1.1, a passenger car is loaded to its
unloaded vehicle weight plus its rated cargo and luggage capacity
weight, secured in the luggage area, plus the necessary test dummies as
specified in S6., restrained only by means that are installed in the
vehicle for protection at its seating position.
(b) Except as specified in S7.1.1, a multipurpose passenger vehicle,
truck, or bus with a GVWR of 10,000 pounds or less is loaded to its
unloaded vehicle weight, plus the necessary test dummies, as specified
in S6., plus 300 pounds or its rated cargo and luggage capacity weight,
whichever is less, secured to the vehicle and distributed so that the
weight on each axle as measured at the tire-ground interface is in
proportion to its GAWR. If the weight on any axle, when the vehicle is
loaded to unloaded vehicle weight plus dummy weight, exceeds the axle's
proportional share of the test weight, the remaining weight shall be
placed so that the weight on that axle remains the same. Each dummy
shall be restrained only by means that are installed in the vehicle for
protection at its seating position.
(c) Except as specified in S7.1.1, a schoolbus with a GVWR greater
than 10,000 pounds is loaded to its unloaded vehicle weight, plus 120
pounds of unsecured weight at each designated seating position.
S7.2 Lateral moving barrier crash test conditions. The lateral
moving barrier crash test conditions are those specified in S8.2 of
Standard No. 208, 49 CFR 571.208.
S7.3 Rear moving barrier test conditions. The rear moving barrier
test conditions are those specified in S8.2 of Standard No. 208, 49 CFR
571.208, except for the positioning of the barrier and the vehicle. The
barrier and test vehicle are positioned so that at impact --
(a) The vehicle is at rest in its normal attitude:
(b) The barrier is traveling at 30 mph with its face perpendicular to
the longitudinal centerline of the vehicle; and
(c) A vertical plane through the geometric center of the barrier
impact surface and perpendicular to that surface coincides with the
longitudinal centerline of the vehicle.
S7.4 Static rollover test conditions. The vehicle is rotated about
its longitudinal axis, with the axis kept horizontal, to each successive
increment of 90 , 180 , and 270 at a uniform rate, with 90 of rotation
taking place in any time interval from 1 to 3 minutes. After reaching
each 90 increment the vehicle is held in that position for 5 minutes.
S7.5 Moving contoured barrier test conditions. The following
conditions apply to the moving contoured barrier crash test.
S7.5.1 The moving barrier, which is mounted on a carriage as
specified in figure 1, is of rigid construction, symmetrical about a
vertical longitudinal plane. The contoured impact surface, which is
24.75 inches high and 78 inches wide, conforms to the dimensions shown
in Figure 2, and is attached to the carriage as shown in that figure.
The ground clearance to the lower edge of the impact surface is 5.25
0.5 inches. The wheelbase is 120 2 inches.
S7.5.2 The moving contoured barrier, including the impact surface,
supporting structure, and carriage, weighs 4,000 50 pounds with the
weight distributed so that 900 25 pounds is at each rear wheel and
1100 25 pounds is at each front wheel. The center of gravity is
located 54.0 1.5 inches rearward of the front wheel axis, in the
vertical longitudinal plane of symmetry, 15.8 inches above the ground.
The moment of inertia about the center of gravity is:
Ix =271 13.6 slug ft. 2
Iz =3475 174 slug ft. 2
S7.5.3 The moving contoured barrier has a solid nonsteerable front
axle and fixed rear axle attached directly to the frame rails with no
spring or other type of suspension system on any wheel. (The moving
barrier assembly is equipped with a braking device capable of stopping
its motion.)
S7.5.4 The moving barrier assembly is equipped with G78-15 pneumatic
tires with a tread width of 6.0 1 inch, inflated to 24 psi.
S7.5.5 The concrete surface upon which the vehicle is tested is
level, rigid, and of uniform construction, with a skid number of 75 when
measured in accordance with American Society of Testing and Materials
Method E-274-65T at 40 mph, omitting water delivery as specified in
paragraph 7.1 of that method.
S7.5.6 The barrier assembly is released from the guidance mechanism
immediately prior to impact with the vehicle.
Insert ILLUS. 145A
Insert Illustration 0 843
(40 FR 48353, Oct. 15, 1975. Redesignated and amended at 41 FR 9350,
Mar. 4, 1976; 41 FR 36026, 36027, Aug. 26, 1976; 53 FR 8204, Mar. 14,
1988; 53 FR 49990, Dec. 13, 1988)
49 CFR 571.302Standard No. 302; Flammability of interior materials.
S1. Scope. This standard specifies burn resistance requirements for
materials used in the occupant compartments of motor vehicles.
S2. Purpose. The purpose of this standard is to reduce the deaths and
injuries to motor vehicle occupants caused by vehicle fires, especially
those originating in the interior of the vehicle from sources such as
matches or cigarettes.
S3. Application. This standard applies to passenger cars,
multipurpose passenger vehicles, trucks, and buses.
S3A. Definitions. Occupant compartment air space means the space
within the occupant compartment that normally contains refreshable air.
S4. Requirements.
S4.1 The portions described in S4.2 of the following components of
vehicle occupant compartments shall meet the requirements of S4.3: Seat
cushions, seat backs, seat belts, headlining, convertible tops, arm
rests, all trim panels including door, front, rear, and side panels,
compartment shelves, head restraints, floor coverings, sun visors,
curtains, shades, wheel housing covers, engine compartment covers,
mattress covers, and any other interior materials, including padding and
crash-deployed elements, that are designed to absorb energy on contact
by occupants in the event of a crash.
S4.1.1 (Reserved)
S4.2 Any portion of a single or composite material which is within
1/2 inch of the occupant compartment air space shall meet the
requirements of S4.3.
S4.2.1 Any material that does not adhere to other material(s) at
every point of contact shall meet the requirements of S4.3 when tested
separately.
S4.2.2 Any material that adheres to other material(s) at every point
of contact shall meet the requirements of S4.3 when tested as a
composite with the other material(s). I83Illustrative Example
Material A has a non-adhering interface with material B and is tested
separately. Part of material B is within 1/2 inch of the occupant
compartment air space, and materials B and C adhere at every point of
contact; therefore B and C are tested as a composite. The cut is in
material C as shown, to make a specimen 1/2 inch thick.
S4.3(a) When tested in accordance with S5, material described in S4.1
and S4.2 shall not burn, nor transmit a flame front across its surface,
at a rate of more than 4 inches per minute. However, the requirement
concerning transmission of a flame front shall not apply to a surface
created by the cutting of a test specimen for purposes of testing
pursuant to S5.
(b) If a material stops burning before it has burned for 60 seconds
from the start of timing, and has not burned more than 2 inches from the
point where timing was started, it shall be considered to meet the
burn-rate requirement of S4.3(a).
S5. Test procedure.
S5.1 Conditions.
S5.1.1 The test is conducted in a metal cabinet for protecting the
test specimens from drafts. The interior of the cabinet is 15 inches
long, 8 inches deep, and 14 inches high. It has a glass observation
window in the front, a closable opening to permit insertion of the
specimen holder, and a hole to accommodate tubing for a gas burner. For
ventilation, it has a 1/2-inch clearance space around the top of the
cabinet, ten 3/4-inch-diameter holes in the base of the cabinet, and
legs to elevate the bottom of the cabinet by three-eighths of an inch,
all located as shown in Figure 1.
49 CFR 571.302
S5.1.2 Prior to testing, each specimen is conditioned for 24 hours at
a temperature of 70 F. and a relative humidity of 50 percent, and the
test is conducted under those ambient conditions.
S5.1.3 The test specimen is inserted between two matching U-shaped
frames of metal stock 1-inch wide and 3/8 of an inch high. The interior
dimensions of the U-shaped frames are 2 inches wide by 13 inches long.
A specimen that softens and bends at the flaming end so as to cause
erratic burning is kept horizontal by supports consisting of thin,
heat-resistant wires, spanning the width of the U-shaped frame under the
specimen at 1-inch intervals. A device that may be used for supporting
this type of material is an additional U-shaped frame, wider than the
U-shaped frame containing the specimen, spanned by 10 -mil wires of
heat-resistant composition at 1-inch intervals, inserted over the bottom
U-shaped frame.
S5.1.4 A bunsen burner with a tube of 3/8-inch inside diameter is
used. The gas adjusting valve is set to provide a flame, with the tube
vertical, of 1 1/2 inches in height. The air inlet to the burner is
closed.
S5.1.5 The gas supplied to the burner has a flame temperature
equivalent to that of natural gas.
S5.2 Preparation of specimens.
S5.2.1 Each specimen of material to be tested shall be a rectangle 4
inches wide by 14 inches long, wherever possible. The thickness of the
specimen is that of the single or composite material used in the
vehicle, except that if the material's thickness exceeds 1/2 inch, the
specimen is cut down to that thickness measured from the surface of the
specimen closest to the occupant compartment air space. Where it is not
possible to obtain a flat specimen because of surface curvature, the
specimen is cut to not more than 1/2 inch in thickness at any point.
The maximum available length or width of a specimen is used where either
dimension is less than 14 inches or 4 inches, respectively, unless
surrogate testing is required under S4.1.1.
S5.2.2 The specimen is produced by cutting the material in the
direction that provides the most adverse test results. The specimen is
oriented so that the surface closest to the occupant compartment air
space faces downward on the test frame.
S5.2.3 Material with a napped or tufted surface is placed on a flat
surface and combed twice against the nap with a comb having seven to
eight smooth, rounded teeth per inch.
S5.3 Procedure.
(a) Mount the specimen so that both sides and one end are held by the
U-shaped frame, and one end is even with the open end of the frame.
Where the maximum available width of a specimen is not more than 2
inches, so that the sides of the specimen cannot be held in the U-shaped
frame, place the specimen in position on wire supports as described in
S5.1.3, with one end held by the closed end of the U-shaped frame.
(b) Place the mounted specimen in a horizontal position, in the
center of the cabinet.
(c) With the flame adjusted according to S5.1.4, position the bunsen
burner and specimen so that the center of the burner tip is
three-fourths of an inch below the center of the bottom edge of the open
end of the specimen.
(d) Expose the specimen to the flame for 15 seconds.
(e) Begin timing (without reference to the period of application of
the burner flame) when the flame from the burning specimen reaches a
point 1 1/2 inches from the open end of the specimen.
(f) Measure the time that it takes the flame to progress to a point 1
1/2 inches from the clamped end of the specimen. If the flame does not
reach the specified end point, time its progress to the point where
flaming stops.
(g) Calculate the burn rate from the formula
Where:
B=Burn rate in inches per minute,
D=Length the flame travels in inches, and
T=Time in seconds for the flame to travel D inches.
(36 FR 22902, Dec. 2, 1971, as amended at 40 FR 14319, Mar. 31, 1975;
40 FR 42747, Sept. 16, 1975; 40 FR 56667, Dec. 4, 1975)
49 CFR 571.302 PART 572 -- ANTHROPOMORPHIC TEST DUMMIES
49 CFR 571.302 Subpart A -- General
Sec.
572.1 Scope.
572.2 Purpose.
572.3 Application.
572.4 Terminology.
49 CFR 571.302 Subpart B -- 50th Percentile Male
572.5 General description.
572.6 Head.
572.7 Neck.
572.8 Thorax.
572.9 Lumbar spine, abdomen, and pelvis.
572.10 Limbs.
572.11 Test conditions and instrumentation.
49 CFR 571.302 Subpart C -- 3-Year-Old Child
572.15 General description.
572.16 Head.
572.17 Neck.
572.18 Thorax.
572.19 Lumbar, spine, abdomen and pelvis.
572.20 Limbs.
572.21 Test conditions and instrumentation.
49 CFR 571.302 Subpart D -- 6-Month-Old Infant
572.25 General description.
49 CFR 571.302 Subpart E -- Hybrid III Test Dummy
572.30 Incorporated materials.
572.31 General description.
572.32 Head.
572.33 Neck.
572.34 Thorax.
572.35 Limbs.
572.36 Test conditions and instrumentation.
49 CFR 571.302 Subpart F -- Side Impact Dummy 50th Percentile Male
572.40 Incorporated materials.
572.41 General description.
572.42 Thorax.
572.43 Lumbar spine and pelvis.
572.44 Instrumentation and test conditions.
49 CFR 571.302 Subparts G-I -- (Reserved)
49 CFR 571.302 Subpart J -- 9-Month Old Child (effective February 15,
1992)
572.80 Incorporated materials.
572.81 General description.
572.82 Head.
572.83 Head-Neck.
572.84 Thorax.
572.85 Lumbar spine flexure.
572.86 Test conditions and dummy adjustment.
Authority: 15 U.S.C. 1392, 1401, 1403, and 1407; delegation of
authority at 49 CFR 1.50.
Editorial Note: For compliance provisions relating to a vehicle's
conformance with the performance requirements of Standard No. 208 (
571.208) relating to the Part 572 test dummy, see the ''Effective Date
Note'' at Subpart E of this part.
49 CFR 571.302 Subpart A -- General
49 CFR 572.1Scope.
This part describes the anthropomorphic test dummies that are to be
used for compliance testing of motor vehicles and motor vehicle
equipment with motor vehicle safety standards.
(42 FR 7151, Feb. 7, 1977)
49 CFR 572.2Purpose.
The design and performance criteria specified in this part are
intended to describe measuring tools with sufficient precision to give
repetitive and correlative results under similar test conditions and to
reflect adequately the protective performance of a vehicle or item of
motor vehicle equipment with respect to human occupants.
(38 FR 20451, Aug. 1, 1973, as amended at 42 FR 7151, Feb. 7, 1977)
49 CFR 572.3Application.
This part does not in itself impose duties or liabilities on any
person. It is a description of tools that measure the performance of
occupant protection systems required by the safety standards that
incorporate it. It is designed to be referenced by, and become a part
of, the test procedures specified in motor vehicle safety standards such
as Standard No. 208, Occupant Crash Protection.
(38 FR 20451, Aug. 1, 1973, as amended at 42 FR 7152, Feb. 7, 1977)
49 CFR 572.4Terminology.
(a) The term ''dummy,'' when used in this Subpart A, refers to any
test device described by this part. The term ''dummy,'' when used in
any other subpart of this part, refers to the particular dummy described
in that part.
(b) Terms describing parts of the dummy, such as ''head,'' are the
same as names for corresponding parts of the human body.
(c) The term ''unimodal,'' when used in Subpart C, refers to an
acceleration-time curve which has only one prominent peak.
(38 FR 20451, Aug. 1, 1973, as amended at 42 FR 7152, Feb. 7, 1977;
44 FR 76530, Dec. 27, 1979)
49 CFR 572.4 Subpart B -- 50th Percentile Male
49 CFR 572.5General description.
(a) The dummy consists of the component assemblies specified in
Figure 1, which are described in their entirety by means of
approximately 250 drawings and specifications that are grouped by
component assemblies under the following nine headings:
SA 150 M070 -- Right arm assembly
SA 150 M071 -- Left arm assembly
SA 150 M050 -- Lumbar spine assembly
SA 150 M060 -- Pelvis and abdomen assembly
SA 150 M080 -- Right leg assembly
SA 150 M081 -- Left leg assembly
SA 150 M010 -- Head assembly
SA 150 M020 -- Neck assembly
SA 150 M030 -- Shoulder-thorax assembly.
(b) The drawings and specifications referred to in this regulation
that are not set forth in full are hereby incorporated in this part by
reference. These materials are thereby made part of this regulation.
The Director of the Federal Register has approved the materials
incorporated by reference. For materials subject to change, only the
specific version approved by the Director of the Federal Register and
specified in the regulation are incorporated. A notice of any change
will be published in the Federal Register. As a convenience to the
reader, the materials incorporated by reference are listed in the
Finding Aid Table found at the end of this volume of the Code of Federal
Regulations.
(c) The materials incorporated by reference are available for
examination in Docket 73-08, Docket Section, National Highway Traffic
Safety Administration, Room 5109, 400 Seventh Street SW., Washington,
DC, 20590. Copies may be obtained from Rowley-Scher Reprographics,
Inc., 1216 K Street NW., Washington, DC 20005 ((202) 628-6667). The
drawings and specifications are also on file in the reference library of
the Office of the Federal Register, National Archives and Records
Administration, Washington, DC.
(d) Adjacent segments are joined in a manner such that throughout the
range of motion and also under crash impact conditions there is no
contact between metallic elements except for contacts that exist under
static conditions.
(e) The structural properties of the dummy are such that the dummy
conforms to this Part in every respect both before and after being used
in vehicle tests specified in Standard No. 208 of this Chapter
(571.208).
(f) A specimen of the dummy is available for surface measurements and
access can be arranged by contacting: Office of Vehicle Safety
Standards, National Highway Traffic Safety Administration, 400 Seventh
Street, SW., Washington, DC 20590.
(50 FR 25423, June 19, 1985)
49 CFR 572.6Head.
(a) The head consists of the assembly shown as number SA 150 M010 in
Figure 1 and conforms to each of the drawings subtended by number SA 150
M010.
(b) When the head is dropped from a height of 10 inches in accordance
with paragraph (c) of this section, the peak resultant accelerations at
the location of the accelerometers mounted in the head form in
accordance with 572.11(b) shall be not less than 210g, and not more
than 260g. The acceleration/time curve for the test shall be unimodal
and shall lie at or above the 100g level for an interval not less than
0.9 milliseconds and not more than 1.5 milliseconds. The lateral
acceleration vector shall not exceed 10g.
(c) Test procedure:
(1) Suspend the head as shown in Figure 2, so that the lowest point
on the forehead is 0.5 inches below the lowest point on the dummy's nose
when the midsagittal plane is vertical.
(2) Drop the head from the specified height by means that ensures
instant release onto a rigidly supported flat horizontal steel plate, 2
inches thick and 2 feet square, which has a clean, dry surface and any
microfinish of not less than 8 microinches (rms) and not more than 80
microinches (rms).
(3) Allow a time period of at least 2 hours between successive tests
on the same head.
(38 FR 20451, Aug. 1, 1973, as amended at 42 FR 7152, Feb. 7, 1977)
49 CFR 572.7Neck.
(a) The neck consists of the assembly shown as number SA 150 M020 in
Figure 1 and conforms to each of the drawings subtended by number SA 150
M020.
(b) When the neck is tested with the head in accordance with
paragraph (c) of this section, the head shall rotate in reference to the
pendulum's longitudinal centerline a total of 68 5 about its center of
gravity, rotating to the extent specified in the following table at each
indicated point in time, measured from impact, with a chordal
displacement measured at its center of gravity that is within the limits
specified. The chordal displacement at time T is defined as the
straight line distance between (1) the position relative to the pendulum
arm of the head center of gravity at time zero, and (2) the position
relative to the pendulum arm of the head center of gravity at time T as
illustrated by Figure 3. The peak resultant acceleration recorded at
the location of the accelerometers mounted in the head form in
accordance with 572.11(b) shall not exceed 26g. The pendulum shall not
reverse direction until the head's center of gravity returns to the
original zero time position relative to the pendulum arm.
(c) Test procedure: (1) Mount the head and neck on a rigid pendulum
as specified in Figure 4, so that the head's midsagittal plane is
vertical and coincides with the plane of motion of the pendulum's
longitudinal centerline. Mount the neck directly to the pendulum as
shown in Figure 4.
(2) Release the pendulum and allow it to fall freely from a height
such that the velocity at impact is 23.5 2.0 feet per second (fps),
measured at the center of the accelerometer specified in Figure 4.
(3) Decelerate the pendulum to a stop with an acceleration-time pulse
described as follows:
(i) Establish 5g and 20g levels on the a-t curve.
(ii) Establish t1 at the point where the rising a-t curve first
crosses the 5g level, t2 at the point where the rising a-t curve first
crosses the 20g level, t2 at the point where the decaying a-t curve last
crosses the 20g level, and t4 at the point where the decaying a-t curve
first crosses the 5g level.
(iii) t2-t1 shall be not more than 3 milliseconds.
(iv) t3-t2 shall be not less than 25 milliseconds and not more than
30 milliseconds.
(v) t4-t3 shall be not more than 10 milliseconds.
(vi) The average deceleration between t2 and t3shall be not less than
20g and not more than 24g.
(4) Allow the neck to flex without impact of the head or neck with
any object other than the pendulum arm.
(38 FR 20451, Aug. 1, 1973, as amended at 42 FR 7152, Feb. 7, 1977;
42 FR 12176, Mar. 3, 1977; 45 FR 40596, June 16, 1980)
49 CFR 572.8Thorax.
(a) The thorax consists of the assembly shown as number SA 150 M030
in Figure 1, and conforms to each of the drawings subtended by number SA
150 M030.
(b) The thorax contains enough unobstructed interior space behind the
rib cage to permit the midpoint of the sternum to be depressed 2 inches
without contact between the rib cage and other parts of the dummy or its
instrumentation, except for instruments specified in paragraph (d)(7) of
this section.
(c) When impacted by a test probe conforming to 572.11(a) at 14 fps
and at 22 fps in accordance with paragraph (d) of this section, the
thorax shall resist with forces measured by the test probe of not more
than 1450 pounds and 2250 pounds, respectively, and shall deflect by
amounts not greater than 1.1 inches and 1.7 inches, respectively. The
internal hysteresis in each impact shall not be less than 50 percent and
not more than 70 percent.
(d) Test procedure: (1) With the dummy seated without back support
on a surface as specified in 572.11(i) and in the orientation specified
in 572.11(i), adjust the dummy arms and legs until they are extended
horizontally forward parallel to the midsagittal plane.
(2) Place the longitudinal center line of the test probe so that it
is 17.7 0.1 inches above the seating surface at impact.
(3) Align the test probe specified in 572.11(a) so that at impact
its longitudinal centerline coincides within 2 degrees of a horizontal
line in the dummy's midsagittal plane.
(4) Adjust the dummy so that the surface area on the thorax
immediately adjacent to the projected longitudinal center line of the
test probe is vertical. Limb support, as needed to achieve and maintain
this orientation, may be provided by placement of a steel rod of any
diameter not less than one-quarter of an inch and not more than
three-eighths of an inch, with hemispherical ends, vertically under the
limb at its projected geometric center.
(5) Impact the thorax with the test probe so that its longitudinal
centerline falls within 2 degrees of a horizontal line in the dummy's
midsagittal plane at the moment of impact.
(6) Guide the probe during impact so that it moves with no
significant lateral, vertical, or rotational movement.
(7) Measure the horizontal deflection of the sternum relative to the
thoracic spine along the line established by the longitudinal centerline
of the probe at the moment of impact, using a potentiometer mounted
inside the sternum.
(8) Measure hysteresis by determining the ratio of the area between
the loading and unloading portions of the force deflection curve to the
area under the loading portion of the curve.
(38 FR 20451, Aug. 1, 1973, as amended at 42 FR 7152, Feb. 7, 1977)
49 CFR 572.9Lumbar spine, abdomen, and pelvis.
(a) The lumbar spine, abdomen, and pelvis consist of the assemblies
designated as numbers SA 150 M050 and SA 150 M060 in Figure 1 and
conform to the drawings subtended by these numbers.
(b) When subjected to continuously applied force in accordance with
paragraph (c) of this section, the lumbar spine assembly shall flex by
an amount that permits the rigid thoracic spine to rotate from its
initial position in accordance with Figure 11 by the number of degrees
shown below at each specified force level, and straighten upon removal
of the force to within 12 degrees of its initial position in accordance
with Figure 11.
(c) Test procedure: (1) Assemble the thorax, lumbar spine, pelvic,
and upper leg assemblies (above the femur force transducers), ensuring
that all component surfaces are clean, dry, and untreated unless
otherwise specified, and attach them to the horizontal fixture shown in
Figure 5 at the two link rod pins and with the mounting brackets for the
lumbar test fixtures illustrated in Figures 6 to 9.
(2) Attach the rear mounting of the pelvis to the pelvic instrument
cavity rear face at the four 1/4'' cap screw holes and attach the front
mounting at the femur axial rotation joint. Tighten the mountings so
that the pelvic-lumbar adapter is horizontal and adjust the femur
friction plungers at each hip socket joint to 240 inch-pounds torque.
(3) Flex the thorax forward 50 and then rearward as necessary to
return it to its initial position in accordance with Figure 11
unsupported by external means.
(4) Apply a forward force perpendicular to the thorax instrument
cavity rear face in the midsagittal plane 15 inches above the top
surface of the pelvic-lumbar adapter. Apply the force at any torso
deflection rate between .5 and 1.5 degrees per second up to 40 of
flexion but no further, continue to apply for 10 seconds that force
necessary to maintain 40 of flexion, and record the force with an
instrument mounted to the thorax as shown in Figure 5. Release all
force as rapidly as possible and measure the return angle 3 minutes
after the release.
(d) When the abdomen is subjected to continuously applied force in
accordance with paragraph (e) of this section, the abdominal
force-deflection curve shall be within the two curves plotted in Figure
10.
(e) Test procedure: (1) Place the assembled thorax, lumbar spine and
pelvic assemblies in a supine position on a flat, rigid, smooth, dry,
clean horizontal surface, ensuring that all component surfaces are
clean, dry, and untreated unless otherwise specified.
(2) Place a rigid cylinder 6 inches in diameter and 18 inches long
transversely across the abdomen, so that the cylinder is symmetrical
about the midsagittal plane, with its longitudinal centerline horizontal
and perpendicular to the midsagittal plane at a point 9.2 inches above
the bottom line of the buttocks, measured with the dummy positioned in
accordance with Figure 11.
(3) Establish the zero deflection point as the point at which a force
of 10 pounds has been reached.
(4) Apply a vertical downward force through the cylinder at any rate
between 0.25 and 0.35 inches per second.
(5) Guide the cylinder so that it moves without significant lateral
or rotational movement.
(42 FR 7152, Feb. 7, 1977)
49 CFR 572.10Limbs.
(a) The limbs consist of the assemblies shown as numbers SA 150 M070,
SA 150 M071, SA 150 M080, and SA 150 M081 in Figure 1 and conform to the
drawings subtended by these numbers.
(b) When each knee is impacted at 6.9 ft/sec. in accordance with
paragraph (c) of this section, the maximum force on the femur shall be
not more than 2500 pounds and not less than 1850 pounds, with a duration
above 1000 pounds of not less than 1.7 milliseconds.
(c) Test procedure: (1) Seat the dummy without back support on a
surface as specified in 572.11(i) that is 17.3 0.2 inches above a
horizontal surface, oriented as specified in 572.11(i), and with the
hip joint adjustment at any setting between 1g and 2g. Place the dummy
legs in planes parallel to its midsagittal plane (knee pivot centerline
perpendicular to the midsagittal plane) and with the feet flat on the
horizontal surface. Adjust the feet and lower legs until the lines
between the midpoints of the knee pivots and the ankle pivots are at any
angle not less than 2 degrees and not more than 4 degrees rear of the
vertical, measured at the centerline of the knee pivots.
(2) Reposition the dummy if necessary so that the rearmost point of
the lower legs at the level one inch below the seating surface remains
at any distance not less than 5 inches and not more than 6 inches
forward of the forward edge of the seat.
(3) Align the test probe specified in 572.11(a) so that at impact
its longitudinal centerline coincides within 2 with the longitudinal
centerline of the femur.
(4) Impact the knee with the test probe moving horizontally and
parallel to the midsagittal plane at the specified velocity.
(5) Guide the probe during impact so that it moves with no
significant lateral, vertical, or rotational movement.
(38 FR 20451, Aug. 1, 1973, as amended at 42 FR 7153, Feb. 7, 1977)
49 CFR 572.11Test conditions and instrumentation.
(a) The test probe used for thoracic and knee impact tests is a
cylinder 6 inches in diameter that weighs 51.5 pounds including
instrumentation. Its impacting end has a flat right face that is rigid
and that has an edge radius of 0.5 inches.
(b) Accelerometers are mounted in the head on the horizontal
transverse bulkhead shown in the drawings subreferenced under assembly
No. SA 150 M010 in Figure 1, so that their sensitive axes intersect at
a point in the midsagittal plane 0.5 inches above the horizontal
bulkhead and 1.9 inches ventral of the vertical mating surface of the
skull with the skull cover. One accelerometer is aligned with its
sensitive axis perpendicular to the horizontal bulkhead in the
midsagittal plane and with its seismic mass center at any distance up to
0.3 inches superior to the axial intersection point. Another
accelerometer is aligned with its sensitive axis parallel to the
horizontal bulkhead and perpendicular to the midsagittal plane, and with
its seismic mass center at any distance up to 1.3 inches to the left of
the axial intersection point (left side of dummy is the same as that of
man). A third accelerometer is aligned with its sensitive axis parallel
to the horizontal bulkhead in the midsagittal plane, and with its
seismic mass center at any distance up to 1.3 inches dorsal to the axial
intersection point.
(c) Accelerometers are mounted in the thorax by means of a bracket
attached to the rear vertical surface (hereafter ''attachment surface'')
of the thoracic spine so that their sensitive axes intersect at a point
in the midsagittal plane 0.8 inches below the upper surface of the plate
to which the neck mounting bracket is attached and 3.2 inches
perpendicularly forward of the surface to which the accelerometer
bracket is attached. One accelerometer has its sensitive axis oriented
parallel to the attachment surface in the midsagittal plane, with its
seismic mass center at any distance up to 1.3 inches inferior to the
intersection of the sensitive axes specified above. Another
accelerometer has its sensitive axis oriented parallel to the attachment
surface and perpendicular to the midsagittal plane, with its seismic
mass center at any distance up to 0.2 inches to the right of the
intersection of the sensitive axes specified above. A third
accelerometer has its sensitive axis oriented perpendicular to the
attachment surface in the midsagittal plane, with its seismic mass
center at any distance up to 1.3 inches dorsal to the intersection of
the sensitive axes specified above. Accelerometers are oriented with
the dummy in the position specified in 572.11(i).
(d) A force-sensing device is mounted axially in each femur shaft so
that the transverse centerline of the sensing element is 4.25 inches
from the knee's center of rotation.
(e) The outputs of acceleration and force-sensing devices installed
in the dummy and in the test apparatus specified by this Part are
recorded in individual data channels that conform to the requirements of
SAE Recommended Practice J211a, December 1971, with channel classes as
follows:
(1) Head acceleration -- Class 1000.
(2) Pendulum acceleration -- Class 60.
(3) Thorax acceleration -- Class 180.
(4) Thorax compression -- Class 180.
(5) Femur force -- Class 600.
(f) The mountings for sensing devices have no resonance frequency
within a range of 3 times the frequency range of the applicable channel
class.
(g) Limb joints are set at 1g, barely restraining the weight of the
limb when it is extended horizontally. The force required to move a
limb segment does not exceed 2g throughout the range of limb motion.
(h) Performance tests are conducted at any temperature from 66 F to
78 F and at any relative humidity from 10 percent to 70 percent after
exposure of the dummy to these conditions for a period of not less than
4 hours.
(i) For the performance tests specified in 572.8, 572.9, and
572.10, the dummy is positioned in accordance with Figure 11 as follows:
(1) The dummy is placed on a flat, rigid, smooth, clean, dry,
horizontal, steel test surface whose length and width dimentions are not
less than 16 inches, so that the dummy's midsagittal plane is vertical
and centered on the test surface and the rearmost points on its lower
legs at the level of the test surface are at any distance not less than
5 inches and not more than 6 inches forward of the forward edge of the
test surface.
(2) The pelvis is adjusted so that the upper surface of the
lumbar-pelvic adapter is horizontal.
(3) The shoulder yokes are adjusted so that they are at the midpoint
of their anterior-posterior travel with their upper surfaces horizontal.
(4) The dummy is adjusted so that the rear surfaces of the shoulders
and buttocks are tangent to a transverse vertical plane.
(5) The upper legs are positioned symmetrically about the midsagittal
plane so that the distance between the knee pivot bolt heads is 11.6
inches.
(6) The lower legs are positioned in planes parallel to the
midsagittal plane so that the lines between the midpoint of the knee
pivots and the ankle pivots are vertical.
(j) The dummy's dimensions, as specified in drawing number SA 150
M002, are determined as follows:
(1) With the dummy seated as specified in paragraph (i) of this
section, the head is adjusted and secured so that its occiput is 1.7
inches forward of the transverse vertical plane with the vertical mating
surface of the skull with its cover parallel to the transverse vertical
plane.
(2) The thorax is adjusted and secured so that the rear surface of
the chest accelerometer mounting cavity is inclined 3 forward of
vertical.
(3) Chest and waist circumference and chest depth measurements are
taken with the dummy positioned in accordance with paragraphs (j) (1)
and (2) of this section.
(4) The chest skin and abdominal sac are removed and all following
measurements are made without them.
(5) Seated height is measured from the seating surface to the
uppermost point on the head-skin surface.
(6) Shoulder pivot height is measured from the seating surface to the
center of the arm elevation pivot.
(7) H-point locations are measured from the seating surface to the
center of the holes in the pelvis flesh covering in line with the hip
motion ball.
(8) Knee pivot distance from the backline is measured to the center
of the knee pivot bolt head.
(9) Knee pivot distance from floor is measured from the center of the
knee pivot bolt head to the bottom of the heel when the foot is
horizontal and pointing forward.
(10) Shoulder width measurement is taken at arm elevation pivot
center height with the centerlines between the elbow pivots and the
shoulder pivots vertical.
(11) Hip width measurement is taken at widest point of pelvic
section.
(k) Performance tests of the same component, segment, assembly, or
fully assembled dummy are separated in time by a period of not less than
30 minutes unless otherwise noted.
(l) Surfaces of dummy components are not painted except as specified
in this part or in drawings subtended by this part.
Insert Illustrations 149A-150A
Insert Illustrations 151A-152A
Insert Illustrations 153A-154A
Insert Illustrations 155A-156A
Insert Illustrations 157A-158A
Insert Illustration 159A
(38 FR 20451, Aug. 1, 1973, as amended at 42 FR 7153, Feb. 7, 1977)
49 CFR 572.11 Subpart C -- 3-Year-Old Child
Source: 44 FR 76530, Dec. 27, 1979, unless otherwise noted.
49 CFR 572.15General description.
(a) The dummy consists of the component assemblies specified in
drawing SA 103C 001, which are described in their entirety by means of
approximately 122 drawings and specifications and an Operation and
Maintenance Manual, dated May 28, 1976. The drawings and specifications
are grouped by component assemblies under the following thirteen
headings:
SA 103C 010 Head Assembly
SA 103C 020 Neck Assembly
SA 103C 030 Torso Assembly
SA 103C 041 Upper Arm Assembly Left
SA 103C 042 Upper Arm Assembly Right
SA 103C 051 Forearm Hand Assembly Left
SA 103C 052 Forearm Hand Assembly Right
SA 103C 061Upper Leg Assembly Left
SA 103C 062 Upper Leg Assembly Right
SA 103C 071 Lower Leg Assembly Left
SA 103C 072 Lower Leg Assembly Right
SA 103C 081 Foot Assembly left
SA 103C 082 Foot Assembly Right.
(b) The drawings, specifications, and operation and maintenance
manual referred to in this regulation that are not set forth in full are
hereby incorporated in this Part by reference. These materials are
thereby made part of this regulation. The Director of the Federal
Register has approved the materials incorporated by reference. For
materials subject to change, only the specific version approved by the
Director of the Federal Register and specified in the regulation are
incorporated. A notice of any change will be published in the Federal
Register. As a convenience to the reader, the materials incorporated by
reference are listed in the Finding Aid Table found at the end of this
volume of the Code of Federal Regulations.
(c) The materials incorporated by reference are available for
examination in Docket 78-09, Room 5109, Docket Section, National Highway
Traffic Safety Administration, 400 Seventh Street SW., Washington, DC
20590. Copies may be obtained from Rowley-Scher Reprographics, Inc.,
1216 K Street NW., Washington, DC 20005 ((202) 628-6667). The materials
are also on file in the reference library of the Office of the Federal
Register, National Archives and Records Administration, Washington, DC.
(d) Adjacent segments are joined in a manner such that throughout the
range of motion and also under simulated crash-impact conditions there
is no contact between metallic elements except for contacts that exist
under static conditions.
(e) The structural properties of the dummy are such that the dummy
conforms to this part in every respect both before and after being used
in vehicle tests specified in Standard No. 213 of this chapter (
571.213).
(f) The patterns of all cast and molded parts for reproduction of the
molds needed in manufacturing of the dummies can be obtained on a loan
basis by manufacturers of the testes dummies, or others if need is
shown, from: Office of Vehicle Safety Standards, National Highway
Traffic Safety Administration, 400 Seventh Street SW., Washington, DC
20590.
(50 FR 25423, June 19, 1985)
49 CFR 572.16 Head.
(a) The head consists of the assembly designated as SA 103C 010 on
drawing no. SA 103C 001, and conforms to either --
(1) Each item specified on drawing SA 103C 002(B), sheet 8; or
(2) Each item specified on drawing SA 103C 002, sheet 8.
(b) When the head is impacted by a test probe specified in
572.21(a)(1) at 7 fps, then the peak resultant acceleration measured at
the location of the accelerometer mounted in the headform according to
572.21(b) is not less than 95g and not more than 118g.
(1) The recorded acceleration-time curve for this test is unimodal at
or above the 50g level, and lies at or above that level for intervals:
(i) In the case of the head assembly specified in paragraph (a)(1) of
this section, not less than 1.3 milliseconds and not more than 2.0
milliseconds;
(ii) In the case of the head assembly specified in paragraph (a)(2)
of this section, not less than 2.0 milliseconds and not more than 3.0
milliseconds.
(2) The lateral acceleration vector does not exceed 7g.
(c) Test procedure. (1) Seat the dummy on a seating surface having a
back support as specified in 572.21(h) and orient the dummy in
accordance with 572.21(h) and adjust the joints of the limbs at any
setting between 1g and 2g, which just supports the limbs' weight when
the limbs are extended horizontally forward.
(2) Adjust the test probe so that its longitudinal centerline is at
the forehead at the point of orthogonal intersection of the head
midsagittal plane and the transverse plane which is perpendicular to the
''Z'' axis of the head (longitudinal centerline of the skull anchor) and
is located 0.6 0.1 inches above the centers of the head center of
gravity reference pins and coincides within 2 degrees with the line made
by the intersection of horizontal and midsagittal planes passing through
this point.
(3) Adjust the dummy so that the surface area on the forehead
immediately adjacent to the projected longitudinal centerline of the
test probe is vertical.
(4) Impact the head with the test probe so that at the moment of
impact the probe's longitudinal centerline falls within 2 degrees of a
horizontal line in the dummy's midsagittal plane.
(5) Guide the probe during impact so that it moves with no
significant lateral, vertical, or rotational movement.
(6) Allow a time period of at least 20 minutes between successive
tests of the head.
(44 FR 76530, Dec. 27, 1979; 45 FR 43353, June 26, 1980, as amended
at 45 FR 82267, Dec. 15, 1980; 55 FR 30468, July 26, 1990)
49 CFR 572.17 Neck.
(a)(1) The neck for use with the head assembly described in
572.16(a)(1) consists of the assembly designated as SA 103C 020 on
drawing No. SA 103C 001, conforms to each item specified on drawing No.
SA 103C 002(B), sheet 9.
(2) The neck for use with the head assembly described in
572.16(a)(2) consists of the assembly designated as SA 103C 020 on
drawing No. SA 103C 001, and conforms to each item specified on drawing
No. SA 103C 002, sheet 9.
(b) When the head-neck assembly is tested in accordance with
paragraph (c) of this section, the head shall rotate in reference to the
pendulum's longitudinal centerline a total of 84 degrees 8 degrees
about its center of gravity, rotating to the extent specified in the
following table at each indicated point in time, measured from impact,
with the chordal displacement measured at its center of gravity. The
chordal displacement at time T is defined as the straight line distance
between (1) the position relative to the pendulum arm of the head center
of gravity at time zero, and (2) the position relative to the pendulum
arm of the head center of gravity at time T as illustrated by figure 3.
The peak resultant acceleration recorded at the location of the
accelerometers mounted in the headform in accordance with 572.21(b)
shall not exceed 30g. The pendulum shall not reverse direction until
the head's center of gravity returns to the original zero time position
relative to the pendulum arm.
(c) Test procedure. (1) Mount the head and neck on a rigid pendulum
as specified in Figure 4, so that the head's midsagittal plane is
vertical and coincides with the plane of motion of the pendulum's
longitudinal centerline. Mount the neck directly to the pendulum as
shown in Figure 15.
(2) Release the pendulum and allow it to fall freely from a height
such that the velocity at impact is 17.00 1.0 feet per second (fps),
measured at the center of the accelerometer specified in figure 4.
(3) Decelerate the pendulum to a stop with an acceleration-time pulse
described as follows:
(i) Establish 5g and 20g levels on the a-t curve.
(ii) Establish t1 at the point where the a-t curve first crosses the
5g level, t2 at the point where the rising a-t curve first crosses the
20g level, t3 at the point where the decaying a-t curve last crosses the
20g level, and t4 at the point where the decaying a-t curve first
crosses the 5g level.
(iii) t2-t1, shall be not more than 4 milliseconds.
(iv) t3-t2, shall be not less than 18 and not more than 21
milliseconds.
(v) t4-t3, shall be not more than 5 milliseconds.
(vi) The average deceleration between t2 and t3 shall be not less
than 20g and not more then 34g.
(4) Allow the neck to flex without contact of the head or neck with
any object other than the pendulum arm.
(5) Allow a time period of at least 1 hour between successive tests
of the head and neck.
(44 FR 76530, Dec. 27, 1979; 45 FR 43353, June 26, 1980; 55 FR
30468, July 26, 1990)
49 CFR 572.18 Thorax.
(a) The thorax consists of the part of the torso shown in assembly
drawing SA 103C 001 by number SA 103C 030 and conforms to each of the
applicable drawings listed under this number on drawing SA 103C 002,
sheets 10 and 11.
(b) When impacted by a test probe conforming to 572.21(a) at 13 fps.
in accordance with paragraph (c) of this section, the peak resultant
accelerations at the location of the accelerometers mounted in the chest
cavity in accordance with 572.21(c) shall be not less than 50g and not
more than 70g. The acceleration-time curve for the test shall be
unimodal at or above the 30g level and shall lie at or above the 30g
level for an interval not less than 2.5 milliseconds and not more than
4.0 milliseconds. The lateral acceleration shall not exceed 5g.
(c) Test procedure. (1) With the dummy seated without back support
on a surface as specified in 572.21(h) and oriented as specified in
572.21(h), adjust the dummy arms and legs until they are extended
horizontally forward parallel to the midsagittal plane. The joints of
the limbs are adjusted at any setting between 1g and 2g, which just
supports the limbs' weight when the limbs are extended horizontally
forward.
(2) Establish the impact point at the chest midsagittal plane so that
it is 1.5 inches below the longitudinal centerline of the bolt that
attaches the top of the ribcage sternum to the thoracic spine box.
(3) Adjust the dummy so that the tangent plane at the surface on the
thorax immediately adjacent to the designated impact point is vertical
and parallel to the face of the test probe.
(4) Place the longitudinal centerline of the test probe to coincide
with the designated impact point and align the test probe so that at
impact its longitudinal centerline coincides within 2 degrees with the
line formed by intersection of the horizontal and midsagittal planes
passing through the designated impact point.
(5) Impact the thorax with the test probe so that at the moment of
impact the probe's longitudinal centerline falls within 2 degrees of a
horizontal line in the dummy midsagittal plane.
(6) Guide the probe during impact so that it moves with no
significant lateral, vertical or rotational movement.
(7) Allow a time period of at least 20 minutes between successive
tests of the chest.
49 CFR 572.19Lumbar spine, abdomen and pelvis.
(a) The lumbar spine, abdomen, and pelvis consist of the part of the
torso assembly shown by number SA 103C 030 on drawing SA 103C 001 and
conform to each of the applicable drawings listed under this number on
drawing SA 103C 002, sheets 10 and 11.
(b) When subjected to continuously applied force in accordance with
paragraph (c) of this section, the lumbar spine assembly shall flex by
an amount that permits the rigid thoracic spine to rotate from its
initial position in accordance with Figure 18 of this subpart by 40
degrees at a force level of not less than 34 pounds and not more than 47
pounds, and straighten upon removal of the force to within 5 degrees of
its initial position.
(c) Test procedure. (1) The dummy with lower legs removed is
positioned in an upright seated position on a seat as indicated in
Figure 18, ensuring that all dummy component surfaces are clean, dry and
untreated unless otherwise specified.
(2) Attach the pelvis to the seating surface by a bolt C/328,
modified as shown in Figure 18, and the upper legs at the knee axial
rotation joints by the attachments shown in Figure 18. Tighten the
mountings so that the pelvis-lumbar joining surface is horizontal and
adjust the femur ball-flange screws at each hip socket joint to 50 inch
pounds torque. Remove the head and the neck and install a cylindrical
aluminum adapter 2.0 inches in diameter and 2.80 inches long in place of
the neck.
(3) Flex the thorax forward 50 degrees and then rearward as necessary
to return to its initial position in accordance with Figure 18
unsupported by external means.
(4) Apply a forward pull force in the midsagittal plane at the top of
the neck adapter, so that at 40 degrees of the lumbar spine flexion the
applied force is perpendicular to the thoracic spine box. Apply the
force at any torso deflection rate between 0.5 and 1.5 degrees per
second up to 40 degrees of flexion but no further; continue to apply
for 10 seconds the force necessary to maintain 40 degrees of flexion,
and record the highest applied force at that time. Release all force as
rapidly as possible and measure the return angle 3 minutes after the
release.
49 CFR 572.20Limbs.
The limbs consist of the assemblies shown on drawing SA 103C 001 as
Nos. SA 103C 041, SA 103C 042, SA 103C 051, SA 103C 052, SA 103C 061,
SA 103C 062, SA 103C 071, SA 103C 072, SA 103C 081, SA 103C 082, and
conform to each of the applicable drawings listed under their respective
numbers of the drawing SA 103C 002, sheets 12 through 21.
49 CFR 572.21Test conditions and instrumentation.
(a)(1) The test probe used for head and thoracic impact tests is a
cylinder 3 inches in diameter, 13.8 inches long, and weighing 10 lbs., 6
ozs. Its impacting end has a flat right face that is rigid and that has
an edge radius of 0.5 inches.
(2) The head and thorax assembly may be instrumented with a Type A or
Type C accelerometer.
(i) Type A accelerometer is defined in drawing SA-572 S1.
(ii) Type C accelerometer is defined in drawing SA-572 S2.
(b) Head Accelerometers. Install one of the triaxial accelerometers
specified in 572.21(a)(2) on a mounting block located on the horizontal
transverse bulkhead as shown in the drawings subreferenced under
assembly SA 103C 010 so that the seismic mass centers of each sensing
element are positioned as specified in this paragraph, relative to the
head accelerometer reference point located at the intersection of a line
connecting the longitudinal centerlines of the transfer pins in the side
of the dummy head with the midsagittal plane of the dummy head.
(1) The sensing elements of the Type C triaxial accelerometer are
aligned as follows:
(i) Align one sensitive axis parallel to the vertical bulkhead and
coincident with the midsagittal plane, with the seismic mass center
located 0.2 inches dorsal to, and 0.1 inches inferior to the head
accelerometer reference point.
(ii) Align the second sensitive axis with the horizontal plane,
perpendicular to the midsagittal plane, with the seismic mass center
located 0.1 inches inferior, 0.4 inches to the right of, and 0.9 inches
dorsal to the head accelerometer reference point.
(iii) Align the third sensitive axis so that it is parallel to the
midsagittal and horizontal planes, with the seismic mass center located
0.1 inches inferior to, 0.6 inches dorsal to, and 0.4 inches to the
right of the head accelerometer reference point.
(iv) All seismic mass centers are positioned with 0.05 inches of the
specified locations.
(2) The sensing elements of the Type A triaxial accelerometer are
aligned as follows:
(i) Align one sensitive axis parallel to the vertical bulkhead and
coincident with midsagittal planes, with the seismic mass center located
from 0.2 to 0.47 inches dorsal to, from 0.01 inches inferior to 0.21
inches superior, and from 0.0 to 0.17 inches left of the head
accelerometer reference point.
(ii) Align the second sensitive axis with the horizontal plane,
perpendicular to the midsagittal plane, with the seismic mass center
located 0.1 to 0.13 inches inferior to, 0.17 to 0.4 inches to the right
of, and 0.47 to 0.9 inches dorsal of the head accelerometer reference
point.
(iii) Align the third sensitive axis so that it is parallel to the
midsagittal and horizontal planes, with the seismic mass center located
0.1 to 0.13 inches inferior to, 0.6 to 0.81 inches dorsal to, and from
0.17 inches left to 0.4 inches right of the head accelerometer reference
point.
(c) Thorax Accelerometers. Install one of the triaxial
accelerometers specified in 572.21(a)(2) on a mounting plate attached
to the vertical transverse bulkhead shown in the drawing subreferenced
under assembly No. SA 103C 030 in drawing SA 103C 001, so that the
seismic mass centers of each sensing element are positioned as specified
in this paragraph, relative to the thorax accelerometer reference point
located in the midsagital plane 3 inches above the top surface of the
lumbar spine, and 0.3 inches dorsal to the accelerometer mounting plate
surface.
(1) The sensing elements of the Type C triaxial accelerometer are
aligned as follows:
(i) Align one sensitive axis parallel to the vertical bulkhead and
midsagittal planes, with the seismic mass center located 0.2 inches to
the left of, 0.1 inches inferior to, and 0.2 inches ventral to the
thorax accelerometer reference point.
(ii) Align the second sensitive axis so that it is in the horizontal
transverse plane, and perpendicular to the midsagittal plane, with the
seismic mass center located 0.2 inches to the right of, 0.1 inches
inferior to, and 0.2 inches ventral to the thorax accelerometer
reference point.
(iii) Align the third sensitive axis so that it is parallel to the
midsagittal and horizontal planes, with the seismic mass center located
0.2 inches superior to, 0.5 inches to the right of, and 0.1 inches
ventral to the thorax accelerometer reference points.
(iv) All seismic mass centers shall be positioned within 0.05 inches
of the specified locations.
(2) The sensing elements of the Type A triaxial accelerometer are
aligned as follows:
(i) Align one sensitive axis parallel to the vertical bulkhead and
midsagittal planes, with the seismic mass center located from 0.2 inches
left to 0.28 inches right, from 0.5 to 0.15 inches inferior to, and from
0.15 to 0.25 inches ventral of the thorax accelerometer reference point.
(ii) Align the second sensitive axis so that it is in the horizontal
transverse plane and perpendicular to the midsagital plane, with the
seismic mass center located from 0.06 inches left to 0.2 inches right
of, from 0.1 inches inferior to 0.24 inches superior, and 0.15 to 0.25
inches ventral to the thorax accelerometer reference point.
(iii) Align the third sensitive axis so that it is parallel to the
midsagital and horizontal planes, with the seismic mass center located
0.15 to 0.25 inches superior to, 0.28 to 0.5 inches to the right of, and
from 0.1 inches ventral to 0.19 inches dorsal to the thorax
accelerometer reference point.
(d) The outputs of accelerometers installed in the dummy, and of test
apparatus specified by this part, are recorded in individual data
channels that conform to the requirements of SAE Recommended Practice
J211a, December 1971, with channel classes as follows:
(1) Head acceleration -- Class 1000.
(2) Pendulum acceleration -- Class 60.
(3) Thorax acceleration -- Class 180.
(e) The mountings for accelerometers have no resonance frequency less
than cut-off 3 times the cut-off frequency of the applicable channel
class.
(f) Limb joints are set at the force between 1-2g, which just
supports the limbs' weight when the limbs are extended horizontally
forward. The force required to move a limb segment does not exceed 2g
throughout the range of limb motion.
(g) Performance tests are conducted at any temperature from 66 F to
78 F and at any relative humidity from 10 percent to 70 percent after
exposure of the dummy to these conditions for a period of not less than
4 hours.
(h) For the performance tests specified in 572.16, 572.18, and
572.19, the dummy is positioned in accordance with Figures 16, 17, and
18 as follows:
(1) The dummy is placed on a flat, rigid, clean, dry, horizontal
surface of teflon sheeting with a smoothness of 40 microinches and whose
length and width dimensions are not less than 16 inches, so that the
dummy's midsagittal plane is vertical and centered on the test surface.
For head tests, the seat has a vertical back support whose top is 12.4
0.2 inches above the seating surface. The rear surfaces of the dummy's
shoulders and buttocks are touching the back support as shown in Figure
16. For thorax and lumbar spine tests, the seating surface is without
the back support as shown in Figures 17 and 18, respectively.
(2) The shoulder yokes are adjusted so that they are at the midpoint
of their anterior-posterior travel with their upper surfaces horizontal.
(3) The dummy is adjusted for head impact and lumbar flexion tests so
that the rear surfaces of the shoulders and buttocks are tangent to a
transverse vertical plane.
(4) The arms and legs are positioned so that their centerlines are in
planes parallel to the midsagittal plane.
(i) The dummy's dimensions are specified in drawings No. SA 103C
002, sheets 22 through 26.
(j) Performance tests of the same component, segment, assembly or
fully assembled dummy are separated in time by a period of not less than
20 minutes unless otherwise specified.
(k) Surfaces of the dummy components are not painted except as
specified in this part or in drawings subtended by this part.
(44 FR 76530, Dec. 27, 1979, as amended at 45 FR 82267, Dec. 15,
1980; 55 FR 30468, July 26, 1990)
Insert illustration 0525
Insert illustration 0526
Insert illustration 0527
Insert illustration 0528
49 CFR 572.21 Subpart D -- 6-Month-Old Infant
49 CFR 572.25General description.
(a) The infant dummy is specified in its entirety by means of 5
drawings (No. SA 1001) and a construction manual, dated July 2, 1974,
which describe in detail the materials and the procedures involved in
the manufacturing of this dummy.
(b) The drawings, specifications, and construction manual referred to
in this regulation that are not set forth in full are hereby
incorporated in this Part by reference. These materials are thereby
made part of this regulation. The Director of the Federal Register has
approved the materials incorporated by reference. For materials subject
to change, only the specific version approved by the Director of the
Federal Register and specified in the regulation are incorporated. A
notice of any change will be published in the Federal Register. As a
convenience to the reader, the materials incorporated by reference are
listed in the Finding Aid Table found at the end of this volume of the
Code of Federal Regulations.
(c) The materials incorporated by reference are available for
examination in Docket 78-09, Room 5109, Docket Section, National Highway
Traffic Safety Administration, 400 Seventh Street SW., Washington, DC,
20590. Copies may be obtained from Rowley-Scher Reprographics, Inc.,
1216 K Street NW., Washington, DC 20005 ((202) 628-6667). The materials
are also on file in the reference library of the Office of the Federal
Register, National Archives and Records Administration, Washington, DC.
(d) The structural properties of the dummy are such that the dummy
conforms to this part in every respect both before and after being used
in vehicle tests specified in Standard No. 213 of this chapter (
571.213).
(50 FR 25424, June 19, 1985)
49 CFR 572.25 Subpart E -- Hybrid III Test Dummy
Source: 51 FR 26701, July 25, 1986, unless otherwise noted.
Effective Date Note and Optional Compliance Provisions: At 51 FR
26701, July 25, 1986, Subpart E -- Hybrid III Test Dummy was added,
effective October 23, 1986. As of that date, manufacturers have the
option of using either the Part 572 test dummy (Subpart B) or the Hybrid
III test dummy until August 31, 1991. As of September 1, 1991, the
Hybrid III will replace the Part 572 test dummy (Subpart B) and be used
as the exclusive means of determining a vehicle's conformance with the
performance requirements of Standard No. 208 ( 571.208).
49 CFR 572.30Incorporated materials.
(a) The drawings and specifications referred to in this regulation
that are not set forth in full are hereby incorporated in this part by
reference. The Director of the Federal Register has approved the
materials incorporated by reference. For materials subject to change,
only the specific version approved by the Director of the Federal
Register and specified in the regulation are incorporated. A notice of
any change will be published in the Federal Register. As a convenience
to the reader, the materials incorporated by reference are listed in the
Finding Aid Table found at the end of this volume of the Code of Federal
Regulations.
(b) The materials incorporated by reference are available for
examination in the general reference section of Docket 74-14, Docket
Section, National Highway Traffic Safety Administration, Room 5109, 400
Seventh Street, SW., Washington, DC 20590. Copies may be obtained from
Rowley-Scher Reprographics, Inc., 1216 K Street, NW., Washington, DC
20005 ((202) 628-6667). The drawings and specifications are also on
file in the reference library of the Office of the Federal Register,
National Archives and Records Administration, Washington, DC.
49 CFR 572.31General description.
(a) The Hybrid III 50th percentile size dummy consists of components
and assemblies specified in the Anthropomorphic Test Dummy drawing and
specifications package which consists of the following six items:
(1) The Anthropomorphic Test Dummy Parts List, dated December 15,
1987, and containing 13 pages, and a Parts List Index, dated December
15, 1987, containing 8 pages.
(2) A listing of Optional Hybrid III Dummy Transducers, dated April
22, 1986, containing 4 pages,
(3) A General Motors Drawing Package identified by GM Drawing No.
78051-218, revision R, and subordinate drawings.
(4) Disassembly, Inspection, Assembly and Limbs Adjustment Procedures
for the Hybrid III dummy, dated July 15, 1986,
(5) Sign Convention for the signal outputs of Hybrid III dummy
transducers, dated July 15, 1986,
(6) Exterior dimensions of the Hybrid III dummy, dated July 15, 1986.
(b) The dummy is made up of the following component assemblies:
(c) Any specifications and requirements set forth in this part
supercede those contained in General Motors Drawing No. 78051-218,
revision P.
(d) Adjacent segments are joined in a manner such that throughout the
range of motion and also under crash-impact conditions, there is no
contact between metallic elements except for contacts that exist under
static conditions.
(e) The weights, inertial properties and centers of gravity location
of component assemblies shall conform to those listed in drawing
78051-338, revision S.
(f) The structural properties of the dummy are such that the dummy
conforms to this part in every respect both before and after being used
in vehicle test specified in Standard No. 208 of this chapter (
571.208).
(51 FR 26701, July 25, 1986, as amended at 53 FR 8764, Mar. 17, 1988)
49 CFR 572.32Head.
(a) The head consists of the assembly shown in the drawing 78051-61,
revision T, and shall conform to each of the drawings subtended therein.
(b) When the head (drawing 78051-61, revision T) with neck transducer
structural replacement (drawing 78051-383, revision F) is dropped from a
height of 14.8 inches in accordance with paragraph (c) of this section,
the peak resultant accelerations at the location of the accelerometers
mounted in the head in accordance with 572.36(c) shall not be less than
225g, and not more than 275g. The acceleration/time curve for the test
shall be unimodal to the extent that oscillations occurring after the
main acceleration pulse are less than ten percent (zero to peak) of the
main pulse. The lateral acceleration vector shall not exceed 15g (zero
to peak).
(c) Test procedure. (1) Soak the head assembly in a test environment
at any temperature between 66 degrees F to 78 degrees F and at a
relative humidity from 10% to 70% for a period of at least four hours
prior to its application in a test.
(2) Clean the head's skin surface and the surface of the impact plate
with 1,1,1 Trichlorethane or equivalent.
(3) Suspend the head, as shown in Figure 19, so that the lowest point
on the forehead is 0.5 inches below the lowest point on the dummy's nose
when the midsagittal plane is vertical.
Insert illus. 0546A
(4) Drop the head from the specified height by means that ensure
instant release into a rigidly supported flat horizontal steel plate,
which is 2 inches thick and 2 feet square. The plate shall have a
clean, dry surface and any microfinish of not less than 8 microinches
(rms) and not more than 80 microinches (rms).
(5) Allow at least 3 hours between successive tests on the same head.
49 CFR 572.33Neck.
(a) The neck consists of the assembly shown in drawing 78051-90,
revision A and conforms to each of the drawings subtended therein.
(b) When the neck and head assembly (consisting of the parts
78051-61, revision T; -84; -90, revision A; -96; -98; -303,
revision E; -305; -306; -307, revision X) which has a neck transducer
(drawing 83-5001-008) installed in conformance with 572.36(d), is
tested in accordance with paragraph (c) of this section, it shall have
the following characteristics:
(1) Flexion. (i) Plane D, referenced in Figure 20, shall rotate
between 64 degrees and 78 degrees, which shall occur between 57
milliseconds (ms) and 64 ms from time zero. In first rebound, the
rotation of Plane D shall cross 0 degrees between 113 ms and 128 ms.
(ii) The moment measured by the neck transducer (drawing 83-5001-008)
about the occipital condyles, referenced in Figure 20, shall be
calculated by the following formula: Moment (lbs-ft)=My+0.02875 Fx,
where My is the moment measured in lbs-ft by the moment sensor of the
neck transducer and Fx is the force measure measured in lbs by the x
axis force sensor of the neck transducer. The moment shall have a
maximum value between 65 lbs-ft and 80 lbs-ft occurring between 47 ms
and 58 ms, and the positive moment shall decay for the first time to 0
lb-ft between 97 ms and 107 ms.
insert illus. 0550
(2) Extension (i) Plane D, referenced in Figure 21, shall rotate
between 81 degrees and 106 degrees, which shall occur between 72 and 82
ms from time zero. In first rebound, the rotation of plane D shall
cross 0 degrees between 147 and 174 ms.
(ii) The moment measured by the neck transducer (drawing 83-5001-008)
about the occipital condyles, referenced in Figure 21, shall be
calculated by the following formula: Moment (lbs-ft)=My+0.02875 Fx,
where My is the moment measured in lbs-ft by the moment sensor of the
neck transducer and Fx is the force measure measured in lbs by the x
axis force sensor of the neck transducer. The moment shall have a
maximum value between -39 lbs-ft and -59 lbs-ft, which shall occur
between 65 ms and 79 ms., and the negative moment shall decay for the
first time to 0 lb-ft between 120 ms and 148 ms.
(3) Time zero is defined as the time of contact between the pendulum
striker plate and the aluminum honeycomb material.
(c) Test procedure. (1) Soak the test material in a test environment
at any temperature between 69 degrees F to 72 degrees F and at a
relative humidity from 10% to 70% for a period of at least four hours
prior to its application in a test.
(2) Torque the jamnut (78051-64) on the neck cable (78051-301,
revision E) to 1.0 lbs-ft .2 lbs-ft.
(3) Mount the head-neck assembly, defined in paragraph (b) of this
section, on a rigid pendulum as shown in Figure 22 so that the head's
midsagittal plane is vertical and coincides with the plane of motion of
the pendulum's longitudinal axis.
insert illus. 0552
insert illus 0555
(4) Release the pendulum and allow it to fall freely from a height
such that the tangential velocity at the pendulum accelerometer
centerline at the instance of contact with the honeycomb is 23.0 ft/sec
0.4 ft/sec. for flexion testing and 19.9 ft/sec. 0.4 ft/sec. for
extension testing. The pendulum deceleration vs. time pulse for
flexion testing shall conform to the characteristics shown in Table A
and the decaying deceleration-time curve shall first cross 5g between 34
ms and 42 ms. The pendulum deceleration vs. time pulse for extension
testing shall conform to the characteristics shown in Table B and the
decaying deceleration-time curve shall cross 5g between 38 ms and 46 ms.
Pulse TABLE/GRAPH OMITTED
(5) Allow the neck to flex without impact of the head or neck with
any object during the test.
(51 FR 26701, July 25, 1986, as amended at 53 FR 8765, Mar. 17, 1988)
49 CFR 572.34Thorax.
(a) The thorax consists of the upper torso assembly in drawing
78051-89, revision K and shall conform to each of the drawings subtended
therein.
(b) When impacted by a test probe conforming to 572.36(a) at 22 fps
0.40 fps in accordance with paragraph (c) of this section, the thorax
of a complete dummy assembly (78051-218, revision R) with left and right
shoes (78051-294 and -295) removed, shall resist with a force of 1242.5
pounds 82.5 pounds measured by the test probe and shall have a sternum
displacement measured relative to spine of 2.68 inches 0.18 inches.
The internal hysteresis in each impact shall be more than 69% but less
than 85%. The force measured is the product of pendulum mass and
deceleration.
(c) Test procedure. (1) Soak the test dummy in an environment with a
relative humidity from 10% to 70% until the temperature of the ribs of
the test dummy have stabilized at a temperature between 69 degrees F and
72 degrees F.
(2) Seat the dummy without back and arm supports on a surface as
shown in Figure 23, and set the angle of the pelvic bone at 13 degrees
plus or minus 2 degrees, using the procedure described in S11.4.3.2 of
Standard No. 208 ( 571.208 of this chapter).
Insert Illus. 0559
(3) Place the longitudinal centerline of the test probe so that it is
.5 .04 in. below the horizontal centerline of the No. 3 Rib
(reference drawing number 79051-64, revision A-M) as shown in Figure 23.
(4) Align the test probe specified in 572.36(a) so that at impact
its longitudinal centerline coincides within .5 degree of a horizontal
line in the dummy's midsagittal plane.
(5) Impact the thorax with the test probe so that the longitudinal
centerline of the test probe falls within 2 degrees of a horizontal line
in the dummy midsagittal plane at the moment of impact.
(6) Guide the probe during impact so that it moves with no
significant lateral, vertical, or rotational movement.
(7) Measure the horizontal deflection of the sternum relative to the
thoracic spine along the line established by the longitudinal centerline
of the probe at the moment of impact, using a potentiometer (ref.
drawing 78051-317, revision A) mounted inside the sternum as shown in
drawing 78051-89, revision I.
(8) Measure hysteresis by determining the ratio of the area between
the loading and unloading portions of the force deflection curve to the
area under the loading portion of the curve.
(51 FR 26701, July 25, 1986, as amended at 53 FR 8765, Mar. 17, 1988)
49 CFR 572.35 Limbs.
(a) The limbs consist of the following assemblies: leg assemblies
86-5001-001 and -002 and arm assemblies 78051-123, revision D, and -124,
revision D, and shall conform to the drawings subtended therein.
(b) When each knee of the leg assemblies is impacted, in accordance
with paragraph (c) of this section, at 6.9 ft/sec 0.10 ft/sec by the
pendulum defined in 572.36(b), the peak knee impact force, which is a
product of pendulum mass and acceleration, shall have a minimum value of
not less than 1060 pounds and a maximum value of not more than 1300
pounds.
(c) Test procedure. (1) The test material consists of leg assemblies
(86-5001-001) left and (-002) right with upper leg assemblies (78051-46)
left and (78051-47) right removed. The load cell simulator (78051-319,
revision A) is used to secure the knee cap assemblies (79051-16,
revision B) as shown in Figure 24.
Insert illus 0562
(2) Soak the test material in a test environment at any temperature
between 66 degrees F to 78 degrees F and at a relative humidity from 10%
to 70% for a period of at least four hours prior to its application in a
test.
(3) Mount the test material with the leg assembly secured through the
load cell simulator to a rigid surface as shown in Figure 24. No
contact is permitted between the foot and any other exterior surfaces.
(4) Place the longitudinal centerline of the test probe so that at
contact with the knee it is colinear within 2 degrees with the
longitudinal centerline of the femur load cell simulator.
(5) Guide the pendulum so that there is no significant lateral,
vertical or rotational movement at time zero.
(6) Impact the knee with the test probe so that the longitudinal
centerline of the test probe at the instant of impact falls within .5
degrees of a horizontal line parallel to the femur load cell simulator
at time zero.
(7) Time zero is defined as the time of contact between the test
probe and the knee.
(51 FR 26701, July 25, 1986, as amended at 53 FR 8765, Mar. 17, 1988)
49 CFR 572.36 Test conditions and instrumentation.
(a) The test probe used for thoracic impact tests is a 6 inch
diameter cylinder that weighs 51.5 pounds including instrumentation.
Its impacting end has a flat right angle face that is rigid and has an
edge radius of 0.5 inches. The test probe has an accelerometer mounted
on the end opposite from impact with its sensitive axis colinear to the
longitudinal centerline of the cylinder.
(b) Test probe used for the knee impact tests is a 3 inch diameter
cylinder that weights 11 pounds including instrumentation. Its
impacting end has a flat right angle face that is rigid and has an edge
radius of 0.02 inches. The test probe has an accelerometer mounted on
the end opposite from impact with its sensitive axis colinear to the
longitudinal centerline of the cylinder.
(c) Head accelerometers shall have dimensions, response
characteristics, and sensitive mass locations specified in drawing
78051-136, revision A or its equivalent and be mounted in the head as
shown in drawing 78051-61, revision T, and in the assembly shown in
drawing 78051-218, revision R.
(d) The neck transducer shall have the dimensions, response
characteristics, and sensitive axis locations specified in drawing
83-5001-008 or its equivalent and be mounted for testing as shown in
drawing 79051-63, revision W, and in the assembly shown in drawing
78051-218, revision R.
(e) The chest acclerometers shall have the dimensisons, response
characteristics, and sensitive mass locations specified in drawing
78051-136, revision A or its equivalent and be mounted as shown with
adaptor assembly 78051-116, revision D for assembly into 78051-218,
revision R.
(f) The chest deflection transducer shall have the dimensions and
response characteristics specified in drawing 78051-342, revision A or
equivalent and be mounted in the chest deflection transducer assembly
78051-317, revision A for assembly into 78051-218, revision R.
(g) The thorax and knee impactor accelerometers shall have the
dimensions and characteristics of Endevco Model 7231c or equivalent.
Each accelerometer shall be mounted with its sensitive axis colinear
with the pendulum's longitudinal centerline.
(h) The femur load cell shall have the dimensions, response
characteristics, and sensitive axis locations specified in drawing
78051-265 or its equivalent and be mounted in assemblies 78051-46 and
-47 for assembly into 78051-218, revision R.
(i) The outputs of acceleration and force-sensing devices installed
in the dummy and in the test apparatus specified by this part are
recorded in individual data channels that conform to the requirements of
SAE Recommended Practice J211, JUN 1980, ''Instrumentation for Impact
Tests,'' with channel classes as follows:
(1) Head acceleration -- Class 1000
(2) Neck force -- Class 60
(3) Neck pendulum acceleration -- Class 60
(4) Thorax and thorax pendulum acceleration -- Class 180
(5) Thorax deflection -- Class 180
(6) Knee pendulum acceleration -- Class 600
(7) Femur force -- Class 600
(j) Coordinate signs for instrumentation polarity conform to the sign
convention shown in the document incorporated by 572.31(a)(5).
(k) The mountings for sensing devices shall have no resonance
frequency within range of 3 times the frequency range of the applicable
channel class.
(l) Limb joints are set at lg, barely restraining the weight of the
limb when it is extended horizontally. The force required to move a
limb segment shall not exceed 2g throughout the range of limb motion.
(m) Performance tests of the same component, segment, assembly, or
fully assembled dummy are separated in time by period of not less than
30 minutes unless otherwise noted.
(n) Surfaces of dummy components are not painted except as specified
in this part or in drawings subtended by this part.
(51 FR 26701, July 25, 1986, as amended at 53 FR 8765, Mar. 17, 1988)
49 CFR 572.36 Subpart F -- Side Impact Dummy 50th Percentile Male
Source: 55 FR 45766, Oct. 30, 1990, unless otherwise noted.
49 CFR 572.40 Incorporated materials.
(a) The drawings, specifications, manual, and computer program
referred to in this regulation that are not set forth in full are hereby
incorporated in this part by reference. These materials are thereby
made part of this regulation. The Director of the Federal Register has
approved the materials incorporated by reference. For materials subject
to change, only the specific version approved by the Director of the
Federal Register and specified in the regulation are incorporated. A
notice of any change will be published in the Federal Register. As a
convenience to the reader, the materials incorporated by reference are
listed in the Finding Aid Table found at the end of this volume of the
Code of Federal Regulations.
(b) The materials incorporated in this part by reference are
available for examination in the general reference section of Docket
79-04, Docket Section, National Highway Traffic Safety Administration,
room 5109, 400 Seventh Street, SW., Washington, DC. Copies may be
obtained from Rowley-Scher Reprographics, Inc., 1111 14th Street, NW.,
Washington,DC. 20005, telephone (202) 628-6667 or 408-8789.
49 CFR 572.41 General description.
(a) The dummy consists of component parts and component assemblies
(SA-SID-M001 and SA-SID-M001A) which are described in approximately 250
drawings and specifications that are set forth in part 572.5(a) of this
chapter with the following changes and additions which are described in
approximately 85 drawings and specifications (incorporated by reference;
see 572.40):
(1) The head assembly consists of the assembly specified in subpart B
( 572.6(a)) and conforms to each of the drawings subtended under drawing
SA 150 M010 and drawings specified in SA-SID-M010, dated August 13,
1987.
(2) The neck assembly consists of the assembly specified in subpart B
( 572.7(a)) and conforms to each of the drawings subtended under drawing
SA 150 M020 and drawings shown in SA-SID-M010, dated August 13, 1987.
(3) The thorax assembly consists of the assembly shown as number
SID-053 and conforms to each applicable drawing subtended by number SA
SID-M030, dated August 13, 1987.
(4) The lumbar spine consists of the assembly specified in subpart B
( 572.9(a)) and conforms to drawing SA 150 M050 and drawings subtended
by SA-SID-M050, dated August 13, 1987.
(5) The abdomen and pelvis consist of the assembly specified in
subpart B ( 572.9) and conform to the drawings subtended by SA 150 M060
and drawings subtended by SA-SID-M060, dated August 13, 1987.
(6) The lower limbs consist of the assemblies specified in subpart B
( 572.10) shown as SA 150 M080 and SA 150 M081 in Figure 1 and
SA-SID-M080 and SA-SID-M081, both dated August 13, 1987, and conform to
the drawings subtended by those numbers.
(b) The structural properties of the dummy are such that the dummy
conforms to the requirements of this subpart in every respect both
before and after being used in vehicle tests specified in Standard No
214 571.214 of this chapter.
(c) Disassembly, inspection, and assembly procedures; external
dimensions and weight; and a dummy drawing list are set forth in the
Side Impact Dummy (SID) User's Manual, dated July 1990 (incorporated by
reference; see 572.40).
49 CFR 572.42 Thorax.
(a) When the thorax of a completely assembled dummy (SA-SID-M001A),
appropriately assembled for right or left side impact, is impacted by a
test probe conforming to 572.44(a) at 14 fps in accordance with
paragraph (b) of this section, the peak accelerations at the location of
the accelerometers mounted on the thorax in accordance with 572.44(b)
shall be:
(1) For the accelerometer at the top of the Rib Bar on the struck
side (LUR or RUR) not less than 37 g's and not more than 46 g's.
(2) For the accelerometer at the bottom of the Rib Bar on the struck
side (LLR or RLR) not less than 37 g's and not more than 46 g's.
(3) For the lower thoracic spine (T12) not less than 15 g's and not
more than 22 g's.
(b) Test Procedure. (1) Adjust the dummy legs as specified in
572.44(f). Seat the dummy on a seating surface as specified in
572.44(h) with the limbs extended horizontally forward.
(2) Place the longitudinal centerline of the test probe at the
lateral side of the chest at the intersection of the centerlines of the
third rib and the Rib Bar on the desired side of impact. This is the
left side if the dummy is to be used on the driver's side of the vehicle
and the right side if the dummy is to be used on the passenger side of
the vehicle. The probe's centerline is perpendicular to thorax's
midsagittal plane.
(3) Align the test probe so that its longitudinal centerline
coincides with the line formed by the intersection of the transverse and
frontal planes perpendicular to the chest's midsagittal plane passing
through the designated impact point.
(4) Position the dummy as specified in 572.44(h), so that the
thorax's midsagittal plane and tangential plane to the Hinge Mounting
Block (Drawing SID-034) are vertical.
(5) Impact the thorax with the test probe so that at the moment of
impact at the designated impact point, the probe's longitudinal
centerline falls within 2 degrees of a horizontal line perpendicular to
the dummy's midsagittal plane and passing through the designated impact
point.
(6) Guide the probe during impact so that it moves with no
significant lateral, vertical or rotational movement.
(7) Allow a time period of at least 20 minutes between successive
tests of the chest.
49 CFR 572.43 Lumbar spine and pelvis.
(a) When the pelvis of a fully assembled dummy (SA-SID-M001A) is
impacted laterally by a test probe conforming to 572.44(a) at 14 fps in
accordance with paragraph (b) of this section, the peak acceleration at
the location of the accelerometer mounted in the pelvis cavity in
accordance with 57-2.44(c) shall be not less than 40g and not more than
60g. The acceleration-time curve for the test shall be unimodal and
shall lie at or above the +20g level for an interval not less than 3
milliseconds and not more than 7 milliseconds.
(b) Test Procedure. (1) Adjust the dummy legs as specified in
572.44(f). Seat the dummy on a seating surface as specified in
572.44(h) with the limbs extended horizontally forward.
(2) Place the longitudinal centerline of the test probe at the
lateral side of the pelvis at a point 3.9 inches vertical from the
seating surface and 4.8 inches ventral to a transverse vertical plane
which is tangent to the back of the dummy's buttocks.
(3) Align the test probe so that at impact its longitudinal
centerline coincides with the line formed by intersection of the
horizontal and vertical planes perpendicular to the midsagittal plane
passing through the designated impact point.
(4) Adjust the dummy so that its midsagittal plane is vertical and
the rear surfaces of the thorax and buttocks are tangent to a transverse
vertical plane.
(5) Impact the pelvis with the test probe so that at the moment of
impact the probe's longitudinal centerline falls within 2 degrees of the
line specified in paragraph (b)(3) of this section.
(6) Guide the test probe during impact so that it moves with no
significant lateral, vertical or rotational movement.
(7) Allow a time period of at least 2 hours between successive tests
of the pelvis.
49 CFR 572.44 Instrumentation and test conditions.
(a) The test probe used for lateral thoracic and pelvis impact tests
is a 6 inch diameter cylinder that weighs 51.5 pounds including
instrumentation. Its impacting end has a flat right angle face that is
rigid and has an edge radius of 0.5 inches.
(b) Three accelerometers are mounted in the thorax for measurement of
lateral accelerations with each accelerometer's sensitive axis aligned
to be closely perpendicular to the thorax's midsagittal plane. The
accelerometers are mounted in the following locations:
(1) One accelerometer is mounted on the Thorax to Lumbar Adaptor
(SID-005) by means of a T12 Accelerometer Mounting Platform (SID-009)
and T12 Accelerometer Mount (SID-038) with its seismic mass center at
any distance up to 0.4 inches from a surface point on the Thorax to
Lumbar Adaptor where two perpendicular planes aligned with the adaptor's
vertical and horizontal center lines intersect.
(2) Two accelerometers are mounted, one on the top and the other at
the bottom part of the Rib Bar (SID-024) on the struck side. Their
seismic mass centers are at any distance up to .4 inches from a point on
the Rib Bar surface located on its longitudinal center line .75 inches
from the top for the top accelerometer and .75 inches from the bottom,
for the bottom accelerometer.
(c) One accelerometer is mounted in the pelvis for measurement of the
lateral acceleration with its sensitive axis perpendicular to the pelvic
midsagittal plane. The accelerometer is mounted on the rear wall of the
instrument cavity (Drawing SID-087), with its seismic mass center
located from a point 0.9 inches upward and 0.5 inches to the left of the
mounting bolt centerline and 0.4 to 0.5 inches rearward of the rear wall
of the instrument cavity.
(d) Instrumentation and sensors used must conform to the SAE J-211
(1980) recommended practice requirements (incorporated by reference;
see 572.40). The outputs of the accelerometers installed in the dummy
are then processed with the software for the Finite Impulse Response
(FIR) filter (FIR 100 software). The FORTRAN program for this FIR 100
software (FIR100 Filter Program, Version 1.0, July 16, 1990) is
incorporated by reference in this Part (see 572.40). The data are
processed in the following manner:
(1) Analog data recorded in accordance with SAE J-211 (1980)
recommended practice channel class 1000 specification.
(2) Filter the data with a 300 Hz, SAE Class 180 filter;
(3) Subsample the data to a 1600 Hz sampling rate;
(4) Remove the bias from the subsampled data, and
(5) Filter the data with the FIR100 Filter Program (Version 1.0, July
16, 1990), which has the following characteristics --
(i) Passband frequency, 100 Hz.
(ii) Stopband frequency, 189 Hz.
(iii) Stopband gain, ^50 db.
(iv) Passband ripple, 0.0225 db.
(e) The mountings for the spine, rib and pelvis accelerometers shall
have no resonance frequency within a range of 3 times the frequency
range of the applicable channel class.
(f) Limb joints of the test dummy are set at the force between 1-2
g's, which just supports the limbs' weight when the limbs are extended
horizontally forward. The force required to move a limb segment does
not exceed 2 g's throughout the range of limb motion.
(g) Performance tests are conducted at any temperature from 66 F to
78 F and at any relative humidity from 10 percent to 70 percent after
exposure of the dummy to these conditions for a period of not less than
4 hours.
(h) For the performance of tests specified in 572.42 and 572.43,
the dummy is positioned as follows:
(1) The dummy is placed on a flat, rigid, clean, dry, horizontal
smooth aluminum surface whose length and width dimensions are not less
than 16 inches, so that the dummy's midsagittal plane is vertical and
centered on the test surface. The dummy's torso is positioned to meet
the requirements of 572.42 and 572.43. The seating surface is without
the back support and the test dummy is positioned so that the dummy's
midsagittal plane is vertical and centered on the seat surface.
(2) The legs are positioned so that their centerlines are in planes
parallel to the midsagittal plane.
(3) Performance pre-tests of the assembled dummy are separated in
time by a period of not less than 20 minutes unless otherwise specified.
(4) Surfaces of the dummy components are not painted except as
specified in this part or in drawings subtended by this part.
(55 FR 45766, Oct. 30, 1990, as amended at 56 FR 47011, Sept. 17,
1991)
49 CFR 572.44 Subparts G-I -- (Reserved)
49 CFR 572.44 Subpart J -- 9-Month Old Child
Source: 56 FR 41080, Aug. 19, 1991, unless otherwise noted.
Effective Date Note: At 56 FR 41080, Aug. 19, 1991, subpart J to
part 572 was added, effective February 15, 1992.
49 CFR 572.80Incorporated materials.
The drawings and specifications referred to in 572.81(a) that are
not set forth in full are hereby incorporated in this part by reference.
These materials are thereby made part of this regulation. The Director
of the Federal Register approved the materials incorporated by reference
in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies of the
materials may be obtained from Rowley-Scher Reprographics, Inc., 1216 K
Street, NW., Washington, DC 20002, telephone (202) 628-6667. Copies are
available for inspection in the general reference section of Docket
89-11, Docket Section, National Highway Traffic Safety Administration,
room 5109, 400 Seventh Street, SW., Washington, DC, or at the Office of
the Federal Register, 1100 L Street NW., room 8401, Washington, DC.
49 CFR 572.81General description.
(a) The dummy consists of: (1) The assembly specified in drawing LP
1049/A, March 1979, which is described in its entirety by means of
approximately 54 separate drawings and specifications, 1049/1 through
1049/54; and (2) a parts list LP 1049/0 (5 sheets); and, (3) a report
entitled, ''The TNO P3/4 Child Dummy Users Manual,'' January 1979,
published by Instituut voor Wegtransportmiddelen TNO.
(b) Adjacent dummy segments are joined in a manner such that
throughout the range of motion and also under simulated crash-impact
conditions there is no contact between metallic elements except for
contacts that exist under static conditions.
(c) The structural properties of the dummy are such that the dummy
conforms to this part in every respect both before and after being used
in dynamic tests such as that specified in Standard No. 213 of this
chapter ( 571.213).
49 CFR 572.82Head.
The head consists of the assembly shown in drawing LP 1049/A and
conforms to each of the applicable drawings listed under LP 1049/0
through 54.
49 CFR 572.83Head-neck.
The head-neck assembly shown in drawing 1049/A consists of parts
specified as items 1 through 16 and in item 56.
49 CFR 572.84Thorax.
The thorax consists of the part of the torso shown in assembly
drawing LP 1049/A and conforms to each of the applicable drawings listed
under LP 1049/0 through 54.
49 CFR 572.85Lumbar spine flexure.
(a) When subjected to continuously applied force in accordance with
paragraph (b) of this section, the lumbar spine assembly shall flex by
an amount that permits the thoracic spine to rotate from its initial
position in accordance with Figure No. 18 of 572.21 (49 CFR part 572)
by 40 degrees at a force level of not less than 18 pounds and not more
than 22 pounds, and straighten upon removal of the force to within 5
degrees of its initial position.
(b) Test procedure. (1) The lumbar spine flexure test is conducted
on a dummy assembly as shown in drawing LP 1049/A, but with the arms
(which consist of parts identified as items 17 through 30) and all
head-neck parts (identified as items 1 through 13 and 59 through 63),
removed.
(2) With the torso assembled in an upright position, adjust the
lumbar cable by tightening the adjustment nut for the lumbar vertebrae
until the spring is compressed to 2/3 of its unloaded length.
(3) Position the dummy in an upright seated position on a seat as
indicated in Figure No. 18 of 572.21 (lower legs do not need to be
removed, but must be clamped firmly to the seating surface), ensuring
that all dummy component surfaces are clean, dry and untreated unless
otherwise specified.
(4) Firmly affix the dummy to the seating surface through the pelvis
at the hip joints by suitable clamps that also prevent any relative
motion with respect to the upper legs during the test in 572.65(c)(3)
of this part. Install a pull attachment at the neck to torso juncture
as shown in Figure 18 of 572.21.
(5) Flex the thorax forward 50 degrees and then rearward as necessary
to return it to its initial position.
(6) Apply a forward pull force in the midsagittal plane at the top of
the neck adapter so that at 40 degrees of the lumbar spine flexion the
applied force is perpendicular to the thoracic spine box. Apply the
force at any torso deflection rate between 0.5 and 1.5 degrees per
second up to 40 degrees of flexion but no further; maintain 40 degrees
of flexion for 10 seconds, and record the highest applied force during
that time. Release all force as rapidly as possible and measure the
return angle three minutes after release.
49 CFR 572.86Test conditions and dummy adjustment.
(a) With the complete torso on its back lying on a horizontal surface
and the neck assembly mounted and shoulders on the edge of the surface,
adjust the neck such that the head bolt is lowered 0.40 0.05 inches
(10 1 mm) after a vertically applied load of 11.25 pounds (50 N)
applied to the head bolt is released.
(b) With the complete torso on its back with the adjusted neck
assembly as specified in 572.66(a), and lying on a horizontal surface
with the shoulders on the edge of the surface, mount the head and
tighten the head bolt and nut firmly, with the head in horizontal
position. Adjust the head joint at the force between 1-2g, which just
supports the head's weight.
(c) Using the procedures described below, limb joints are set at the
force between 1-2g, which just supports the limbs' weight when the limbs
are extended horizontally forward:
(1) With the complete torso lying with its front down on a horizontal
surface, with the hip joint just over the edge of the surface, mount the
upper leg and tighten hip joint nut firmly. Adjust the hip joint by
releasing the hip joint nut until the upper leg just starts moving.
(2) With the complete torso and upper leg lying with its front up on
a horizontal surface, with the knee joint just over the edge of the
surface, mount the lower leg and tighten knee joint firmly. Adjust the
knee joint by releasing the knee joint nut until the lower leg just
starts moving.
(3) With the torso in an upright position, mount the upper arm and
tighten firmly the adjustment bolts for the shoulder joint with the
upper arm placed in a horizontal position. Adjust the shoulder joint by
releasing the shoulder joint nut until the upper arm just starts moving.
(4) With the complete torso in an upright position and upper arm in a
vertical position, mount the forearm in a horizontal position and
tighten the elbow hinge bolt and nut firmly. Adjust the elbow joint nut
until the forearm just starts moving.
(d) With the torso assembled in an upright position, the adjustment
nut for the lumbar vertebrae is tightened until the spring is compressed
to 2/3 of its unloaded length.
(e) Performance tests are conducted at any temperature from 66 to 78
degrees F and at any relative humidity from 10 percent to 70 percent
after exposure of the dummy to these conditions for a period of not less
than four hours.
(f) Performance tests of the same component, segment, assembly or
fully assembled dummy are separated in time by a period of not less than
20 minutes unless otherwise specified.
(g) Surfaces of the dummy components are not painted except as
specified in the part or in drawings incorporated by this part.
49 CFR 572.86 PART 573 -- DEFECT AND NONCOMPLIANCE REPORTS
Sec.
573.1 Scope.
573.2 Purpose.
573.3 Application.
573.4 Definitions.
573.5 Defect and noncompliance information report.
573.6 Quarterly reports.
573.7 Purchaser and owner lists.
573.8 Notices, bulletins, and other communications.
573.9 Address for submitting required reports and other information.
Authority: 15 U.S.C. 1397, 1401, 1408, 1411-20; delegation of
authority at 49 CFR 1.50.
Source: 43 FR 60169, Dec. 26, 1978, unless otherwise noted.
49 CFR 573.1Scope.
This part specifies requirements for manufacturers to maintain lists
of purchasers and owners notified of defective and noncomplying motor
vehicles and motor vehicle original and replacement equipment, and for
reporting to the National Highway Traffic Safety Administration defects
in motor vehicles and motor vehicle equipment, for reporting
nonconformities to motor vehicle safety standards, for providing
quarterly reports on defect and noncompliance notification campaigns,
and for providing copies to NHTSA of communications with distributors,
dealers, and purchasers regarding defects and noncompliances.
(43 FR 60169, Dec. 26, 1978, as amended at 44 FR 20437, Apr. 5, 1979)
49 CFR 573.2Purpose.
The purpose of this part is to inform NHTSA of defective and
noncomplying motor vehicles and items of motor vehicle equipement, and
to obtain information for NHTSA on the adequacy of manufacturers' defect
and noncompliance notification campaigns, on corrective action, on owner
response, and to compare the defect incidence rate among different
groups of vehicles.
49 CFR 573.3Application.
(a) This part applies to manufacturers of complete motor vehicles,
incomplete motor vehicles, and motor vehicle orginal and replacement
equipment, with respect to all vehicles and equipment that have been
transported beyond the direct control of the manufacturer.
(b) In the case of a defect or noncompliance determined to exist in a
motor vehicle or equipment item imported into the United States,
comliance with 573.5 and 573.6 by either the fabricating manufacturer
or the importer of the vehicle or equipment item shall be considered
compliance by both.
(c) In the case of a defect or noncompliance determined to exist in a
vehicle manufactured in two or more stages, compliance with 573.5 and
573.6 by either the manufacturer of the incomplete vehicle or any
subsequent manufacturer of the vehicle shall be considered compliance by
all manufacturers.
(d) In the case of a defect or noncompliance determined to exist in
an item of replacement equipment (except tires) compliance with 573.5
and 573.6 by the brand name or trademark owner shall be considered
compliance by the manufacturer. Tire brand name owners are considered
manufacturers (15 U.S.C. 1419(1)) and have the same reporting
requirements as manufacturers.
(e) In the case of a defect or noncompliance determined to exist in
an item of original equipment used in the vehicles of only one vehicle
manufacturer, compliance with 573.5 and 573.6 by either the vehicle or
equipment manufacturer shall be considered compliance by both.
(f) In the case of a defect or noncompliance determined to exist in
original equipment installed in the vehicles of more than one vehicle
manufacturer, compliance with 573.5 is required of the equipment
manufacturer as to the equipment item, and of each vehicle manufacturer
as to the vehicles in which the equipment has been installed.
Compliance with 573.6 is required of the manufacturer who is conducting
a recall campaign.
49 CFR 573.4Definitions.
For purposes of this part:
Act means the National Traffic and Motor Vehicle Safety Act of 1966,
as amended (15 U.S.C. 1391 et seq.).
Administrator means the Administrator of the National Highway Traffic
Safety Administration or his delegate.
First purchaser means first purchaser for purposes other than resale.
49 CFR 573.5Defect and noncompliance information report.
(a) Each manufacturer shall furnish a report to the NHTSA for each
defect in his vehicles or in his items of original or replacement
equipment that he or the Administrator determines to be related to motor
vehicle safety, and for each noncompliance with a motor vehicle safety
standard in such vehicles or items of equipment which either he or the
Administrator determines to exist.
(b) Each report shall be submitted not more than 5 working days after
a defect in a vehicle or item of equipment has been determined to be
safety related, or a noncompliance with a motor vehicle safety standard
has been determined to exist. Information required by paragraph (c) of
this section that is not available within that period shall be submitted
as it becomes available. Each manufacturer submitting new information
relative to a previously submitted report shall refer to the
notification campaign number when a number has been assigned by the
NHTSA.
(c) Each manufacturer shall include in each report the information
specified below.
(1) The manufacturer's name: The full corporate or individual name
of the fabricating manufacturer and any brand name or trademark owner of
the vehicle or item of equipment shall be spelled out, except that such
abbreviations as ''Co.'' or ''Inc.'', and their foreign equivalents, and
the first and middle initials of individuals, may be used. In the case
of a defect or noncompliance determined to exist in an imported vehicle
or item of equipment, the agent designated by the fabricating
manufacturer pursuant to section 110(e) of the National Traffic and
Motor Vehicle Safety Act (15 U.S.C. 1399(e)) shall be also stated. If
the fabricating manufacturer is a corporation that is controlled by
another corporation that assumes responsibility for compliance with all
requirements of this part the name of the controlling corporation may be
used.
(2) Identification of the vehicles or items of motor vehicle
equipment potentially containing the defect or noncompliance.
(i) In the case of passenger cars, the identification shall be by the
make, line, model year, the inclusive dates (month and year) of
manufacture, and any other information necessary to describe the
vehicles.
(ii) In the case of vehicles other than passenger cars, the
identification shall be by body style or type, inclusive dates (month
and year) of manufacture and any other information necessary to describe
the vehicles, such as GVWR or class for trucks, displacement (cc) for
motorcycles, and number of passengers for buses.
(iii) In the case of items of motor vehicle equipment, the
identification shall be by the generic name of the component (tires,
child seating systems, axles, etc.), part number, size and function if
applicable, the inclusive dates (month and year) of manufacture if
available and any other information necessary to describe the items.
(3) The total number of vehicles or items of equipment potentially
containing the defect or noncompliance, and where available the number
of vehicles or items of equipment in each group identified pursuant to
paragraph (c)(2) of this section.
(4) The percentage of vehicles or items of equipment specified
pursuant to paragraph (c)(2) of this section estimated to actually
contain the defect or noncompliance.
(5) A description of the defect or noncompliance, including both a
brief summary and a detailed description, with graphic aids as
necessary, of the nature and physical location (if applicable) of the
defect or noncompliance.
(6) In the case of a defect, a chronology of all principal events
that were the basis for the determination that the defect related to
motor vehicle safety, including a summary of all warranty claims, field
or service reports, and other information, with their dates of receipt.
(7) In the case of a noncompliance, the test results or other data on
the basis of which the manufacturer determined the existence of the
noncompliance.
(8) A description of the manufacturer's program for remedying the
defect or noncompliance. The manufacturer's program will be available
for inspection in the public docket, Room 5109, Nassif Building, 400
Seventh St., SW., Washington, DC 20950.
(9) A representative copy of all notices, bulletins, and other
communications that relate directly to the defect or noncompliance and
are sent to more than one manufacturer, distributor, dealer, or
purchaser. These copies shall be submitted to the NHTSA not later than
5 days after they are initially sent to manufacturers, distributors,
dealers, or purchasers. In the case of any notification sent by the
manufacturer pursuant to Part 577 of this chapter, the copy of the
notification shall be submitted by certified mail.
(43 FR 60169, Dec. 26, 1978, as amended at 44 FR 20437, Apr. 5, 1979;
48 FR 44081, Sept. 27, 1983)
49 CFR 573.6 Quarterly reports.
(a) Each manufacturer who is conducting a defect or noncompliance
notification campaign to manufacturers, distributors, dealers, or
purchasers, shall submit to NHTSA a report in accordance with paragraphs
(b) and (c) of this section, not more than 25 working days after the
close of each calendar quarter. Unless otherwise directed by the NHTSA,
the information specified in paragraphs (b)(1) through (5) of this
section shall be included in the quarterly report, with respect to each
notification campaign, for each of six consecutive quarters beginning
with the quarter in which the campaign was initiated (i.e., the date of
initial mailing of the defect or noncompliance notification to owners)
or corrective action has been completed on all defective or noncomplying
vehicles or items of replacement equipment involved in the campaign,
whichever occurs first.
(b) Each report shall include the following information identified by
and in the order of the subparagraph headings of this paragraph.
(1) The notification campaign number assigned by NHTSA.
(2) The date notification began and the date completed.
(3) The number of vehicles or items of equipment involved in the
notification campaign.
(4) The number of vehicles and equipment items which have been
inspected and repaired and the number of vehicles and equipment items
inspected and determined not to need repair.
(5) The number of vehicles or items of equipment determined to be
unreachable for inspection due to export, theft, scrapping, failure to
receive notification, or other reasons (specify). The number of
vehicles or items or equipment in each category shall be specified.
(c) Information supplied in response to the paragraphs (b)(4) and (5)
of this section shall be cumulative totals.
(51 FR 398, Jan. 6, 1986)
49 CFR 573.7Purchaser and owner lists.
(a) Each manufacturer of motor vehicles shall maintain, in a form
suitable for inspection such as computer information storage devices or
card files, a list of the names and addresses of the registered owners,
as determined through State motor vehicle registration records or other
sources, or the most recent purchasers where the registered owners are
unknown, for all vehicles involved in a defect or noncompliance
notification campaign initiated after the effective date of this part.
The list shall include the vehicle identification number for each
vehicle and the status of remedy with respect to each vehicle, updated
as of the end of each quarterly reporting period specified in 573.6.
Each list shall be retained, beginning with the date on which the defect
or noncompliance information report required by 573.5 is initially
submitted to the NHTSA, for 5 years.
(b) Each manufacturer (including brand name owners) of tires shall
maintain, in a form suitable for inspection such as computer information
storage devices or card files, a list of the names and addresses of the
first purchasers of his tires for all tires involved in a defect or
noncompliance notification campaign initiated after the effective date
of this part. The list shall include the tire identification number of
all tires and shall show the status of remedy with respect to each owner
involved in each notification campaign, updated as of the end of each
quarterly reporting period specified in 573.6. Each list shall be
retained, beginning with the date on which the defect information report
is initially submitted to the NHTSA, for 3 years.
(c) For each item of equipment involved in a defect or noncompliance
notification campaign initiated after the effective date of this part,
each manufacturer of motor vehicle equipment other than tires shall
maintain, in a form suitable for inspection, such as computer
information storage devices or card files, a list of the names and
addresses of each distributor and dealer of such manufacturer, each
motor vehicle or motor vehicle equipment manufacturer and most recent
purchaser known to the manufacturer to whom a potentially defective or
noncomplying item of equipment has been sold and to whom notification is
sent, the number of such items sold to each, and the date of shipment.
The list shall show as far as is practicable the number of items
remedied or returned to the manufacturer and the dates of such remedy or
return. Each list shall be retained, beginning with the date on which
the defect report required by 573.5 is initially submitted to the NHTSA
for 5 years.
(43 FR 60169, Dec. 26, 1978, as amended at 44 FR 20437, Apr. 5, 1979)
49 CFR 573.8Notices, bulletins, and other communications.
Each manufacturer shall furnish to the NHTSA a copy of all notices,
bulletins, and other communications (including warranty and policy
extension communiques and product improvement bulletins), other than
those required to be submitted pursuant to 573.5(c)(9), sent to more
than one manufacturer, distributor, dealer, or purchaser, regarding any
defect in his vehicles or items of equipment ((including any failure or
malfunction beyond normal deterioration in use, or any failure of
performance, or any flaw or unintended deviation from design
specifications)), whether or not such defect is safety-related. Copies
shall be submitted monthly, not more than 5 working days after the end
of each month.
49 CFR 573.9Address for submitting required reports and other
information.
All required reports and other information, except as otherwise
required by this part, shall be submitted to the Associate Administrator
for Enforcement, National Highway Traffic Safety Administration,
Washington, DC 20590.
49 CFR 573.9 PART 574 -- TIRE IDENTIFICATION AND RECORDKEEPING
Sec.
574.1 Scope.
574.2 Purpose.
574.3 Definitions.
574.4 Applicability.
574.5 Tire identification requirements.
574.6 Identification mark.
574.7 Information requirements -- new tire manufacturers, new tire
brand name owners.
574.8 Information requirements -- tire distributors and dealers.
574.9 Requirements for motor vehicle dealers.
574.10 Requirements for motor vehicle manufacturers.
Authority: 15 U.S.C. 1392, 1401, 1403, 1407, 1411-1420, 1421;
delegation of authority at 49 CFR 1.50.
Editorial Note: An interpretation of manufacturer's designee issued
by NHTSA and published at 36 FR 9780, May 28, 1971, provides as follows:
''A request for an interpretation has been received from the Rubber
Manufacturers Association asking that it be made clear that, under the
Tire Identification and Recordkeeping Regulation (Part 574),
particularly 574.7 and 574.8, only the tire manufacturer, brand name
owner, or retreader may designate a third party to provide the necessary
recording forms or to maintain the records required by the regulation.
Another person has requested an interpretation concerning the
questions whether: (1) A tire manufacturer, brand name owner or
retreader may designate one or more persons to be its designee for the
purpose of maintaining the information, (2) an independent distributor
or dealer may select a designee for the retention of the manufacturer's
records, provided the manufacturer approves the designation, and (3) the
independent distributor or dealer may seek administrative relief in the
event he believes the information retained by the manufacturer is being
used to his detriment.
Under section 113(f) of the National Traffic and Motor Vehicle Safety
Act (15 U.S.C. 1402(f) and Part 574, it is the tire manufacturer who has
the ultimate responsibility for maintaining the records of first
purchasers. Therefore, it is the tire manufacturer or his designee who
must maintain these records. The term ''designee'', as used in the
regulation, was not intended to preclude multiple designees; if the
tire manufacturer desires, he may designate more than one person to
maintain the required information. Furthermore, neither the Act nor the
regulation prohibits the distributor or dealer from being the
manufacturer's designee nor do they prohibit a distributor or dealer
from selecting someone to be the manufacturer's designee provided the
manufacturer approves of the selection.
With respect to the possibility of manufacturers using the maintained
information to the detriment of a distributor or dealer, the NHTSA will
of course investigate claims by distributors or dealers of alleged
misconduct and, if the maintained information is being misused, take
appropriate action.
Issued under the authority of sections 103, 113, and 119 of the
National Traffic and Motor Vehicle Safety Act, 15 U.S.C. 1392, 1402, and
1407, and the delegation of authority at 49 CFR 1.51.''
49 CFR 574.1 Scope.
This part sets forth the method by which new tire manufacturers and
new tire brand name owners shall identify tires for use on motor
vehicles and maintain records of tire purchasers, and the methods by
which retreaders and retreaded tire brand name owners shall identify
tires for use on motor vehicles. This part also sets forth the methods
by which independent tire dealers and distributors shall record, on
registration forms, their names and addresses and the identification
number of the tires sold to tire purchasers and provide the forms to the
purchasers, so that the purchasers may report their names to the new
tire manufacturers and new tire brand name owners, and by which other
tire dealers and distributors shall record and report the names of tire
purchasers to the new tire manufacturers and new tire brand name owners.
(Secs. 108, 119, and 201, Pub. L. 89-563, 80 Stat. 718 (15 U.S.C.
1392, 1407, and 1421); sec. 4, Pub. L. 97-311, 96 Stat. 1619 (15 U.S.C.
1418); and delegation of authority at 49 CFR 1.50)
(49 FR 4760, Feb. 8, 1984)
49 CFR 574.2Purpose.
The purpose of this part is to facilitate notification to purchasers
of defective or nonconforming tires, pursuant to sections 151 and 152 of
the National Traffic and Motor Vehicle Safety Act of 1966, as amended
(15 U.S.C. 1411 and 1412) (hereafter the Act), so that they may take
appropriate action in the interest of motor vehicle safety.
(36 FR 1197, Jan. 26, 1971, as amended at 43 FR 60171, Dec. 26, 1978)
49 CFR 574.3Definitions.
(a) Statutory definitions. All terms in this part that are defined
in section 102 of the Act are used as defined therein.
(b) Motor vehicle safety standard definitions. Unless otherwise
indicated, all terms used in this part that are defined in the Motor
Vehicle Safety Standards, Part 571 of this subchapter (hereinafter the
Standards), are used as defined therein.
(c)(1) Independent means, with respect to a tire distributor or
dealer, one whose business is not owned or controlled by a tire
manufacturer or brand name owner.
(2) Mileage contract purchaser means a person who purchases or leases
tire use on a mileage basis.
(3) New tire brand name owner means a person, other than a new tire
manufacturer, who owns or has the right to control the brand name of a
new tire or a person who licenses another to purchase new tires from a
new tire manufacturer bearing the licensor's brand name.
(4) Retreaded tire brand name owner means a person, other than a
retreader, who owns or has the right to control the brand name of a
retreaded tire or a person who licenses another to purchase retreaded
tires from a retreader bearing the licensor's brand name.
(5) Tire purchaser means a person who buys or leases a new tire, or
who buys or leases for 60 days or more a motor vehicle containing a new
tire for purposes other than resale.
(Secs. 103, 108, 112, 119, 201, Pub. L. 89-563, 80 Stat. 718 (15
U.S.C. 1392, 1397, 1401, 1407, 1421); secs. 102, 103, 104, Pub. L.
93-492, 88 Stat. 1470 (15 U.S.C. 1411-1420); 92 Stat. 2689 (15 U.S.C.
1418); delegation of authority at 49 CFR 1.51)
(36 FR 1197, Jan. 26, 1971, as amended at 44 FR 7964, Feb. 8, 1979;
49 FR 38612, Oct. 1, 1984)
49 CFR 574.4Applicability.
This part applies to manufacturers, brand name owners, retreaders,
distributors, and dealers of new and retreaded tires, and new
non-pneumatic tires and non-pneumatic tire assemblies for use on motor
vehicles manufactured after 1948 and to manufacturers and dealers of
motor vehicles manufactured after 1948. However, it does not apply to
persons who retread tires solely for their own use.
(36 FR 5422, Mar. 23, 1971, as amended at 55 FR 29596, July 20, 1990)
49 CFR 574.5Tire identification requirements.
Each tire manufacturer shall conspicuously label on one sidewall of
each tire it manufactures, except tires manufactured exclusively for
mileage-contract purchasers, or non-pneumatic tires or non-pneumatic
tire assemblies, by permanently molding into or onto the sidewall, in
the manner and location specified in Figure 1, a tire identification
number containing the information set forth in paragraphs (a) through
(d) of this section. Each tire retreader, except tire retreaders who
retread tires solely for their own use, shall conspicuously label one
sidewall of each tire it retreads by permanently molding or branding
into or onto the sidewall, in the manner and location specified in
Figure 2, a tire identification number containing the information set
forth in paragraphs (a) through (d) of this section. In addition, the
DOT symbol required by Federal Motor Vehicle Safety Standards shall be
located as shown in Figures 1 and 2. The DOT symbol shall not appear on
tires to which no Federal Motor Vehicle Safety Standard is applicable,
except that the DOT symbol on tires for use on motor vehicles other than
passenger cars may, prior to retreading, be removed from the sidewall or
allowed to remain on the sidewall, at the retreader's option. The
symbols to be used in the tire identification number for tire
manufacturers and retreaders are: ''A, B, C, D, E, F, H, J, K, L, M, N,
P, R, T, U, V, W, X, Y, 1, 2, 3, 4, 5, 6, 7, 8, 9, 0''. Tires
manufactured or retreaded exclusively for mileage-contract purchasers
are not required to contain a tire identification number if the tire
contains the phrase ''for mileage contract use only'' permanently molded
into or onto the tire sidewall in lettering at least one-quarter inch
high. Each manufacturer of a non-pneumatic tire or a non-pneumatic tire
assembly shall permanently mold, stamp or otherwise permanently mark
into or onto one side of the non-pneumatic tire or non-pneumatic tire
assembly a tire identification number containing the information set
forth in paragraphs (a) through (d) of this section. In addition, the
DOT symbol required by the Federal motor vehicle safety standards shall
be positioned relative to the tire identification number as shown in
Figure 1, and the symbols to be used for the other information are those
listed above. The labeling for a non-pneumatic tire or a non-pneumatic
tire assembly shall be in the manner specified in Figure 1 and
positioned on the non-pneumatic tire or non-pneumatic tire assembly such
that it is not placed on the tread or the outermost edge of the tire and
is not obstructed by any portion of the non-pneumatic rim or wheel
center member designated for use with that non-pneumatic tire in S4.4 of
Standard No. 129 (49 CFR 571.129).
(a) First grouping. The first group, of two or three symbols,
depending on whether the tire is new or retreaded, shall represent the
manufacturer's assigned identification mark (see 574.6).
(b) Second grouping. For new tires, the second group, of no more
than two symbols, shall be used to identify the tire size. For a new
non-pneumatic tire or a non-pneumatic tire assembly, the second group,
of not more than two symbols, shall be used to identify the
non-pneumatic tire identification code. For retreaded tires, the second
group, of no more than two symbols, shall identify the retread matrix in
which the tire was processed or a tire size code if a matrix was not
used to process the retreaded tire. Each new-tire manufacturer and
retreader shall maintain a record of each symbol used, with the
corresponding matrix or tire size and shall provide such record to the
NHTSA upon written request.
(c) Third grouping. The third group, consisting of no more than four
symbols, may be used at the option of the manufacturer or retreader as a
descriptive code for the purpose of identifying significant
characteristics of the tire. However, if the tire is manufactured for a
brand name owner, one of the functions of the third grouping shall be to
identify the brand name owner. Each manufacturer or retreader who uses
the third grouping shall maintain a detailed record of any descriptive
or brand name owner code used, which shall be provided to the Bureau
upon written request.
(d) Fourth grouping. The fourth group, of three symbols, shall
identify the week and year of manufacture. The first two symbols shall
identify the week of the year using ''01'' for the first full calendar
week in each year. The final week of each year may include not more
than 6 days of the following year. The third symbol shall identify the
year. (Example: 311 means the 31st week of 1971, or August 1 through
7, 1971; 012 means the first week of 1972, or January 2 through 8,
1972.) The symbols signifying the date of manufacture shall immediately
follow the optional descriptive code (paragraph (c) of this section).
If no optional descriptive code is used the symbols signifying the date
of manufacture shall be placed in the area shown in Figures 1 and 2 for
the optional descriptive code.
Insert Illus. 635
Insert Illus. 161A
(36 FR 1197, Jan. 26, 1971, as amended at 36 FR 9870, May 23, 1971;
37 FR 23727, Nov. 8, 1972; 37 FR 25521, Dec. 1, 1972; 39 FR 5192, Feb.
11, 1974; 39 FR 12105, Apr. 3, 1974; 50 FR 2288, Jan. 16, 1985; 50 FR
10774, Mar. 18, 1985; 55 29596, July 20, 1990)
49 CFR 574.6Identification mark.
To obtain the identification mark required by 574.5(a), each
manufacturer of new or retreaded pneumatic tires, non-pneumatic tires or
non-pneumatic tire assemblies shall apply in writing to ''Tire
Identification and Recordkeeping,'' National Highway Traffic Safety
Administration, Department of Transportation, Washington, DC 20590,
identify itself as a tire manufacturer or retreader and furnish the
following information:
(a) The name, or other designation identifying the applicant, and its
main office address.
(b) The name, or other identifying designation, of each individual
plant operated by the manufacturer and the address of each plant, if
applicable.
(c) The type of tires manufactured at each plant, e.g., pneumatic
tires for passenger cars, buses, trucks or motorcycles; pneumatic
retreaded tires; or non-pneumatic tires or non-pneumatic tire
assemblies.
(55 FR 29596, July 20, 1990)
49 CFR 574.7 Information requirements -- new tire manufacturers, new
tire brand name owners.
(a)(1) Each new tire manufacturer and each new tire brand name owner
(hereinafter referred to in this section and 574.8 as ''tire
manufacturer'') or its designee, shall provide tire registration forms
to every distributor and dealer of its tires which offers new tires for
sale or lease to tire purchasers.
(2) Each tire registration form provided to independent distributors
and dealers pursuant to paragraph (a)(1) of this section shall contain
space for recording the information specified in paragraphs (a)(4)(i)
through (a)(4)(iii) of this section and shall conform in content and
format to Figures 3a and 3b. Each form shall be:
(i) Rectangular;
(ii) Not less than 0.007 inches thick;
(iii) Greater than 3 1/2 inches, but not greater than 4 1/4 inches
wide; and
(iv) Greater than 5 inches, but not greater than 6 inches long.
(3) Each tire registration form provided to distributors and dealers
that are not independent distributors or dealers pursuant to paragraph
(a)(1) of this section shall be similar in format and size to Figure 4
and shall contain space for recording the information specified in
paragraphs (a)(4)(i) through (a)(4)(iii) of this section.
(4)(i) Name and address of the tire purchaser.
(ii) Tire identification number.
(iii) Name and address of the tire seller or other means by which the
tire manufacturer can identify the tire seller.
(b) Each tire manufacturer shall record and maintain, or have
recorded and maintained for it by a designee, the information from
registration forms which are submitted to it or its designee. No tire
manufacturer shall use the information on the registration forms for any
commercial purpose detrimental to tire distributors and dealers. Any
tire manufacturer to which registration forms are mistakenly sent shall
forward those registration forms to the proper tire manufacturer within
90 days of the receipt of the forms.
(c) Each tire manufacturer shall maintain, or have maintained for it
by a designee, a record of each tire distributor and dealer that
purchases tires directly from the manufacturer and sells them to tire
purchasers, the number of tires purchased by each such distributor or
dealer, the number of tires for which reports have been received from
each such distributor or dealer other than an independent distributor or
dealer, the number of tires for which reports have been received from
each such independent distributor or dealer, the total number of tires
for which registration forms have been submitted to the manufacturer or
its designee, and the total number of tires sold by the manufacturer.
(d) The information that is specified in paragraph (a)(4) of this
section and recorded on registration forms submitted to a tire
manufacturer or its designee shall be maintained for a period of not
less than three years from the date on which the information is recorded
by the manufacturer or its designee.
(Secs. 108, 119, and 201, Pub. L. 89-563, 80 Stat. 718 (15 U.S.C.
1392, 1407, and 1421); sec. 4, Pub. L. 97-311, 96 Stat. 1619 (15 U.S.C.
1418); and delegation of authority at 49 CFR 1.50)
(49 FR 4760, Feb. 8, 1984; 49 FR 5621, Feb. 14, 1984, as amended at
56 FR 49427, Sept. 30, 1991)
Insert illustration O 853
Insert illustration O 854
Insert illustration O 855
49 CFR 574.8Information requirements -- tire distributors and dealers.
(a) Independent distributors and dealers. (1) Each independent
distributor and each independent dealer selling or leasing new tires to
tire purchasers or lessors (hereinafter referred to in this section as
''tire purchasers'') shall provide each tire purchaser at the time of
sale or lease of the tire(s) with a tire registration form.
(2) The distributor or dealer may use either the registration forms
provided by the tire manufacturers pursuant to 574.7(a) or registration
forms obtained from another source. Forms obtained from other sources
shall comply with the requirements specified in 574.7(a) for forms
provided by tire manufacturers to independent distributors and dealers.
(3) Before giving the registration form to the tire purchaser, the
distributor or dealer shall record in the appropriate spaces provided on
that form:
(i) The entire tire identification number of the tire(s) sold or
leased to the tire purchaser, and
(ii) The distributor's or dealer's name and address or other means of
identification known to the tire manufacturer.
(4) Multiple tire purchases or leases by the same tire purchaser may
be recorded on a single registration form.
(b) Other distributors and dealers. (1) Each distributor and each
dealer, other than an independent distributor or dealer, selling new
tires to tire purchasers shall submit the information specified in
574.4(a)(4) to the manufacturer of the tires sold, or to its designee.
(2) Each tire distributor and each dealer, other than an independent
distributor or dealer, shall submit registration forms containing the
information specified in 574.7(a)(4) to the tire manufacturer, or
person maintaining the information, not less often than every 30 days.
However, a distributor or dealer which sells less than 40 tires, of all
makes, types and sizes during a 30-day period may wait until he or she
sells a total of 40 new tires, but in no event longer than six months,
before forwarding the tire information to the respective tire
manufacturers or their designees.
(c) Each distributor and each dealer selling new tires to other tire
distributors or dealers shall supply to the distributor or dealer a
means to record the information specified in 574.7(a)(4), unless such a
means has been provided to that distributor or dealer by another person
or by a manufacturer.
(d) Each distributor and each dealer shall immediately stop selling
any group of tires when so directed by a notification issued pursuant to
sections 151 and 152 of the Act (15 U.S.C. 1411 and 1412).
(Secs. 108, 119, and 201, Pub. L. 89-563, 80 Stat. 718 (15 U.S.C.
1392, 1407, and 1421); sec. 4, Pub. L. 97-311, 96 Stat. 1619 (15 U.S.C.
1418); and delegation of authority at 49 CFR 1.50)
(49 FR 4761, Feb. 8, 1984, as amended at 56 FR 49427, Sept. 30, 1991)
49 CFR 574.9Requirements for motor vehicle dealers.
(a) Each motor vehicle dealer who sells a used motor vehicle for
purposes other than resale, who leases a motor vehicle for more than 60
days, that is equipped with new tires is considered, for purposes of
this part, to be a tire dealer and shall meet the requirements specified
in 574.8.
(b) Each person selling a motor vehicle to first purchasers for
purposes other than resale, that is equipped with new tires that were
not on the motor vhicle when shipped by the vehicle manufacturer is
considered a tire dealer for purposes of this part and shall meet the
requirements specified in 574.8.
(Secs. 103, 108, 112, 119, 201, Pub. L. 89-563, 80 Stat. 718 (15
U.S.C. 1392, 1397, 1401, 1407, 1421); secs. 102, 103, 104, Pub. L.
93-492, 88 Stat. 1470 (15 U.S.C. 1411-1420); 92 Stat. 2689 (15 U.S.C.
1418); delegation of authority at 49 CFR 1.51)
(44 FR 7964, Feb. 8, 1979)
49 CFR 574.10Requirements for motor vehicle manufacturers.
Each motor vehicle manufacturer, or his designee, shall maintain a
record of the new tires on or in each vehicle shipped by him or a motor
vehicle distributor or dealer, and shall maintain a record of the name
and address of the first purchaser for purposes other than resale of
each vehicle equipped with such tires. These records shall be
maintained for a period of not less than 3 years from the date of sale
of the vehicle to the first purchaser for purposes other than resale.
(Secs. 103, 108, 112, 119, 201, Pub. L. 89-563, 80 Stat. 718 (15
U.S.C. 1392, 1397, 1401, 1407, 1421); secs. 102, 103, 104, Pub. L.
93-492, 88 Stat. 1470 (15 U.S.C. 1411-1420); 92 Stat. 2689 (15 U.S.C.
1418); delegation of authority at 49 CFR 1.51)
(44 FR 7964, Feb. 8, 1979)
49 CFR 574.10 PART 575 -- CONSUMER INFORMATION REGULATIONS
49 CFR 574.10 Subpart A -- General
Sec.
575.1 Scope.
575.2 Definitions.
575.3 Matter incorporated by reference.
575.4 Application.
575.5 Separability.
575.6 Requirements.
575.7 Special vehicles.
49 CFR 574.10 Subpart B -- Consumer Information Items
575.101 Vehicle stopping distance.
575.102 (Reserved)
575.103 Truck-camper loading.
575.104 Uniform tire quality grading standards.
575.105 Utility vehicles.
Authority: 15 U.S.C. 1392, 1401, 1407, 1421, and 1423; delegation
of authority at 49 CFR 1.50.
49 CFR 574.10 Subpart A -- General
Source: 35 FR 6867, Apr. 30, 1970, unless otherwise noted.
49 CFR 575.1Scope.
This part contains Federal Motor Vehicle Consumer Information
Regulations established under section 112(d) of the National Traffic and
Motor Vehicle Safety Act of 1966 (15 U.S.C. 1401(d)) (hereinafter ''the
Act'').
49 CFR 575.2Definitions.
(a) Statutory definitions. All terms used in this part that are
defined in section 102 of the Act are used as defined in the Act.
(b) Motor Vehicle Safety Standard definitions. Unless otherwise
indicated, all terms used in this part that are defined in the Motor
Vehicle Safety Standards, Part 571 of this subchapter (hereinafter ''the
Standards''), are used as defined in the Standards without regard to the
applicability of a standard in which a definition is contained.
(c) Definitions used in this part.
Brake power unit means a device installed in a brake system that
provides the energy required to actuate the brakes, either directly or
indirectly through an auxiliary device, with the operator action
consisting only of modulating the energy application level.
Lightly loaded vehicle weight means:
(1) For a passenger car, unloaded vehicle weight plus 300 pounds
(including driver and instrumentation), with the added weight
distributed in the front seat area.
(2) For a motorcycle, unloaded vehicle weight plus 200 pounds
(including driver and instrumentation), with added weight distributed on
the saddle and in saddle bags or other carrier.
Maximum loaded vehicle weight is used as defined in Standard No.
110.
Maximum sustained vehicle speed means that speed attainable by
accelerating at maximum rate from a standing start for 1 mile.
Owner's manual means the document which contains the manufacturer's
comprehensive vehicle operating and maintenance instructions, and which
is intended to remain with the vehicle for the life of the vehicle.
Skid number means the frictional resistance measured in accordance
with American Society for Testing and Materials Method E-274 at 40 miles
per hour, omitting water delivery as specified in paragraph 7.1 of that
Method.
(35 FR 6867, Apr. 30, 1970, as amended at 38 FR 5339, Feb. 28, 1973;
48 FR 44081, Sept. 27, 1983; 54 FR 48749, Nov. 27, 1989)
49 CFR 575.3Matter incorporated by reference.
The incorporation by reference provisions of 571.5 of this
subchapter apply to this part.
49 CFR 575.4Application.
(a) General. Except as provided in paragraphs (b) through (d) of
this section, each section set forth in Subpart B of this part applies
according to its terms to motor vehicles and tires manufactured after
the effective date indicated.
(b) Military vehicles. This part does not apply to motor vehicles or
tires sold directly to the Armed Forces of the the United States in
conformity with contractual specifications.
(c) Export. This part does not apply to motor vehicles or tires
intended solely for export and so labeled or tagged.
(d) Import. This part does not apply to motor vehicles or tires
imported for purposes other than resale.
(39 FR 1039, Jan. 4, 1974)
49 CFR 575.5Separability.
If any section established in this part or its application to any
person or circumstances is held invalid, the remainder of the part and
the application of that section to other persons or circumstances is not
affected thereby.
49 CFR 575.6 Requirements.
(a)(1) At the time a motor vehicle is delivered to the first
purchaser for purposes other than resale, the manufacturer of that
vehicle shall provide to the purchaser, in writing and in the English
language, the information specified in 575.103 and 575.104 of this
part that is applicable to that vehicle and its tires. The document
provided with a vehicle may contain more than one table, but the
document must either (1) clearly and unconditionally indicate which of
the tables apply to the vehicle with which it is provided, or (2)
contain a statement on its cover referring the reader to the vehicle
certification label for specific information concerning which of the
tables apply to that vehicle. If the manufacturer chooses option (a)(2)
of this section, the vehicle certification label shall include such
specific information.
Example 1. Manufacturer X furnishes a document containing several
tables, which apply to various groups of vehicles that it produces. The
document contains the following notation on its front page: ''The
information that applies to this vehicle is contained in Table 5.'' The
notation satisfies the requirement.
Example 2. Manufacturer Y furnishes a document containing several
tables as in Example 1, with the following notation on its front page:
Information applies as follows:
Model P. 6-cylinder engine -- Table 1.
Model P. 8-cylinder engine -- Table 2.
Model Q -- Table 3.
This notation does not satisfy the requirement, since it is
conditioned on the model or the equipment of the vehicle with which the
document is furnished, and therefore additional information is required
to select the proper table.
(2)(i) At the time a motor vehicle manufactured on or after September
1, 1990 is delivered to the first purchaser for purposes other than
resale, the manufacturer shall provide to the purchaser, in writing in
the English language and not less than 10 point type, the following
statement in the owner's manual, or, if there is no owner's manual, on a
one-page document:
If you believe that your vehicle has a defect which could cause a
crash or could cause injury or death, you should immediately inform the
National Highway Traffic Safety Administration (NHTSA) in addition to
notifying (INSERT NAME OF MANUFACTURER).
If NHTSA receives similar complaints, it may open an investigation,
and if it finds that a safety defect exists in a group of vehicles, it
may order a recall and remedy campaign. However, NHTSA cannot become
involved in individual problems between you, your dealer, or (INSERT
NAME OF MANUFACTURER).
To contact NHTSA, you may either call the Auto Safety Hotline
toll-free at 1-800-424-9393 (or 366-0123 in Washington, D.C. area) or
write to: NHTSA, U.S. Department of Transportation, Washington, D.C.
20590. You can also obtain other information about motor vehicle safety
from the Hotline.
(2)(ii) The manufacturer shall specify in the table of contents of
the owner's manual the location of the statement in 575.6(a)(2)(i). The
heading in the table of contents shall state ''Reporting Safety
Defects.''
(b) At the time a motor vehicle tire is delivered to the first
purchaser for a purpose other than resale, the manufacturer of that
tire, or in the case of a tire marketed under a brand name, the brand
name owner, shall provide to that purchaser the information specified in
Subpart B of this part that is applicable to that tire.
(c) Each manufacturer of motor vehicles, each brand name owner of
tires, and each manufacturer of tires for which there is no brand name
owner shall provide for examination by prospective purchasers, at each
location where its vehicles or tires are offered for sale by a person
with whom the manufacturer or brand name owner has a contractual,
proprietary, or other legal relationship, or by a person who has such a
relationship with a distributor of the manufacturer or brand name owner
concerning the vehicle or tire in question, the information specified in
Subpart B of this part that is applicable to each of the vehicles or
tires offered for sale at that location. The information shall be
provided without charge and in sufficient quantity to be available for
retention by prospective purchasers or sent by mail to a prospective
purchaser upon his request. With respect to newly introduced vehicles
or tires, the information shall be provided for examination by
prospective purchasers not later than the day on which the manufacturer
or brand name owner first authorizes those vehicles or tires to be put
on general public display and sold to consumers.
(d)(1)(i) Except as provided in paragraph (d)(1)(ii) of this section,
in the case of all sections of Subpart B, other than 575.104, as they
apply to information submitted prior to new model introduction, each
manufacturer of motor vehicles shall submit to the Administrator 10
copies of the information specified in Subpart B of this part that is
applicable to the vehicles offered for sale, at least 90 days before it
is first provided for examination by prospective purchasers pursuant to
paragraph (c) of this section.
(ii) Where an unforeseen preintroduction modification in vehicle
design or equipment results in a change in vehicle performance for a
characteristic included in Subpart B of this part, a manufacturer of
motor vehicles may revise information previously furnished under
paragraph (d)(1)(i) of this section by submission to the Administrator
of 10 copies of revised information reflecting the performance changes,
at least 30 days before information on the subject vehicles is first
provided to prospective purchasers pursuant to paragraph (c) of this
section.
(2) In the case of 575.104, and all other sections of Subpart B as
they apply to post-introduction changes in information submitted for the
current model year, each manufacturer of motor vehicles, each brand name
owner of tires, and each manufacturer of tires for which there is no
brand name owner shall submit to the Administrator 10 copies of the
information specified in Subpart B of this part that is applicable to
the vehicles or tires offered for sale, at least 30 days before it is
first provided for examination by prospective purchasers pursuant to
paragraph (c) of this section.
(39 FR 1039, Jan. 4, 1974, as amended at 41 FR 13923, Apr. 1, 1976;
45 FR 47153, July 14, 1980; 47 FR 7258, Feb. 18, 1982; 52 FR 27810,
July 24, 1987; 54 FR 48749, Nov. 27, 1989)
49 CFR 575.7Special vehicles.
A manufacturer who produces vehicles having a configuration not
available for purchase by the general public need not make available to
ineligible purchasers, pursuant to 575.6(c), the information for those
vehicles specified in Subpart B of this part, and shall identify those
vehicles when furnishing the information required by 575.6(d).
(40 FR 11727, Mar. 13, 1975)
49 CFR 575.7 Subpart B -- Consumer Information Items
49 CFR 575.101Vehicle stopping distance.
(a) Purpose and scope. This section requires manufacturers of
passenger cars and motorcycles to provide information on vehicle
stopping distances under specified speed, brake, loading, and pavement
conditions.
(b) Application. This section applies to passenger cars and
motorcycles manufactured on or after January 1, 1970.
(c) Required information. Each manufacturer shall furnish the
information in paragraphs (c) (1) through (5) of this section, in the
form illustrated in Figure 1, except that with respect to paragraphs (c)
(2) and (3) of this section, a manufacturer whose total motor vehicle
production does not exceed 500 annually is only required to furnish
performance information for the loaded condition. Each motorcycle in
the group to which the information applies shall be capable, under the
conditions specified in paragraph (d) of this section, and utilizing the
procedures specified in paragraph (e) of this section, of performing at
least as well as the information indicates. Each passenger car in the
group to which the information applies shall be capable of performing at
least as well as the information indicates, under the test conditions
and procedures specified in S6. and S7. of Standard No. 105 of this
chapter (49 CFR 571.105) or, in the case of passenger cars manufactured
before January 1, 1977, and at the option of the manufacturer, under the
conditions specified in paragraph (d) of this section and the procedures
specified in paragraph (e) of this section.
If a vehicle is unable to reach the speed of 60 miles per hour
(m.p.h.), the maximum sustained vehicle speed shall be substituted for
the 60 m.p.h. speed in the requirements specified below, and in the
presentation of information as in Figure 1, with an asterisked notation
in essentially the following form at the bottom of the figure: ''The
maximum speed attainable by accelerating at maximum rate from a standing
start for 1 mile.'' The weight requirements indicated in paragraphs (c)
(2), (3), and (4) of this section are modified for the motorcycles (and
at the option of the manufacturer, in the case of passenger car
manufactured before January 1, 1977) by the fuel tank condition
specified in paragraph (d)(4) of this section.
(1) Vehicle description. The group of vehicles to which the table
applies, identified in the terms by which they are described to the
public by the manufacturer.
(2) Minimum stopping distance with fully operational service brake
system. The minimum stopping distance attainable, expressed in feet,
from 60 mph, using the fully operational service brake system --
(i) In the case of a motorcycle, at lightly loaded and maximum loaded
vehicle weight; and
(ii) In the case of a passenger car, at lightly loaded vehicle weight
and at gross vehicle weight rating (GVWR), except for a passenger car
manufactured before January 1, 1977, and tested, at the option of the
manufacturer, under the conditions and procedures of paragraphs (d) and
(e) of this section, which passenger car shall be tested at lightly
loaded vehicle weight and at maximum loaded vehicle weight.
(3) Minimum stopping distance with partially failed service brake
system. (Applicable only to passenger cars with more than one service
brake subsystem.) The minimum stopping distance attainable using the
service brake control, expressed in feet, from 60 mph, for the most
adverse combination of GVWR or lightly loaded vehicle weight and partial
failure as specified in S5.1.2 of Standard No. 105 of this chapter.
However, a passenger car manufactured before January 1, 1977, and
tested, at the option of the manufacturer, under the conditions and
procedures of paragraphs (d) and (e) of this section, shall be tested at
maximum loaded vehicle weight instead of GVWR.
(4) Minimum stopping distance with inoperative brake power assist
unit or brake power unit. (Applicable only to passenger cars equipped
with brake power assist unit or brake power unit.) The minimum stopping
distance, expressed in feet, from 60 mph, using the service brake
system, tested in accordance with the requirements of S5.1.3 of Standard
No. 105 of this chapter. However, in the case of a passenger car
manufactured before January 1, 1977, vehicle loading may, at the option
of the manufacturer, be maximum loaded vehicle weight in place of the
GVWR loading specified under S5.1.3 of Standard No. 105.
(5) Notice. The following notice: ''This figure indicates braking
performance that can be met or exceeded by the vehicles to which it
applies, under different conditions of loading and with partial failures
of the braking system. The information presented represents results
obtainable by skilled drivers under controlled road and vehicle
conditions, and the information may not be correct under other
conditions.''
(d) Conditions. The data provided in the format of Figure 1 shall
represent a level of performance that can be equaled or exceeded by each
vehicle in the group to which the table applies, under the following
conditions, utilizing the procedures set forth in paragraph (e) of this
section.
(1) Stops are made without lockup of any wheel, except for momentary
lockup caused by an automatic skid control device.
(2) The tire inflation pressure and other relevant component
adjustments of the vehicle are made according to the manufacturer's
published recommendations.
(3) For passenger cars, brake pedal force does not exceed 150 pounds
for any brake application. For motorcycles, hand brake lever force
applied 1 1/4 inches from the outer end of the lever does not exceed 55
pounds, and foot brake pedal force does not exceed 90 pounds.
49 CFR 575.101
(4) Fuel tank is filled to any level between 90 and 100 percent of
capacity.
(5) Transmission is in neutral, or the clutch disengaged, during the
entire deceleration.
(6) The vehicle begins the deceleration in the center of a straight
roadway lane that is 12 feet wide, and remains in the lane throughout
the deceleration.
(7) The roadway lane has a grade of zero percent, and the road
surface has a skid number of 81, as measured in accordance with American
Society for Testing and Materials (ASTM) Method E-274-70 (as revised
July, 1974) at 40 mph, omitting the water delivery specified in
paragraphs 7.1 and 7.2 of that method.
(8) All vehicle openings (doors, windows, hood, trunk, convertible
tops, etc.) are in the closed position except as required for
instrumentation purposes.
(9) Ambient temperature is between 32 F. and 100 F.
(10) Wind velocity is zero.
(e) Procedures. (1) Burnish.
(i) Passenger cars. Burnish brakes once prior to first stopping
distance test by conducting 200 stops from 40 m.p.h. (or maximum
sustained vehicle speed if the vehicle is incapable of reaching 40
m.p.h.) at a deceleration rate of 12 f.p.s.p.s. in normal driving gear,
with a cooling interval between stops, accomplished by driving at 40
m.p.h. for a sufficient distance to reduce brake temperature to 250 F.,
or for 1 mile, whichever occurs first. Readjust brakes according to
manufacturer's recommendations after burnishing.
(ii) Motorcycles. Adjust and burnish brakes in accordance with
manufacturer's recommendations. Where no burnishing procedures have
been recommended by the manufacturer, follow the procedure specified
above for passenger cars, except substitute 30 m.p.h. for 40 m.p.h., and
150 F. and 250 F., and maintain hand lever force to foot lever force
ratio of approximately 1 to 2.
(2) Insure that the temperature of the hottest service brake is
between 130 F. and 150 F. prior to the start of all stops (other
than burnishing stops), as measured by plug-type thermocouples installed
according to SAE Recommended Practice J843a, June 1966.
(3) Measure the stopping distance as specified in paragraphs (c) (2),
(3), and (4) of this section from the point of application of force to
the brake control to the point at which the vehicle reaches a full stop.
(34 FR 8113, May 23, 1969, as amended at 34 FR 18865, Nov. 26, 1969.
Redesignated at 35 FR 5118, Mar. 26, 1970, and amended at 35 FR 6867,
Apr. 30, 1970; 41 FR 1067, Jan. 6, 1976; 41 FR 24593, June 17, 1976;
41 FR 34607, Aug. 16, 1976)
575.102 (Reserved)
49 CFR 575.103Truck-camper loading.
(a) Scope. This section requires manufacturers of trucks that are
capable of accommodating slide-in campers to provide information on the
cargo weight rating and the longitudinal limits within which the center
of gravity for the cargo weight rating should be located.
(b) Purpose. The purpose of this section is to provide information
that can be used to reduce overloading and improper load distribution in
truck-camper combinations, in order to prevent accidents resulting from
the adverse effects of these conditions on vehicle steering and braking.
(c) Application. This section applies to trucks that are capable of
accommodating slide-in campers.
(d) Definitions. Camper means a structure designed to be mounted in
the cargo area of a truck, or attached to an incomplete vehicle with
motive power, for the purpose of providing shelter for persons.
Cargo weight rating means the value specified by the manufacturer as
the cargo-carrying capacity, in pounds, of a vehicle, exclusive of the
weight of occupants, computed as 150 pounds times the number of
designated seating positions.
Slide-in camper means a camper having a roof, floor, and sides,
designed to be mounted on and removable from the cargo area of a truck
by the user.
(e) Requirements. Except as provided in paragraph (f) of this
section each manufacturer of a truck that is capable of accommodating a
slide-in camper shall furnish the information specified in paragraphs
(e) (1) through (5) of this section.
(1) A picture showing the manufacturer's recommended longitudinal
center of gravity zone for the cargo weight rating in the form
illustrated in Figure 1. The boundaries of the zone shall be such that
when a slide-in camper equal in weight to the truck's cargo weight
rating is installed, no gross axle weight rating of the truck is
exceeded. Until October 1, 1973, the phrase ''Aft End of Cargo Area''
may be used in Figure 1 instead of ''Rear End of Truck Bed''.
(2) The truck's cargo weight rating.
(3) The statements: ''When the truck is used to carry a slide-in
camper, the total cargo load of the truck consists of the manufacturer's
camper weight figure, the weight of installed additional camper
equipment not included in the manufacturer's camper weight figure, the
weight of camper cargo, and the weight of passengers in the camper. The
total cargo load should not exceed the truck's cargo weight rating and
the camper's center of gravity should fall within the truck's
recommended center of gravity zone when installed.'' Until October 1,
1973, the phrase ''total load'' may be used instead of ''total cargo
load''.
(4) A picture showing the proper match of a truck and slide-in camper
in the form illustrated in Figure 2.
(5) The statements: ''Secure loose items to prevent weight shifts
that could affect the balance of your vehicle. When the truck camper is
loaded, drive to a scale and weight on the front and on the rear wheels
separately to determine axle loads. Individual axle loads should not
exceed either of the gross axle weight ratings (GAWR). The total of the
axle loads should not exceed the gross vehicle weight rating (GVWR).
These ratings are given on the vehicle certification label that is
located on the left side of the vehicle, normally the dash, hinge
pillar, door latch post, or door edge next to the driver. If weight
ratings are exceeded, move or remove items to bring all weights below
the ratings.''
(f) If a truck would accommodate a slide-in camper but the
manufacturer of the truck recommends that the truck not be used for that
purpose, the information specified in paragraph (e) of this section
shall not be provided but instead the manufacturer shall provide a
statement that the truck should not be used to carry a slide-in camper.
(37 FR 26608, Dec. 14, 1972, as amended at 38 FR 4401, Feb. 14, 1973)
49 CFR 575.104Uniform tire quality grading standards.
(a) Scope. This section requires motor vehicle and tire
manufacturers and tire brand name owners to provide information
indicating the relative performance of passenger car tires in the areas
of treadwear, traction, and temperature resistance.
(b) Purpose. The purpose of this section is to aid the consumer in
making an informed choice in the purchase of passenger car tires.
(c) Application. (1) This section applies to new pneumatic tires for
use on passenger cars. However, this section does not apply to deep
tread, winter-type snow tires, space-saver or temporary use spare tires,
tires with nominal rim diameters of 10 to 12 inches, or to limited
production tires as defined in paragraph (c)(2) of this section.
(2) ''Limited production tire'' means a tire meeting all of the
following criteria, as applicable:
(i) The annual domestic production or importation into the United
States by the tire's manufacturer of tires of the same design and size
as the tire does not exceed 15,000 tires;
(ii) In the case of a tire marketed under a brand name, the annual
domestic purchase or importation into the United States by a brand name
owner of tires of the same design and size as the tire does not exceed
15,000 tires;
(iii) The tire's size was not listed as a vehicle manufacturer's
recommended tire size designation for a new motor vehicle produced in or
imported into the United States in quantities greater than 10,000 during
the calendar year preceeding the year of the tire's manufacture; and
(iv) The total annual domestic production or importation into the
United States by the tire's manufacturer, and in the case of a tire
marketed under a brand name, the total annual domestic purchase or
purchase for importation into the United States by the tire's brand name
owner, of tires meeting the criteria of paragraphs (c)(2) (i), (ii), and
(iii) of this section, does not exceed 35,000 tires.
Tire design is the combination of general structural characteristics,
materials, and tread pattern, but does include cosmetic, identifying or
other minor variations among tires.
(d) Requirements -- (1) Information. (i) Each manufacturer of tires,
or in the case of tires marketed under a brand name, each brand name
owner, shall provide grading information for each tire of which he is
the manufacturer or brand name owner in the manner set forth in
paragraphs (d)(1)(i) (A) and (B) of this section. The grades for each
tire shall be only those specified in paragraph (d)(2) of this section.
Each tire shall be able to achieve the level of performance represented
by each grade with which it is labeled. An individual tire need not,
however, meet further requirements after having been subjected to the
test for any one grade.
(A) Except for a tire of a new tire line, manufactured within the
first six months of production of the tire line, each tire shall be
graded with the words, letters, symbols, and figures specified in
paragraph (d)(2) of this section, permanently molded into or onto the
tire sidewall between the tire's maximum section width and shoulder in
accordance with one of the methods described in Figure 1. For purposes
of this paragraph, new tire line shall mean a group of tires differing
substantially in construction, materials, or design from those
previously sold by the manufacturer or brand name owner of the tires.
As used in this paragraph, the term ''construction'' refers to the
internal structure of the tire (e.g., cord angles, number and placement
of breakers), ''materials'' refers to the substances used in manufacture
of the tire (e.g., belt fiber, rubber compound), and ''design'' refers
to properties or conditions imposed by the tire mold (e.g., aspect
ratio, tread pattern).
(B)(1) Each tire manufactured before April 1, 1982, other than a tire
sold as original equipment on a new vehicle, shall have affixed to its
tread surface in a manner such that it is not easily removable a label
containing its grades and other information in the form illustrated in
Figure 2, Part II, bearing the heading ''DOT QUALITY GRADES.'' The
treadwear grade attributed to the tire shall be either imprinted or
indelibly stamped on the label adjacent to the description of the
treadwear grade. The label shall also depict all possible grades for
traction and temperature resistance. The traction and temperature
resistance performance grades attributed to the tire shall be indelibly
circled. However, each tire labeled in conformity with the requirements
of paragraph (d)(1)(i)(B)(2) of this section need not comply with the
provisions of this paragraph.
(2) Each tire manufactured on or after April 1, 1982, other than a
tire sold as original equipment on a new vehicle, shall have affixed to
its tread surface so as not to be easily removable a label or labels
containing its grades and other information in the form illustrated in
Figure 2, Parts I and II. The treadwear grade attributed to the tire
shall be either imprinted or indelibly stamped on the label containing
the material in Part I of Figure 2, directly to the right of or below
the word ''TREADWEAR''. The traction and temperature resistance
performance grades attributed to the tire shall be indelibly circled in
an array of the potential grade letters (ABC) directly to the right of
or below the words ''TRACTION'' and ''TEMPERATURE'' in Part I of Figure
2. The words ''TREADWEAR,'' ''TRACTION,'' and ''TEMPERATURE,'' in that
order, may be laid out vertically or horizontally. The text of Part II
of Figure 2 may be printed in capital letters. The text of Part I and
the text of Part II of Figure 2 need not appear on the same label, but
the edges of the two texts must be positioned on the tire tread so as to
be separated by a distance of no more than one inch. If the text of
Part I and the text of Part II are placed on separate labels, the
notation ''See EXPLANATION OF DOT QUALITY GRADES'' shall be added to the
bottom of the Part I text, and the words ''EXPLANATION OF DOT QUALITY
GRADES'' shall appear at the top of the Part II text. The text of
Figure 2 shall be oriented on the tire tread surface with lines of type
running perpendicular to the tread circumference. If a label bearing a
tire size designation is attached to the tire tread surface and the tire
size designation is oriented with lines of type running perpendicular to
the tread circumference, the text of Figure 2 shall read in the same
direction as the tire size designation.
(ii) In the case of information required in accordance with 575.6(c)
to be furnished to prospective purchasers of motor vehicles and tires,
each vehicle manufacturer and each tire manufacturer or brand name owner
shall as part of that information list all possible grades for traction
and temperature resistance, and restate verbatim the explanations for
each performance area specified in Figure 2. The information need not
be in the same format as in Figure 2. In the case of a tire
manufacturer or brand name owner, the information must indicate clearly
and unambiguously the grade in each performance area for each tire of
that manufacturer or brand name owner offered for sale at the particular
location.
(iii) In the case of information required in accordance with
575.6(a) to be furnished to the first purchaser of a new motor vehicle,
other than a motor vehicle equipped with bias-ply tires manufactured
prior to October 1, 1979, and a motor vehicle equipped with bias-belted
tires manufactured prior to April 1, 1980, and a motor vehicle equipped
with radial-ply tires manufactured prior to October 1, 1980, each
manufacturer of motor vehicles shall as part of the information list all
possible grades for traction and temperature resistance and restate
verbatim the explanation for each performance area specified in figure
2. The information need not be in the format of figure 2, but it must
contain a statement referring the reader to the tire sidewall for the
specific tire grades for the tires with which the vehicle is equipped.
(2) Performance -- (i) Treadwear. Each tire shall be graded for
treadwear performance with the word ''Treadwear'' followed by a number
of two or three digits representing the tire's grade for treadwear,
expressed as a percentage of the NHTSA nominal treadwear value, when
tested in accordance with the conditions and procedures specified in
paragraph (e) of this section. Treadwear grades shall be in multiples
of 20. (e.g., 80, 120, 160).
(ii) Traction. Each tire shall be graded for traction performance
with the word ''TRACTION'' followed by the symbols C, B, or A, when the
tire is tested in accordance with the conditions and procedures
specified in paragraph (f) of this section.
(A) The tire shall be graded C when the adjusted traction coefficient
is either:
(1) 0.38 or less when tested in accordance with paragraph (f)(2) of
this section on the asphalt surface specified in paragraph (f)(1)(i) of
this section, or
(2) 0.26 or less when tested in accordance with paragraph (f)(2) of
this section on the concrete surface specified in paragraph (f)(1)(i) of
this section.
(B) The tire may be graded B only when its adjusted traction
coefficient is both:
(1) More than 0.38 when tested in accordance with paragraph (f)(2) of
this section on the asphalt surface specified in paragraph (f)(1)(i) of
this section, and
(2) More than 0.26 when tested in accordance with paragraph (f)(2) of
this section on the concrete surface specified in paragraph (f)(1)(i) of
this section.
(C) The tire may be graded A only when its adjusted traction
coefficient is both:
(1) More than 0.47 when tested in accordance with paragraph (f)(2) of
this section on the asphalt surface specified in paragraph (f)(1)(i) of
this section, and
(2) More than 0.35 when tested in accordance with paragraph (f)(2) of
this section on the concrete surface specified in paragraph (f)(1)(i) of
this section.
(iii) Temperature resistance. Each tire shall be graded for
temperature resistance performance with the word ''TEMPERATURE''
followed by the letter A, B, or C, based on its performance when the
tire is tested in accordance with the procedures specified in paragraph
(g) of this section. A tire shall be considered to have successfully
completed a test stage in accordance with this paragraph if, at the end
of the test stage, it exhibits no visual evidence of tread, sidewall,
ply, cord, innerliner, or bead separation, chunking, broken cords,
cracking or open splices as defined in 571.109 of this chapter, and the
tire pressure is not less than the pressure specified in paragraph
(g)(1) of this section.
(A) The tire shall be graded C if it fails to complete the 500 rpm
test stage specified in paragraph (g)(9) of this section.
(B) The tire may be graded B only if it successfully completes the
500 rpm test stage specified in paragraph (g)(9) of this section.
(C) The tire may be graded A only if it successfully completes the
575 rpm test stage specified in paragraph (g)(9) of this section.
(e) Treadwear grading conditions and procedures -- (1) Conditions.
(i) Tire treadwear performance is evaluated on a specific roadway course
approximately 400 miles in length, which is established by the NHTSA
both for its own compliance testing and for that of regulated persons.
The course is designed to produce treadwear rates that are generally
representative of those encountered by tires of differing construction
types. The course and driving procedures are described in Appendix A of
this section.
(ii) Treadwear grades are evaluated by first measuring the
performance of a candidate tire on the government test course, and then
correcting the projected mileage obtained to account for environmental
variations on the basis of the performance of the course monitoring
tires of the same general construction type (bias, bias-belted, or
radial) run in the same convoy. The three types of course monitoring
tires are made available by the NHTSA at Goodfellow Air Force Base, San
Angelo, Tex., for purchase by any persons conducting tests at the test
course.
(iii) In convoy tests, each vehicle in the same convoy, except for
the lead vehicle, is throughout the test within human eye range of the
vehicle immediately ahead of it.
(iv) A test convoy consists of no more than four passenger cars, each
having only rear-wheel drive.
(v) On each convoy vehicle, all tires are mounted on identical rims
of design or measuring rim width specified for tires of that size in
accordance with 49 CFR 571.109, S4.4.1 (a) or (b), or a rim having a
width within ^0 to +0.50 inches of the width listed.
(2) Treadwear grading procedure. (i) Equip a convoy as follows:
Place four course monitoring tires on one vehicle. On each other
vehicle, place four candidate tires with identical size designations.
On each axle, place tires that are identical with respect to
manufacturer and line.
(ii) Inflate each candidate and each course monitoring tire to the
applicable pressure specified in Table 1 of this section.
(iii) Load each vehicle so that the load on each course monitoring
and candidate tire is 85 percent of the test load specified in
575.104(h).
(iv) Adjust wheel alignment to the midpoint of the vehicle
manufacturer's specifications, unless adjustment to the midpoint is not
recommended by the manufacturer; in that case, adjust the alignment to
the manufacturer's recommended setting. In all cases, the setting is
within the tolerance specified by the manufacturer of the alignment
machine.
(v) Subject candidate and course monitoring tires to ''break-in'' by
running the tires in the convoy for two circuits of the test roadway
(800 miles). At the end of the first circuit, rotate each vehicle's
tires by moving each front tire to the same side of the rear axle and
each rear tire to the opposite side of the front axle. Visually inspect
each tire for any indication of abnormal wear, tread separation, bulging
of the sidewall, or any sign of tire failure. Void the grading results
from any tire with any of these anomalies, and replace the tire.
(vi) After break-in, allow the air pressure in the tires to fall to
the applicable pressure specified in Table I of this section or for 2
hours, whichever occurs first. Measure, to the nearest 0.001 inch, the
tread depth of each candidate and each course monitoring tire, avoiding
treadwear indicators, at six equally spaced points in each groove. For
each tire compute the average of the measurements. Do not measure those
shoulder grooves which are not provided with treadwear indicators.
(vii) Adjust wheel alignment to the midpoint of the manufacturer's
specifications, unless adjustment to the midpoint is not recommended by
the manufacturer; in that case, adjust the alignment according to the
manufacturer's recommended setting. In all cases, the setting is within
the tolerance specified by the manufacturer of the alignment machine.
(viii) Drive the convoy on the test roadway for 6,400 miles. After
each 800 miles:
(A) Following the procedure set out in paragraph (e)(2)(vi) of this
section, allow the tires to cool and measure the average tread depth of
each tire;
(B) Rotate each vehicle's tires by moving each front tire to the same
side of the rear axle and each rear tire to the opposite side of the
front axle.
(C) Rotate the vehicles in the convoy by moving the last vehicle to
the lead position. Do not rotate driver position within the convoy.
(D) Adjust the wheel alignment to the midpoint of the vehicle
manufacturer's specification, unless adjustment to the midpoint is not
recommended by the manufacturer; in that case, adjust the alignment to
the manufacturer's recommended setting. In all cases, the setting is
within the tolerance specified by the manufacturer of the alignment
machine.
(E) If determining the projected mileage by the 9-point method set
forth in (e)(2)(ix)(A)(1), measure the average tread depth of each tire
following the procedure set forth in paragraph (e)(2)(vi) of this
section.
(F) At the end of the test, measure the tread depth of each tire
pursuant to the procedure set forth in paragraph (e)(2)(vi) of this
section.
(ix)(A) Determine the projected mileage for each candidate tire
either by the nine-point method of least squares set forth in paragraph
(e)(2)(ix)(A)(1) of this section and appendix C to this section, or by
the two-point arithmetical method set forth in paragraph
(e)(2)(ix)(A)(2) of this section. Notify NHTSA about which of the
alternative grading methods is being used.
(1) Nine-Point Method of Least Squares. For each course monitoring
and candidate tire in the convoy, using the average tread depth
measurements obtained in accordance with paragraphs (e)(2)(vi) and
(e)(2)(viii)(D) of this section and the corresponding mileages as data
points, apply the method of least squares as described in appendix C to
this section to determine the estimated regression line of y on x given
by the following formula:
Where:
y = average tread depth in mils
x = miles after break-in,
a = y intercept of regression line (reference tread depth) in mils,
calculated using the method of least squares; and
b = the slope of the regression line in mils of tread depth per 1,000
miles, calculated using the method of least squares. This slope will be
negative in value. The tire's wear rate is defined as the absolute
value of the slope of the regression line.
(2) Two-Point Arithmetical Method. For each course monitoring and
candidate tire in the convoy, using the average tread depth measurements
obtained in accordance with paragraph (e)(2)(vi) and (e)(2)(viii)(F) of
this section and the corresponding mileages as data points, determine
the slope (m) of the tire's wear in mils of tread depth per 1,000 miles
by the following formula:
Where:
Yo = average tread depth after break-in, mils
Y1 = average tread depth at 6,400 miles, mils
Xo = 0 miles (after break-in).
X1 = 6,400 miles of travel
This slope (m) will be negative in value. The tire's wear rate is
defined as the slope (m) expressed in mils per 1000 miles.
(B) Average the wear rates of the four course monitoring tires as
determined in accordance with paragraph (e)(2)(ix)(A) of this section.
(C) Determine the course severity adjustment factor by dividing the
base wear rate for the course monitoring tires (see note below) by the
average wear rate for the four course monitoring tires.
Note: The base wear rates for the course monitoring tires will be
furnished to the purchaser at the time of purchase.
(D) Determine the adjusted wear rate for each candidate tire by
multiplying its wear rate determined in accordance with paragraph
(e)(2)(ix)(A) of this section by the course severity adjustment factor
determined in accordance with paragraph (e)(2)(ix)(C) of this section.
(E) Determine the projected mileage for each candidate tire by
applying the appropriate formula set forth below:
(1) If the projected mileage is calculated pursuant to paragraph
(e)(2)(ix)(A)(1) of this section, then
Where:
a = y intercept of regression line (reference tread depth) for the
candidate tire as determined in accordance with paragraph
(e)(2)(ix)(A)(1) of this section.
b /1/ = the adjusted wear rate for the candidate tire as determined
in accordance with paragraph (e)(2)(ix)(D) of this section.
(2) If the projected mileage is calculated pursuant to
(e)(2)(ix)(a)(2) of this section, then:
Where:
Yo = average tread depth after break-in, mils
mc = the adjusted wear rate for the candidate tires as determined in
accordance with paragraph (e)(2)(ix)(D) of this section.
(F) Compute the percentage (P) of the NHTSA nominal treadwear value
for each candidate tire using the following formula:
Round off the percentage to the nearest lower 20-point increment.
(f) Traction grading conditions and procedures -- (1) Conditions.
(i) Tire traction performance is evaluated on skid pads that are
established, and whose severity is monitored, by the NHTSA both for its
compliance testing and for that of regulated persons. The test
pavements are asphalt and concrete surfaces constructed in accordance
with the specifications for pads ''C'' and ''A'' in the ''Manual for the
Construction and Maintenance of Skid Surfaces,'' National Technical
Information Service No. DOT-HS-800-814. The surfaces have locked wheel
traction coefficients when evaluated in accordance with paragraphs
(f)(2)(i) through (f)(2)(vii) of this section of 0.50 0.10 for the
asphalt and 0.35 0.10 for the concrete. The location of the skid pads
is described in Appendix B to this section.
(ii) The standard tire is the American Society for Testing and
Materials (ASTM) E 501 ''Standard Tire for Pavement Skid Resistance
Tests.''
(iii) The pavement surface is wetted in accordance with paragraph
3.5, ''Pavement Wetting System,'' of ASTM Method E 274-79, ''Skid
Resistance of Paved Surfaces Using a Full-Scale Tire.''
(iv) The test apparatus is a test trailer built in conformity with
the specifications in paragraph 3, ''Apparatus,'' of ASTM Method E
274-79, and instrumented in accordance with paragraph 3.3.2 of that
method, except that ''wheel load'' in paragraph 3.2.2 and tire and rim
specifications in paragraph 3.2.3 of that method are as specified in the
procedures in paragraph (f)(2) of this section for standard and
candidate tires.
(v) The test apparatus is calibrated in accordance with ASTM Method F
377-74, ''Standard Method for Calibration of Braking Force for Testing
of Pneumatic Tires'' with the trailer's tires inflated to 24 psi and
loaded to 1,085 pounds.
(vi) Consecutive tests on the same surface are conducted not less
than 30 seconds apart.
(vii) A standard tire is discarded in accordance with ASTM Method E
501.
(2) Procedure. (i) Prepare two standard tires as follows:
(A) Condition the tires by running them for 200 miles on a pavement
surface.
(B) Mount each tire on a rim of design or measuring rim width
specified for tires of its size in accordance with 49 CFR 571.109,
S4.4.1 (a) or (b), or a rim having a width within ^0 to +0.50 inches of
the width listed. Then inflate the tire to 24 psi, or, in the case of a
tire with inflation pressure measured in kilopascals, to 180 kPa.
(C) Statically balance each tire-rim combination.
(D) Allow each tire to cool to ambient temperature and readjust its
inflation pressure to 24 psi, or, in the case of a tire with inflation
pressure measured in kilopascals, to 180 kPa.
(ii) Mount the tires on the test apparatus described in paragraph
(f)(1)(iv) of this section and load each tire to 1,085 pounds.
(iii) Tow the trailer on the asphalt test surface specified in
paragraph (f)(1)(i) of this section at a speed of 40 mph, lock one
trailer wheel, and record the locked-wheel traction coefficient on the
tire associated with that wheel between 0.5 and 1.5 seconds after
lockup.
(iv) Repeat the test on the concrete surface, locking the same wheel.
(v) Repeat the tests specified in paragraphs (f)(2) (iii) and (iv) of
this section for a total of 10 measurements on each test surface.
(vi) Repeat the procedures specified in paragraphs (f)(2) (iii)
through (v) of this section, locking the wheel associated with the other
tire.
(vii) Average the 20 measurements taken on the asphalt surface to
find the standard tire traction coefficient for the asphalt surface.
Average the 20 measurements taken on the concrete surface to find the
standard tire traction coefficient for the concrete surface. The
standard tire traction coefficient so determined may be used in the
computation of adjusted traction coefficients for more than one
candidate tire.
(viii) Prepare two candidate tires of the same construction type,
manufacturer, line, and size designation in accordance with paragraph
(f)(2)(i) of this section, mount them on the test apparatus, and test
one of them according to the procedures of paragraph (f)(2)(ii) through
(v) of this section, except load each tire to 85% of the test load
specified in 575.104(h). For CT tires, the test inflation of candidate
tires shall be 230 kPa. Candidate tire measurements may be taken either
before or after the standard tire measurements used to compute the
standard tire traction coefficient. Take all standard tire and
candidate tire measurements used in computation of a candidate tire's
adjusted traction coefficient within a single three hour period.
Average the 10 measurements taken on the asphalt surface to find the
candidate tire traction coefficient for the asphalt surface. Average
the 10 measurements taken on the concrete surface to find the candidate
tire traction coefficient for the concrete surface.
(ix) Compute a candidate tire's adjusted traction coefficient for
asphalt ( a) by the following formula:
(x) Compute a candidate tire's adjusted traction coefficient for
concrete ( c) by the following formula:
c=Measured candidate tire coefficient for concrete +0.35
^Measured standard tire coefficient for concrete
(g) Temperature resistance grading.
(1) Mount the tire on a rim of design or measuring rim width
specified for tires of its size in accordance with 571.109, paragraph
S4.4.1 (a) or (b) and inflate it to the applicable pressure specified in
Table 1 of this section.
(2) Condition the tire-rim assembly to a temperature of 95 F for at
least 3 hours.
(3) Adjust the pressure again to the applicable pressure specified in
Table 1 of this section.
(4) Mount the tire-rim assembly on an axle, and press the tire tread
against the surface of a flat-faced steel test wheel that is 67.23
inches in diameter and at least as wide as the section width of the
tire.
(5) During the test, including the pressure measurements specified in
paragraphs (g) (1) and (3) of this section, maintain the temperature of
the ambient air, as measured 12 inches from the edge of the rim flange
at any point on the circumference on either side of the tire at 95 F.
Locate the temperature sensor so that its readings are not affected by
heat radiation, drafts, variations in the temperature of the surrounding
air, or guards or other devices.
(6) Press the tire against the test wheel with a load of 88 percent
of the tire's maximum load rating as marked on the tire sidewall.
(7) Rotate the test wheel at 250 rpm for 2 hours.
(8) Remove the load, allow the tire to cool to 95 F or for 2 hours,
whichever occurs last, and readjust the inflation pressure to the
applicable pressure specified in Table 1 of this section.
(9) Reapply the load and without interruption or readjustment of
inflation pressure, rotate the test wheel at 375 rpm for 30 minutes, and
then at successively higher rates in 25 rpm increments, each for 30
minutes, until the tire has run at 575 rpm for 30 minutes, or to
failure, whichever occurs first.
(h) Determination of test load. (1) To determine test loads for
purposes of paragraphs (e)(2)(iii) and (f)(2)(viii), follow the
procedure set forth in paragraphs (h) (2) through (5) of this section.
(2) Determine the tire's maximum inflation pressure and maximum load
rating both as specified on the tire's sidewall.
(3) Determine the appropriate multiplier corresponding to the tire's
maximum inflation pressure, as set forth in Table 2.
(4) Multiply the tire's maximum load rating by the multiplier
determined in paragraph (h)(3). This is the tire's calculated load.
(5) Round the product determined in paragraph (h)(4) (the calculated
load) to the nearest multiple of ten pounds or, if metric units are
used, 5 kilograms. For example, 903 pounds would be rounded to 900 and
533 kilograms would be rounded to 535. This figure is the test load.
(i) Effective dates for treadwear grading requirements for radial
tires.
(1) Treadwear labeling requirements of 575.104(d)(1)(i)(B)(2) apply
to tires manufactured on or after April 1, 1985.
(2) Requirements for NHTSA review of treadwear information in
consumer brochures, as specified in 575.6(d)(2), are effective April 1,
1985.
(3) Treadwear consumer information brochure requirements of 575.6(c)
are effective May 1, 1985.
(4) Treadwear sidewall molding requirements of 575.104(d)(1)(i)(A)
apply to tires manufactured on or after September 1, 1985.
(j) Effective dates for treadwear grading requirements for bias ply
tires. (1) Treadwear labeling requirements of 575.104(d)(1)(i)(B)(2)
apply to tires manufactured on or after December 15, 1984.
(2) Requirements for NHTSA review of treadwear information in
consumer brochures, as specified in 575.6(d)(2), are effective December
15, 1984.
(3) Treadwear consumer information brochure requirements of 575.6(c)
are effective January 15, 1985.
(4) Treadwear sidewall molding requirements of 575.104(d)(1)(i)(A)
apply to tires manufactured on or after May 15, 1985.
(k) Effective dates for treadwear grading requirements for bias
belted tires. (1) Treadwear labeling requirements of
575.104(d)(1)(i)(B)(2) apply to tires manufactured on or after March 1,
1985.
(2) Requirements for NHTSA review of treadwear information in
consumer brochures, as specified in 575.6(d)(2), are effective March 1,
1985.
(3) Treadwear consumer information brochure requirements of 575.6(c)
are effective April 1, 1985.
(4) Treadwear sidewall molding requirements of 575.104(d)(1)(i)(A)
apply to tires manufactured on or after August 1, 1985.
(l) Effective date for treadwear information requirements for vehicle
manufacturers. Vehicle manufacturer treadwear information requirements
of 575.6(a) and 575.104(d)(1)(iii) are effective September 1, 1985.
Insert illustration 0 1176
TREADWEAR
TRACTION ABC
TEMPERATURE ABC
The treadwear grade is a comparative rating based on the wear rate of
the tire when tested under controlled conditions on a specified
government test course. For example, a tire graded 150 would wear one
and one-half (1 1/2) times as well on the government course as a tire
graded 100. The relative performance of tires depends upon the actual
conditions of their use, however, and may depart significantly from the
norm due to variations in driving habits, service practices and
differences in road characteristics and climate.
The traction grades, from highest to lowest, are A, B, and C, and
they represent the tire's ability to stop on wet pavement as measured
under controlled conditions on specified government test surfaces of
asphalt and concrete. A tire marked C may have poor traction
performance. Warning: The traction grade assigned to this tire is
based on braking (straightahead) traction tests and does not include
cornering (turning) traction.
The temperature grades are A (the highest), B, and C, representing
the tire's resistance to the generation of heat and its ability to
dissipate heat when tested under controlled conditions on a specified
indoor laboratory test wheel. Sustained high temperature can cause the
material of the tire to degenerate and reduce tire life, and excessive
temperature can lead to sudden tire failure. The grade C corresponds to
a level of performance which all passenger car tires must meet under the
Federal Motor Safety Standard No. 109. Grades B and A represent higher
levels of performance on the laboratory test wheel than the minimum
required by law. Warning: The temperature grade for this tire is
established for a tire that is properly inflated and not overloaded.
Excessive speed, underinflation, or excessive loading, either separately
or in combination, can cause heat buildup and possible tire failure.
Introduction. The test course consists of three loops of a total of
400 miles in the geographical vicinity of Goodfellow AFB, San Angelo,
Tex.
The first loop runs south 143 miles through the cities of Eldorado,
Sonora, and Juno, Tex. to the Camp Hudson Historical Marker, and
returns by the same route.
The second loop runs east over Farm and Ranch Roads (FM) and returns
to its starting point.
The third loop runs northwest to Water Valley, northeast toward
Robert Lee and returns via Texas 208 to the vicinity of Goodfellow AFB.
Route. The route is shown in Figure 3. The table identifies key
points by number. These numbers are encircled in Figure 3 and in
parentheses in the descriptive material that follows.
Southern Loop. The course begins at the intersection (1) of Ft.
McKavitt Road and Paint Rock Road (FM388) at the northwest corner of
Goodfellow AFB.
Drive east via FM 388 to junction with Loop Road 306 (2). Turn right
onto Loop Road 306 and proceed south to junction with US277 (3). Turn
onto US277 and proceed south through Eldorado and Sonora (4), continuing
on US277 to junction with FM189 (5). Turn right onto FM189 and proceed
to junction with Texas 163 (6). Turn left onto Texas 163, proceed south
to Camp Hudson Historical Marker and onto the paved shoulder (7).
Reverse route to junction of Loop Road 306 and FM 388 (2).
Eastern Loop. From junction of Loop Road 306 and FM388 (2), make
right turn onto FM388 and drive east to junction with FM2334 (13). Turn
right onto FM2334 and proceed south across FM765 (14) to junction of
FM2334 and US87 (15). For convoys that originate at Goodfellow AFB,
make U-turn and return to junction of FM388 and Loop Road 306 (2) by the
same route. For convoys that do not originate at Goodfellow AFB, upon
reaching junction of FM2334 and US87 (15), make U-Turn and continue
north on FM2334 past the intersection with FM388 to Veribest Cotton Gin,
a distance of 1.8 miles beyond the intersection. Make U-turn and return
to junction of FM2334 and FM388. Turn right onto FM388, proceed west to
junction FM388 and Loop Road 306.
Northwestern Loop. From junction of Loop Road 306 and FM388 (2),
make right turn onto Loop Road 306. Proceed onto US277, to junction
with FM2105 (8). Turn left onto FM2105 and proceed west to junction
with US87 (10). Turn right on US87 and proceed northwest to the
junction with FM2034 near the town of Water Valley (11). Turn right
onto FM2034 and proceed north to Texas 208 (12). Turn right onto Texas
208 and proceed south to junction with FM2105 (9). Turn left onto
FM2105 and proceed east to junction with US277 (8). Turn right onto
US277 and proceed south onto Loop Road 306 to junction with FM388 (2).
For convoys that originate at Goodfellow AFB, turn right onto FM388 and
proceed to starting point at junction of Ft. McKavitt Road and FM388
(1). For convoys that do not originate at Goodfellow AFB, do not turn
right onto FM388 but continue south on Loop Road 306.
Driving instructions. The drivers shall run at posted speed limits
throughout the course unless an unsafe condition arises. If such
condition arises, the speed should be reduced to the maximum safe
operating speed.
Braking Procedures at STOP signs. There are a number of
intersections at which stops are required. At each of these
intersections a series of signs is placed in a fixed order at follows:
Highway Intersection 1000 (or 2000) Feet
STOP AHEAD
Junction XXX
Direction Sign (Mereta#)
STOP or YIELD
Procedures. 1. Approach each intersection at posted speed limit.
2. When abreast of the STOP AHEAD sign, apply the brakes so that the
vehicle decelerates smoothly to 20 mph when abreast of the direction
sign.
3. Come to a complete stop at the STOP sign or behind any vehicle
already stopped.
Insert Illus. 0 514A
Two skid pads have been laid on an unused runway and taxi strip on
Goodfellow AFB. Their location is shown in Figure 4.
The asphalt skid pad is 600 ft. x 60 ft. and is shown in black on
the runway in Figure 4. The pad is approached from either end by a 75
ft. ramp followed by 100 ft. of level pavement. This arrangement
permits the skid trailers to stabilize before reaching the test area.
The approaches are shown on the figure by the hash-marked area.
The concrete pad is 600 ft. x 48 ft. and is on the taxi strip. The
approaches to the concrete pad are of the same design as those for the
asphalt pads.
A two lane asphalt road has been built to connect the runway and taxi
strip. The road is parallel to the northeast-southwest runway at a
distance of 100 ft. The curves have super-elevation to permit safe exit
from the runway at operating speeds.
49 CFR 575.104
The method of least squares is a method of calculation by which it is
possible to obtain a reliable estimate of a true physical relationship
from a set of data which involve random error. The method may be used
to establish a regression line that minimizes the sum of the squares of
the deviations of the measured data points from the line. The
regression line is consequently described as the line of ''best fit'' to
the data points. It is described in terms of its slope and its ''y''
intercept.
The graph in Figure 5 depicts a regression line calculated using the
least squares method from data collected from a hypothetical treadwear
test of 6,400 miles, with tread depth measurements made at every 500
miles.
49 CFR 575.104
In this graph, xj,yj (j=0, 1, . . . 8) are the individual data points
representing the tread depth measurements (the overall average for the
tire with 6 measurements in each tire groove) at the beginning of the
test (after break-in) and at the end of each 800-mile segment of the
test.
The absolute value of the slope of the regression line is an
expression of the mils of tread worn per 1,000 miles, and is calculated
by the following formula:
The ''y'' intercept of the regression line (a) in mils is calculated
by the following formula:
(43 FR 30549, July 17, 1978)
Editorial Note: For Federal Register citations affecting 575.104,
see the List of CFR Sections Affected in the Finding Aids section of
this volume.
Effective Date Notes: 1. At 55 FR 47771, Nov. 15, 1990, 575.104
was amended by revising paragraph (d)(2)(i), effective November 15,
1991. For the convenience of the user, the superseded text follows:
575.104 Uniform tire quality grading standards.
(d) * * *
(2) Performance -- (i) Treadwear. Each tire shall be graded for
treadwear performance with the word ''TREADWEAR'' followed by a number
of two or three digits representing the tire's grade for treadwear,
expressed as a percentage of the NHTSA nominal treadwear value, when
tested in accordance with the conditions and procedures specified in
paragraph (e) of this section. Treadwear grades shall be multiples of
10 (e.g., 80, 150).
2. At 56 FR 26772, June 11, 1991, 575.104 was amended by revising
paragraphs (d)(2)(i), (e)(1), (2)(i) -- (viii) and (ix)(F), effective
September 1, 1993. For the convenience of the user, the revised text
appears as follows:
575.104 Uniform tire quality grading standards.
(d) * * *
(2) Performance -- (i) Treadwear. Each tire shall be graded for
treadwear performance with the word ''TREADWEAR'' followed by a number
of two or three digits representing the tire's grade for treadwear,
expressed as a percentage of the NHTSA nominal treadwear value, when
tested in accordance with the conditions and procedures specified in
paragraph (e) of this section. On and before August 31, 1993, treadwear
grades shall be in multiples of 10. (e.g., 80, 150). On and after
September 1, 1993, treadwear grades shall be in multiples of 20. (e.g.,
80, 120, and 160).
(e) Treadwear grading conditions and procedures -- (1) Conditions.
(i) Tire treadwear performance is evaluated on a specific roadway
course approximately 400 miles in length, which is established by the
NHTSA both for its own compliance testing and for that of regulated
persons. The course is designed to produce treadwear rates that are
generally representative of those encountered by tires in public use.
The course and driving procedures are described in Appendix A of this
section.
(ii) Treadwear grades are evaluated by first measuring the
performance of a candidate tire on the government test course, and then
correcting the projected mileage obtained to account for environmental
variations on the basis of the performance of the course monitoring
tires run in the same convoy. The course monitoring tires are made
available by the NHTSA at Goodfellow Air Force Base, San Angelo, Tex.,
for purchase by any persons conducting tests at the test course.
(iii) In convoy tests, each vehicle in the same convoy, except for
the lead vehicle, is throughout the test within human eye range of the
vehicle immediately ahead of it.
(iv) A test convoy consists of two or four passenger cars, each
having only rear-wheel drive.
(v) On each convoy vehicle, all tires are mounted on identical rims
of design or measuring rim width specified for tires of that size in
accordance with 49 CFR 571.109, S4.4.1 (a) or (b), or a rim having a
width within ^0 to +0.50 inches of the width listed.
(2) Treadwear grading procedure. (i) Equip a convoy as follows:
Place four course monitoring tires on one vehicle. Place four candidate
tires with identical size designations on each other vehicle in the
convoy. On each axle, place tires that are identical with respect to
manufacturer and line.
(ii) Inflate each candidate and each course monitoring tire to the
applicable pressure specified in Table 1 of this section.
(iii) Load each vehicle so that the load on each course monitoring
and candidate tire is 85 percent of the test load specified in
575.104(h).
(iv) Adjust wheel alignment to the midpoint of the vehicle
manufacturer's specifications, unless adjustment to the midpoint is not
recommended by the manufacturer; in that case, adjust the alignment to
the manufacturer's recommended setting. In all cases, the setting is
within the tolerance specified by the manufacturer of the alignment
machine.
(v) Subject candidate and course monitoring tires to ''break-in'' by
running the tires in the convoy for two circuits of the test roadway
(800 miles). At the end of the first circuit, rotate each vehicle's
tires by moving each front tire to the same side of the rear axle and
each rear tire to the opposite side of the front axle. Visually inspect
each tire for any indication of abnormal wear, tread separation, bulging
of the sidewall, or any sign of tire failure. Void the grading results
from any tire with any of these anomalies, and replace the tire.
(vi) After break-in, allow the air pressure in the tires to fall to
the applicable pressure specified in Table I of this section or for 2
hours, whichever occurs first. Measure, to the nearest 0.001 inch, the
tread depth of each candidate and each course monitoring tire, avoiding
treadwear indicators, at six equally spaced points in each groove. For
each tire compute the average of the measurements. Do not measure those
shoulder grooves which are not provided with treadwear indicators.
(vii) Adjust wheel alignment to the midpoint of the manufacturer's
specifications, unless adjustment to the midpoint is not recommended by
the manufacturer; in that case, adjust the alignment according to the
manufacturer's recommended setting. In all cases, the setting is within
the tolerance specified by the manufacturer of the alignment machine.
(viii) Drive the convoy on the test roadway for 6,400 miles.
(A) After each 400 miles, rotate each vehicle's tires by moving each
front tire to the same side of the rear axle and each rear tire to the
opposite side of the front axle. Visually inspect each tire for
treadwear anomalies.
(B) After each 800 miles, rotate the vehicles in the convoy by moving
the last vehicle to the lead position. Do not rotate driver positions
within the convoy. In four-car convoys, vehicle one shall become
vehicle two, vehicle two shall become vehicle three, vehicle three shall
become vehicle four, and vehicle four shall become vehicle one.
(C) After each 800 miles, if necessary, adjust wheel alignment to the
midpoint of the vehicle manufacturer's specification, unless adjustment
to the midpoint is not recommended by the manufacturer; in that case,
adjust the alignment to the manufacturer's recommended setting. In all
cases, the setting is within the tolerance specified by the manufacturer
of the alignment machine.
(D) After each 800 miles, if determining the projected mileage by the
9-point method set forth in (e)(2)(ix)(A)(1), measure the average tread
depth of each tire following the procedure set forth in paragraph
(e)(2)(vi) of this section.
(E) After each 1,600 miles, move the complete set of four tires to
the following vehicle. Move the tires on the last vehicle to the lead
vehicle. In moving the tires, rotate them as set forth in
(e)(2)(viii)(A) of this section.
(F) At the end of the test, measure the tread depth of each tire
pursuant to the procedure set forth in paragraph (e)(2)(vi) of this
section.
(ix) * * *
(F) Compute the percentage (P) of the NHTSA nominal treadwear value
for each candidate tire using the following formula:
On and before August 31, 1993, round off the percentage to the
nearest lower 10-point increment. On and after September 1, 1993, round
off the percentage to the nearest lower 20-point increment.
3. At 56 FR 47012, Sept. 17, 1991, in 575.104, appendix A was
amended by revising the paragraphs headed Eastern Loop and Northwestern
Loop, the chart ''KEY POINTS ALONG TREADWEAR TEST COURSE, APPROXIMATE
MILEAGES, AND REMARKS,'' and Figure 3, effective December 16, 1991. For
the convenience of the user, the superseded text follows:
575.104 Uniform tire quality grading standards.
Eastern Loop. From junction of Loop Road 306 and FM388 (2) make
right turn onto FM388 and drive east to junction with FM2334 (13). Turn
right onto FM2334 and proceed south across FM765 (14) to junction of
FM2334 and US87 (15). Make U-turn and return to junction of FM388 and
Loop Road 306 (2) by the same route.
Northwestern Loop. From junction of Loop Road 306 and FM388 (2),
make right turn onto Loop Road 306. Proceed onto US277, to junction
with FM2105 (8). Turn left onto FM2105 and proceed west to junction
with US87 (10). Turn right on US87 and proceed northwest to the
junction with FM2034 near the town of Water Valley (11). Turn right
onto FM2034 and proceed north to Texas 208 (12). Turn right onto Texas
208 and proceed south to junction with FM2105 (9). Turn left onto
FM2105 and proceed east to junction with US277 (8). Turn right onto
US277 and proceed south onto 306 to junction with 388 (2). Turn right
onto 388 and proceed to starting point at junction of Ft. McKavitt Road
and FM388 (1).
Insert illustration 0989
49 CFR 575.105 Utility vehicles.
(a) Purpose and scope. This section requires manufacturers of
utility vehicles to alert drivers that the particular handling and
maneuvering characteristics of utility vehicles require special driving
practices when those vehicles are operated on paved roads.
(b) Application. This section applies to multipurpose passenger
vehicles (other than those which are passenger car derivatives) which
have a wheelbase of 110 inches or less and special features for
occasional off-road operation (''Utility vehicles'').
(c) Required information. Each manufacturer shall prepare and affix
a vehicle sticker as specified in paragraph 1 of this subsection and
shall provide in the vehicle Owner's Manual the information specified in
paragraph 2 of this subsection.
(1) A sticker shall be permanently affixed to the instrument panel,
windshield frame, driver's side sun visor, or in some other location in
each vehicle prominent and visible to the driver. The sticker shall be
printed in a typeface and color which are clear and conspicuous. The
sticker shall have the following or similar language:
This is a multipurpose passenger vehicle which will handle and
maneuver differently from an ordinary passenger car, in driving
conditions which may occur on streets and highways and off road. As
with other vehicles of this type, if you make sharp turns or abrupt
maneuvers, the vehicle may rollover or may go out of control and crash.
You should read driving guidelines and instructions in the Owner's
Manual, and WEAR YOUR SEATBELTS AT ALL TIMES.
The language on the sticker required by paragraph (1) and in the
Owner's Manual, as required in paragraph (2), may be modified as is
desired by the manufacturer to make it appropriate for a specific
vehicle design, to ensure that consumers are adequately informed
concerning the unique propensities of a particular vehicle model.
(2)(i) The vehicle Owner's Manual shall include the following
statement in its introduction.
As with other vehicles of this type, failure to operate this vehicle
correctly may result in loss of control or an accident. Be sure to read
''on-pavement'' and ''off-road'' driving guidelines which follow.
(ii) The vehicle Owner's Manual shall include the following or
similar statement:
Utility vehicles have higher ground clearance and a narrower track to
make them capable of performing in a wide variety of off-road
applications. Specific design characteristics give them a higher center
of gravity than ordinary cars. An advantage of the higher ground
clearance is a better view of the road allowing you to anticipate
problems. They are not designed for cornering at the same speeds as
conventional 2-wheel drive vehicles any more than low-slung sports cars
are designed to perform satisfactorily under off-road conditions. If at
all possible, avoid sharp turns or abrupt maneuvers. As with other
vehicles of this type, failure to operate this vehicle correctly may
result in loss of control or vehicle rollover.
(49 FR 20019, May 11, 1984, as amended at 49 FR 32071, Aug. 10, 1984)
49 CFR 575.105 PART 576 -- RECORD RETENTION
Sec.
576.1 Scope.
576.2 Purpose.
576.3 Application.
576.4 Definitions.
576.5 Basic requirements.
576.6 Records.
576.7 Retention.
576.8 Malfunctions covered.
Authority: Secs. 108, 112, 113, 119, 151, Pub. L. 89-563, 80 Stat.
718 (15 U.S.C. 1397, 1401, 1402, 1407, 1411); delegation of authority
at 49 CFR 1.51.
Source: 39 FR 30045, Aug. 20, 1974, unless otherwise noted.
Editorial Note: For an interpretation document regarding Part 576,
see 40 FR 3296, Jan. 21, 1975.
49 CFR 576.1Scope.
This part establishes requirements for the retention by motor vehicle
manufacturers of complaints, reports, and other records concerning motor
vehicle malfunctions that may be related to motor vehicle safety.
49 CFR 576.2Purpose.
The purpose of this part is to preserve records that are needed for
the proper investigation, and adjudication or other disposition, of
possible defects related to motor vehicle safety and instances of
nonconformity to the motor vehicle safety standards and associated
regulations.
49 CFR 576.3Application.
This part applies to all manufacturers of motor vehicles, with
respect to all records generated or acquired after August 15, 1969.
49 CFR 576.4Definitions.
All terms in this part that are defined in the Act are used as
defined therein.
49 CFR 576.5Basic requirements.
Each manufacturer of motor vehicles shall retain as specified in
576.7 all records described in 576.6 for a period of 5 years from the
date on which they were generated or acquired by the manufacturer.
49 CFR 576.6Records.
Records to be retained by manufacturers under this part include all
documentary materials, films, tapes, and other information-storing media
that contain information concerning malfunctions that may be related to
motor vehicle safety. Such records include, but are not limited to,
communications from vehicle users and memoranda of user complaints;
reports and other documents related to work performed under, or claims
made under, warranties; service reports or similar documents from
dealers or manufacturer's field personnel; and any lists, compilations,
analyses, or discussions of such malfunctions contained in internal or
external correspondence of the manufacturer.
49 CFR 576.7Retention.
Duplicate copies need not be retained. Information may be reproduced
or transferred from one storage medium to another (e.g., from paper
files to microfilm) as long as no information is lost in the
reproduction or transfer, and when so reproduced or transferred the
original form may be treated as a duplicate.
49 CFR 576.8Malfunctions covered.
For purposes of this part, ''malfunctions that may be related to
motor vehicle safety'' shall include, with respect to a motor vehicle or
item of motor vehicle equipment, any failure or malfunction beyond
normal deterioration in use, or any failure of performance, or any flaw
or unintended deviation from design specifications, that could in any
reasonably foreseeable manner be a causative factor in, or aggravate, an
accident or an injury to a person.
49 CFR 576.8 PART 577 -- DEFECT AND NONCOMPLIANCE NOTIFICATION
Sec.
577.1 Scope.
577.2 Purpose.
577.3 Application.
577.4 Definitions.
577.5 Notification pursuant to a manufacturer's determination.
577.6 Notification pursuant to Administrator's determination.
577.7 Time and manner of notification.
577.8 Disclaimers.
577.9 Conformity to statutory requirements.
Authority: Secs. 108, 112, 119, Pub. L. 89-563, 80 Stat. 718;
secs. 102, 103, 104, Pub. L. 93-492, 88 Stat. 1470 (15 U.S.C. 1397,
1401, 1408, 1411-1420; delegation of authority at 49 CFR 1.51 and 49
CFR 501.8).
Source: 41 FR 56816, Dec. 30, 1976, unless otherwise noted.
49 CFR 577.1Scope.
This part sets forth requirements for notification to owners of motor
vehicles and replacement equipment about the possibility of a defect
which relates to motor vehicle safety or a noncompliance with a Federal
motor vehicle safety standard.
49 CFR 577.2Purpose.
The purpose of this part is to ensure that notifications of defects
or noncompliances adequately inform and effectively motivate owners of
potentially defective or noncomplying motor vehicles or items of
replacement equipment to have such vehicles or equipment inspected and,
where necessary, remedied as quickly as possible.
49 CFR 577.3Application.
This part applies to manufacturers of complete motor vehicles,
incomplete motor vehicles, and replacement equipment. In the case of
vehicles manufactured in two or more stages, compliance by either the
manufacturer of the incomplete vehicle, any subsequent manufacturer, or
the manufacturer of affected replacement equipment, shall be considered
compliance by each of those manufacturers.
49 CFR 577.4Definitions.
For the purposes of this part:
Act means the National Traffic and Motor Vehicle Safety Act of 1966,
as amended, 15 U.S.C. 1391 et seq.
Administrator means the Administrator of the National Highway Traffic
Safety Administration or his delegate.
First purchaser means the first purchaser in good faith for a purpose
other than resale.
Owners includes purchaser.
49 CFR 577.5Notification pursuant to a manufacturer's determination.
(a) When a manufacturer of motor vehicles or replacement equipment
determines that any motor vehicle or item of replacement equipment
produced by him contains a defect which relates to motor vehicle safety,
or fails to conform to an applicable Federal motor vehicle safety
standard, he shall provide notification in accordance with paragraph (a)
of 577.7, unless the manufacturer is exempted by the Administrator
(pursuant to section 157 of the Act) from giving such notification. The
notification shall contain the information specified in this section.
The information required by paragraphs (b) and (c) of this section shall
be presented in the form and order specified. The information required
by paragraphs (d) through (g) of this section maybe presented in any
order. Notification sent to an owner whose address is in either the
Commonwealth of Puerto Rico or the Canal Zone shall be written in both
English and Spanish.
(b) An opening statement: ''This notice is sent to you in accordance
with the requirements of the National Traffic and Motor Vehicle Safety
Act.''
(c) Whichever of the following statements is appropriate:
(1) ''(Manufacturer's name or division) has determined that a defect
which relates to motor vehicle safety exists in (identified motor
vehicles, in the case of notification sent by a motor vehicle
manufacturer; identified replacement equipment, in the case of
notification sent by a replacement equipment manufacturer);'' or
(2) ''(Manufacturer's name or division) has determined that
(identified motor vehicles, in the case of notification sent by a motor
vehicle manufacturer; identified replacement equipment, in the case of
notification sent by a replacement equipment manufacturer) fail to
conform to Federal Motor Vehicle Safety Standard No. (number and title
of standard).''
(d) When the manufacturer determines that the defect or noncompliance
may not exist in each such vehicle or item of replacement equipment, he
may include an additional statement to that effect.
(e) A clear description of the defect or noncompliance, which shall
include --
(1) An identification of the vehicle system or particular item(s) of
motor vehicle equipment affected.
(2) A description of the malfunction that may occur as a result of
the defect or noncompliance. The description of a noncompliance with an
applicable standard shall include, in general terms, the difference
between the performance of the noncomplying vehicle or item of
replacement equipment and the performance specified by the standard;
(3) A statement of any operating or other conditions that may cause
the malfunction to occur; and
(4) A statement of the precautions, if any, that the owners should
take to reduce the chance that the malfunction will occur before the
defect or noncompliance is remedied.
(f) An evaluation of the risk to motor vehicle safety reasonably
related to the defect or noncompliance.
(1) When vehicle crash is a potential occurrence, the evaluation
shall include whichever of the following is appropriate:
(i) A statement that the defect or noncompliance can cause vehicle
crash without prior warning; or
(ii) A description of whatever prior warning may occur, and a
statement that if this warning is not heeded, vehicle crash can occur.
(2) When vehicle crash is not the potential occurrence, the
evaluation must include a statement indicating the general type of
injury to occupants of the vehicle, or to persons outside the vehicle,
that can result from the defect or noncompliance, and a description of
whatever prior warning may occur.
(g) A statement of measures to be taken to remedy the defect or
noncompliance, in accordance with paragraph (g)(1) or (g)(2) of this
section, whichever is appropriate.
(1) When the manufacturer is required by the Act to remedy the defect
or noncompliance without charge, or when he will voluntarily so remedy
in full conformity with the Act, he shall include --
(i) A statement that he will cause such defect or noncompliance to be
remedied without charge, and whether such remedy will be by repair,
replacement, or (except in the case of replacement equipment) refund,
less depreciation, of the purchase price.
(ii) The earliest date on which the defect or noncompliance will be
remedied without charge. In the case of remedy by repair, this date
shall be the earliest date on which the manufacturer reasonably expects
that dealers or other service facilities will receive necessary parts
and instructions. The manufacturer shall specify the last date, if any,
on which he will remedy tires without charge.
(iii) In the case of remedy by repair through the manufacturer's
dealers or other service facilities:
(A) A general description of the work involved in repairing the
defect or noncompliance; and
(B) The manufacturer's estimate of the time reasonably necessary to
perform the labor required to correct the defect or noncompliance.
(iv) In the case of remedy by repair through service facilities other
than those of the manufacturer or its dealers:
(A) The name and part number of each part must be added, replaced, or
modified;
(B) A description of any modifications that must be made to existing
parts, which shall also be identified by name and part number;
(C) Information as to where needed parts will be available;
(D) A detailed description (including appropriate illustrations) of
each step required to correct the defect or noncompliance;
(E) The manufacturer's estimate of the time reasonably necessary to
perform the labor required to correct the defect or noncompliance; and
(F) The manufacturer's recommendations of service facilities where
the owner should have the repairs performed.
(v) In the case of remedy by replacement, a description of the motor
vehicle or item of replacement equipment that the manufacturer will
provide as a replacement for the defective or noncomplying vehicle or
equipment.
(vi) In the case of remedy by refund of purchase price, the method or
basis for the manufacturer's assessment of depreciation.
(vii) A statement informing the owner that he or she may submit a
complaint to the Administrator, National Highway Traffic Safety
Administration, 400 Seventh Street, SW., Washington, DC 20590 or call
the toll free Auto Safety Hotline at 800-424-9393 (Washington DC area
residents may call 426-0123), if the owner believes that:
(A) The manufacturer, distributor, or dealer has failed or is unable
to remedy the defect or noncompliance without charge.
(B) The manufacturer has failed or is unable to remedy the defect or
noncompliance without charge --
(1) (In the case of motor vehicles or items of replacement equipment,
other than tires) within a reasonable time, which is not longer than 60
days in the case of repair after the owner's first tender to obtain
repair following the earliest repair date specified in the notification,
unless the period is extended by Administrator.
(2) (In the case of tires) after the date specified in the
notification on which replacement tires will be available.
(2) When the manufacturer is not required to remedy the defect or
noncompliance without charge and he will not voluntarily so remedy, the
statement shall include --
(i) A statement that the manufacturer is not required by the Act to
remedy without charge.
(ii) A statement of the extent to which the manufacturer will
voluntarily remedy, including the method of remedy and any limitations
and conditions imposed by the manufacturer on such remedy.
(iii) The manufacturer's opinion whether the defect or noncompliance
can be remedied by repair. If the manufacturer believes that repair is
possible, the statement shall include the information specified in
paragraph (g)(1)(iv) of this section, except that;
(A) The statement required by paragraph (g)(1)(iv)(A) of this section
shall also indicate the suggested list price of each part.
(B) The statement required by paragraph (g)(1)(iv)(C) of this section
shall also indicate the manufacturer's estimate of the date on which the
parts will be generally available.
(Secs. 108, 112, and 119, Pub. L. 89-563; 80 Stat. 718; secs. 102,
103, and 104, Pub. L. 93-492, 88 Stat. 1470 (15 U.S.C. 1397, 1401, 1408,
and 1411-1420); delegation of authority at 49 CFR 1.50)
(41 FR 56816, Dec. 30, 1976, as amended at 46 FR 6971, Jan. 22, 1981;
46 FR 28657, May 28, 1981)
49 CFR 577.6Notification pursuant to Administrator's determination.
(a) Manufactured-ordered notification. When a manufacturer is
ordered pursuant to section 152 of the Act to provide notification of a
defect or noncompliance, he shall provide such notification in
accordance with 577.5 and 577.7, except that the statement required by
paragraph (c) of 577.5 shall indicate that the determination has been
made by the Administrator of the National Highway Traffic Safety
Administration.
(b) Provisional notification. When a manufacturer does not provide
notification as required by paragraph (a) of this section, and an action
concerning the Administrator's order to provide such notification has
been filed in a United States District Court, the manufacturer shall,
upon the Administrator's further order, provide in accordance with
paragraph (b) of 577.7 a provisional notification containing the
information specified in this paragraph, in the order and, where
specified, the form of paragraphs (b)(1) through (b)(12) of this
section.
(1) An opening statement: ''This notice is sent to you in accordance
with the requirements of the National Traffic and Motor Vehicle Safety
Act.''
(2) Whichever of the following statements is appropriate:
(i) ''The Administrator of the National Highway Traffic Safety
Adminstration has determined that a defect which relates to motor
vehicle safety exists in (identified motor vehicles, in the case of
notification sent by a motor vehicle manufacturer; identified
replacement equipment, in the case of notification sent by a replacement
equipment manufacturer);'' or
(ii) ''The Administrator of the National Highway Traffic Safety
Administration has determined that (identified motor vehicles, in the
case of notification sent by a motor vehicle manufacturer; identified
replacement equipment, in the case of notification sent by a replacement
equipment manufacturer) fail to conform to Federal Motor Vehicle Safety
Standard No. (number and title of standard).''
(3) When the Administrator determines that the defect or
noncompliance may not exist in each such vehicle or item of replacement
equipment, the manufacturer may include an additional statement to that
effect.
(4) The statement: ''(Manufacturer's name or division) is contesting
this determination in a proceeding in the Federal courts and has been
required to issue this notice pending the outcome of the court
proceeding.''
(5) A clear description of the Administrator's stated basis for his
determination, as provided in his order, including a brief summary of
the evidence and reasoning that the Administrator relied upon in making
his determination.
(6) A clear description of the Administrator' stated evaluation as
provided in his order of the risk to motor vehicle safety reasonably
related to the defect or noncompliance.
(7) Any measures that the Administrator has stated in his order
should be taken by the owner to avoid an unreasonable hazard resulting
from the defect or noncompliance.
(8) A brief summary of the evidence and reasoning upon which the
manufacturer relies in contesting the Administrator's determination.
(9) A statement regarding the availability of remedy and
reimbursement in accordance with paragraph (b)(9)(i) or (9)(ii) of this
section, whichever is appropriate.
(i) When the purchase date of the vehicle or item of equipment is
such that the manufacturer is required by the Act to remedy without
charge or to reimburse the owner for reasonable and necessary repair
expenses, he shall include --
(A) A statement that the remedy will be provided without charge to
the owner if the Court upholds the Administrator's determination;
(B) A statement of the method of remedy. If the manufacturer has not
yet determined the method of remedy, he shall indicate that he will
select either repair, replacement with an equivalent vehicle or item of
replacement equipment, or (except in the case of replacement equipment)
refund, less depreciation, of the purchase price; and
(C) A statement that, if the Court upholds the Administrator's
determination, he will reimburse the owner for any reasonable and
necessary expenses that the owner incurs (not in excess of any amount
specified by the Administrator) in repairing the defect or noncompliance
following a date, specified by the manufacturer, which shall not be
later than the date of the Administrator's order to issue this
notification.
(ii) When the manufacturer is not required either to remedy without
charge or to reimburse, he shall include --
(A) A statement that he is not required to remedy or reimburse, or
(B) A statement of the extent to which he will voluntarily remedy or
reimburse, including the method of remedy, if then known, and any
limitations and conditions on such remedy or reimbursement.
(10) A statement indicating whether, in the manufacturer's opinion,
the defect or noncompliance can be remedied by repair. When the
manufacturer believes that such remedy is feasible, the statement shall
include:
(i) A general description of the work and the manufacturer's estimate
of the costs involved in repairing the defect or noncompliance;
(ii) Information on where needed parts and instructions for repairing
the defect or noncompliance will be available, including the
manufacturer's estimate of the day on which they will be generally
available;
(iii) The manufacturer's estimate of the time reasonably necessary to
perform the labor required to correct the defect or noncompliance; and
(iv) The manufacturer's recommendations of service facilities where
the owner could have the repairs performed, including (in the case of a
manufacturer required to reimburse if the Administrator's determination
is upheld in the court proceeding) at least one service facility for
whose charges the owner will be fully reimbursed if the Administrator's
determination is upheld.
(11) A statement that further notice will be mailed by the
manufacturer to the owner if the Adminstrator's determination is upheld
in the court proceeding; and
(12) An address of the manufacturer where the owner may write to
obtain additional information regarding the notification and remedy.
(c) Post-litigation notification. When a manufacturer does not
provide notification as required in paragraph (a) of this section and
the Administrator prevails in an action commenced with respect to such
notification, the manufacturer shall, upon the Administrator's further
order, provide notification in accordance with paragraph (b) of 577.7
containing the information specified in paragraph (a) of this section,
except that --
(1) The statement required by paragraph (c) of 577.5 shall indicate
that the determination has been made by the Administrator and that his
determination has been upheld in a proceeding in the Federal courts;
and
(2) When a provisional notification was issued regarding the defect
or noncompliance and the manufacturer is required under the Act to
reimburse --
(i) The manufacturer shall state that he will reimburse the owner for
any reasonable and necessary expenses that the owner incurred (not in
excess of any amount specified by the Administrator) for repair of the
defect or noncompliance of the vehicle or item of equipment on or after
the date on which provisional notification was ordered to be issued and
on or before a date not sooner than the date on which this notification
is received by the owner. The manufacturer shall determine and specify
both dates.
(ii) The statement required by paragraph (g)(1)(vii) of 577.5 shall
also inform the owner that he may submit a complaint to the
Administrator if the owner believes that the manufacturer has failed to
reimburse adequately.
(3) If the manufacturer is not required under the Act to reimburse,
he shall include --
(i) A statement that he is not required to reimburse, or
(ii) When he will voluntarily reimburse, a statement of the extent to
which he will do so, including any limitations and conditions on such
reimbursement.
49 CFR 577.7Time and manner of notification.
(a) The notification required by 577.5 shall --
(1) Be furnished within a reasonable time after the manufacturer
first determines the existence of a defect which relates to motor
vehicle safety, or of a noncompliance.
(2) Be accomplished --
(i) In the case of a notification required to be sent by a motor
vehicle manufacturer, by first class mail to each person who is
registered under State law as the owner of the vehicle and whose name
and address are reasonably ascertainable by the manufacturer through
State records or other sources available to him. If the owner cannot be
reasonably ascertained, the manufacturer shall notify the most recent
purchaser known to the manufacturer.
(ii) In the case of a notification required to be sent by a
replacement equipment manufacturer --
(A) By first class mail to the most recent purchaser known to the
manufacturer, and
(B) (Except in the case of a tire) if determined by the Administator
to be necessary for motor vehicle safety, by public notice in such
manner as the Administrator may determine after consultation with the
manufacturer.
(iii) In the case of a manufacturer required to provide notification
concerning any defective or noncomplying tire, by first class or
certified mail.
(b) The notification required by any paragraph of 577.6 shall be
provided:
(1) Within 60 days after the manufacturer's receipt of the
Administrator's order to provide the notification, except that the
notification shall be furnished within a shorter or longer period if the
Administrator incorporates in his order a finding that such period is in
the public interest; and
(2) In the manner and to the recipient specified in paragraph (a) of
this section.
49 CFR 577.8Disclaimers.
(a) A notification sent pursuant to 577.5 or 577.6 regarding a
defect which relates to motor vehicle safety shall not, except as
specifically provided in this part, contain any statement or implication
that there is no defect, that the defect does not relate to motor
vehicle safety, or that the defect is not present in the owner's vehicle
or item of replacement equipment.
(b) A notification sent pursuant to 577.5 or 577.6 regarding a
noncompliance with an applicable Federal motor vehicle safety standard
shall not, except as specifically provided in this part, contain any
statement or implication that there is not a noncompliance or that the
noncompliance is not present in the owner's vehicle or item of
replacement equipment.
49 CFR 577.9Conformity to statutory requirements.
A notification that does not conform to the requirements of this part
is a violation of the Act.
49 CFR 577.9 PART 579 -- DEFECT AND NONCOMPLIANCE RESPONSIBILITY
Sec.
579.1 Scope.
579.2 Purpose.
579.3 Application.
579.4 Definitions.
579.5 Defect and noncompliance responsibility.
Authority: Secs. 103, 108, 112, 113, Pub. L. 89-563, 80 Stat. 718;
sec. 102, Pub. L. 93-492, 88 Stat. 1470 (15 U.S.C. 1392, 1397, 1401,
1411-1420; delegation of authority at 49 CFR 1.50).
Source: 43 FR 38833, Aug. 31, 1978, unless otherwise noted.
49 CFR 579.1Scope.
This part sets forth the responsibilities under Part B of the Act of
manufacturers for safety-related defects and noncompliances with Federal
motor vehicle safety standards in motor vehicles and items of motor
vehicle equipment.
49 CFR 579.2Purpose.
The purpose of this part is to facilitate the notification of owners
of defective and noncomplying motor vehicles and items of motor vehicle
equipment, and the remedy of defective and noncomplying vehicles and
items of equipment, by equitably reapportioning the responsibility for
safety-related defects and noncompliances with Federal motor vehicle
safety standards among manufacturers of motor vehicles and motor vehicle
equipment.
49 CFR 579.3Application.
This part applies to all manufacturers of motor vehicles and motor
vehicle equipment.
49 CFR 579.4Definitions.
(a) Original equipment means an item of motor vehicle equipment
(other than a tire) which was installed in or on a motor vehicle at the
time of its delivery to the first purchaser if --
(1) The item of equipment was installed on or in the motor vehicle at
the time of its delivery to a dealer or distributor for distribution;
or
(2) The item of equipment was installed by the dealer or distributor
with the express authorization of the motor vehicle manufacturer.
(b) Replacement equipment means --
(1) Motor vehicle equipment other than original equipment as defined
in paragraph (a) of this section; and
(2) Tires.
(c) The Act means the National Traffic and Motor Vehicle Safety Act
of 1966, as amended.
49 CFR 579.5Defect and noncompliance responsibility.
(a) Each manufacturer of a motor vehicle shall be responsible for any
safety-related defect or any noncompliance determined to exist in the
vehicle or in any item of original equipment.
(b) Each manufacturer of an item of replacement equipment shall be
responsible for any safety-related defect or any noncompliance
determined to exist in the equipment.
49 CFR 579.5 PART 580 -- ODOMETER DISCLOSURE REQUIREMENTS
Sec.
580.1 Scope.
580.2 Purpose.
580.3 Definitions.
580.4 Security of title documents and power of attorney forms.
580.5 Disclosure of odometer information.
580.6 Exemptions.
580.7 Disclosure of odometer information for leased motor vehicles.
580.8 Odometer disclosure statement retention.
580.9 Odometer record retention for auction companies.
580.10 Application for assistance.
580.11 Petition for approval of alternate disclosure requirements.
580.12 Petition for extension of time.
580.13 Disclosure of odometer information by power of attorney.
580.14 Power of attorney to review title documents and acknowledge
disclosure.
580.15 Certification by person exercising powers of attorney.
580.16 Access of transferee to prior title and power of attorney
documents.
Appendix A to Part 580 -- Secure Printing Processes and Other Secure
processes
Appendix B to Part 580 -- Disclosure Form for Title
Appendix C to Part 580 -- Separate Disclosure Form
Appendix D to Part 580 -- Disclosure Form for Leased Vehicle
Appendix E to Part 580 -- Power of Attorney Disclosure Form
Authority: 15 U.S.C. 1988; delegation of authority at 49 CFR
1.50(f) and 501.8(e)(1).
Source: 53 FR 29476, Aug. 5, 1988, unless otherwise noted.
49 CFR 580.1Scope.
This part prescribes rules requiring transferors and lessees of motor
vehicles to make written disclosure to transferees and lessors
respectively, concerning the odometer mileage and its accuracy as
directed by sections 408 (a) and (e) of the Motor Vehicle Information
and Cost Savings Act as amended, 15 U.S.C. 1988 (a) and (e). In
addition, this part prescribes the rules requiring the retention of
odometer disclosure statements by motor vehicle dealers, distributors
and lessors and the retention of certain other information by auction
companies as directed by sections 408(g) and 414 of the Motor Vehicle
Information and Cost Savings Act as amended, 15 U.S.C. 1990(d) and
1988(g).
49 CFR 580.2Purpose.
The purpose of this part is to provide purchasers of motor vehicles
with odometer information to assist them in determining a vehicle's
condition and value by making the disclosure of a vehicle's mileage a
condition of title and by requiring lessees to disclose to their lessors
the vehicle's mileage at the time the lessors transfer the vehicle. In
addition, the purpose of this part is to preserve records that are
needed for the proper investigation of possible violations of the Motor
Vehicle Information and Cost Savings Act and any subsequent
prosecutorial, adjudicative or other action.
49 CFR 580.3Definitions.
All terms defined in sections 2 and 402 of the Motor Vehicle
Information and Cost Savings Act are used in their statutory meaning.
Other terms used in this part are defined as follows:
Lessee means any person, or the agent for any person, to whom a motor
vehicle has been leased for a term of at least 4 months.
Lessor means any person, or the agent for any person, who has leased
5 or more motor vehicles in the past 12 months.
Mileage means actual distance that a vehicle has traveled.
Original power of attorney means, for single copy forms, the document
set forth by secure process which is issued by the State, and, for
multicopy forms, any and all copies set forth by secure process which
are issued by the State.
Secure printing process or other secure process means any process
which deters and detects counterfeiting and/or unauthorized reproduction
and allows alterations to be visible to the naked eye.
Transferee means any person to whom ownership of a motor vehicle is
transferred, by purchase, gift, or any means other than by the creation
of a security interest, and any person who, as agent, signs an odometer
disclosure statement for the transferee.
Transferor means any person who transfers his ownership of a motor
vehicle by sale, gift, or any means other than by the creation of a
security interest, and any person who, as agent, signs an odometer
disclosure statement for the transferor.
(53 FR 29476, Aug. 5, 1988, as amended at 54 FR 35887, Aug. 30, 1989;
56 FR 47686, Sept. 20, 1991)
Effective Date Note: At 56 FR 47686, Sept. 20, 1991, 580.3 was
amended by adding the definition of ''original power of attorney,''
effective October 21, 1991.
49 CFR 580.4 Security of title documents and power of attorney forms.
Each title shall be set forth by means of a secure printing process
or other secure process. In addition, power of attorney forms issued
pursuant to 580.13 and 580.14 and documents which are used to reassign
the title shall be issued by the State and shall be set forth by a
secure process.
(54 FR 35887, Aug. 30, 1989)
49 CFR 580.5 Disclosure of odometer information.
(a) Each title, at the time it is issued to the transferee, must
contain the mileage disclosed by the transferor when ownership of the
vehicle was transferred and contain a space for the information required
to be disclosed under paragraphs (c), (d), (e) and (f) of this section
at the time of future transfer.
(b) Any documents which are used to reassign a title shall contain a
space for the information required to be disclosed under paragraphs (c),
(d), (e) and (f) of this section at the time of transfer of ownership.
(c) In connection with the transfer of ownership of a motor vehicle,
each transferor shall disclose the mileage to the transferee in writing
on the title or, except as noted below, on the document being used to
reassign the title. In the case of a transferor in whose name the
vehicle is titled, the transferor shall disclose the mileage on the
title, and not on a reassignment document. This written disclosure must
be signed by the transferor, including the printed name. In connection
with the transfer of ownership of a motor vehicle in which more than one
person is a transferor, only one transferor need sign the written
disclosure. In addition to the signature and printed name of the
transferor, the written disclosure must contain the following
information:
(1) The odometer reading at the time of transfer (not to include
tenths of miles);
(2) The date of transfer;
(3) The transferor's name and current address;
(4) The transferee's name and current address; and
(5) The identity of the vehicle, including its make, model, year, and
body type, and its vehicle identification number.
(d) In addition to the information provided under paragraph (c) of
this section, the statement shall refer to the Federal law and shall
state that failure to complete or providing false information may result
in fines and/or imprisonment. Reference may also be made to applicable
State law.
(e) In addition to the information provided under paragraphs (c) and
(d) of this section,
(1) The transferor shall certify that to the best of his knowledge
the odometer reading reflects the actual mileage, or;
(2) If the transferor knows that the odometer reading reflects the
amount of mileage in excess of the designed mechanical odometer limit,
he shall include a statement to that effect; or
(3) If the transferor knows that the odometer reading differs from
the mileage and that the difference is greater than that caused by
odometer calibration error, he shall include a statement that the
odometer reading does not reflect the actual mileage, and should not be
relied upon. This statement shall also include a warning notice to
alert the transferee that a discrepancy exists between the odometer
reading and the actual mileage.
(f) The transferee shall sign the disclosure statement, print his
name, and return a copy to his transferor.
(g) If the vehicle has not been titled or if the title does not
contain a space for the information required, the written disclosure
shall be executed as a separate document.
(h) No person shall sign an odometer disclosure statement as both the
transferor and transferee in the same transaction, unless permitted by
580.13 or 580.14.
(53 FR 29476, Aug. 5, 1988, as amended at 54 FR 35887, Aug. 30, 1989;
56 FR 47686, Sept. 20, 1991)
Effective Date Note: At 56 FR 47686, Sept. 20, 1991, 580.5 was
amended by revising the introductory text of paragraph (c), effective
June 22, 1992. For the convenience of the user, the superseded text
follows:
580.5 Disclosure of odometer information.
(c) In connection with the transfer of ownership of a motor vehicle,
each transferor shall disclose the mileage to the transferee in writing
on the title or on the document being used to reassign the title. This
written disclosure must be signed by the transferor, including the
printed name. In connection with the transfer of ownership of a motor
vehicle in which more than one person is a transferor, only one
transferor need sign the written disclosure. In addition to the
signature and printed name of the transferor, the written disclosure
must contain the following information:
49 CFR 580.6 Exemptions.
Notwithstanding the requirements of 580.5 and 580.7:
(a) A transferor or a lessee of any of the following motor vehicles
need not disclose the vehicle's odometer mileage:
(1) A vehicle having a Gross Vehicle Weight Rating, as defined in
571.3 of this title, of more than 16,000 pounds;
(2) A vehicle that is not self-propelled;
(3) A vehicle that is ten years old or older; or
(4) A vehicle sold directly by the manufacturer to any agency of the
United States in conformity with contractual specifications.
(b) A transferor of a new vehicle prior to its first transfer for
purposes other than resale need not disclose the vehicle's odometer
mileage.
(c) A lessor of any of the vehicles listed in paragraph (a) of this
section need not notify the lessee of any of these vehicles of the
disclosure requirements of 580.7.
(53 FR 29476, Aug. 5, 1988, as amended at 54 FR 35888, Aug. 30, 1989)
49 CFR 580.7Disclosure of odometer information for leased motor
vehicles.
(a) Before executing any transfer of ownership document, each lessor
of a leased motor vehicle shall notify the lessee in writing that the
lessee is required to provide a written disclosure to the lessor
regarding the mileage. This notice shall contain a reference to the
federal law and shall state that failure to complete or providing false
information may result in fines and/or imprisonment. Reference may also
be made to applicable State law.
(b) In connection with the transfer of ownership of the leased motor
vehicle, the lessee shall furnish to the lessor a written statement
regarding the mileage of the vehicle. This statement must be signed by
the lessee and, in addition to the information required by paragraph (a)
of this section, shall contain the following information:
(1) The printed name of the person making the disclosure;
(2) The current odometer reading (not to include tenths of miles);
(3) The date of the statement;
(4) The lessee's name and current address;
(5) The lessor's name and current address;
(6) The identity of the vehicle, including its make, model, year, and
body type, and its vehicle identification number;
(7) The date that the lessor notified the lessee of disclosure
requirements;
(8) The date that the completed disclosure statement was received by
the lessor; and
(9) The signature of the lessor.
(c) In addition to the information provided under paragraphs (a) and
(b) of this section,
(1) The lessee shall certify that to the best of his knowledge the
odometer reading reflects the actual mileage; or
(2) If the lessee knows that the odometer reading reflects the amount
of mileage in excess of the designed mechanical odometer limit, he shall
include a statement to that effect; or
(3) If the lessee knows that the odometer reading differs from the
mileage and that the difference is greater than that caused by odometer
calibration error, he shall include a statement that the odometer
reading is not the actual mileage and should not be relied upon.
(d) If the lessor transfers the leased vehicle without obtaining
possession of it, the lessor may indicate on the title the mileage
disclosed by the lessee under paragraph (b) and (c) of this section,
unless the lessor has reason to believe that the disclosure by the
lessee does not reflect the actual mileage of the vehicle.
49 CFR 580.8Odometer disclosure statement retention.
(a) Dealers and distributors of motor vehicles who are required by
this part to execute an odometer disclosure statement shall retain for
five years a photostat, carbon or other facsimile copy of each odometer
mileage statement which they issue and receive. They shall retain all
odometer disclosure statements at their primary place of business in an
order that is appropriate to business requirements and that permits
systematic retrieval.
(b) Lessors shall retain, for five years following the date they
transfer ownership of the leased vehicle, each odometer disclosure
statement which they receive from a lessee. They shall retain all
odometer disclosure statements at their primary place of business in an
order that is appropriate to business requirements and that permits
systematic retrieval.
(c) Dealers and distributors of motor vehicles who are granted a
power of attorney by their transferor pursuant to 580.13, or by their
transferee pursuant to 580.14, shall retain for five years a photostat,
carbon, or other facsimile copy of each power of attorney that they
receive. They shall retain all powers of attorney at their primary
place of business in an order that is appropriate to business
requirements and that permits systematic retrieval.
(53 FR 29476, Aug. 5, 1988, as amended at 54 FR 35888, Aug. 30, 1989)
49 CFR 580.9Odometer record retention for auction companies.
Each auction company shall establish and retain at its primary place
of business in an order that is appropriate to business requirements and
that permits systematic retrieval, for five years following the date of
sale of each motor vehicle, the following records:
(a) The name of the most recent owner (other than the auction
company);
(b) The name of the buyer;
(c) The vehicle identification number; and
(d) The odometer reading on the date which the auction company took
possession of the motor vehicle.
49 CFR 580.10Application for assistance.
(a) A State may apply to NHTSA for assistance in revising its laws to
comply with the requirements of 408(d) (1) and (2) of the Motor Vehicle
Information and Cost Savings Act, 15 U.S.C. 1988(d) (1) and (2) and
580.4 and 580.5 of this part.
(b) Each application filed under section shall --
(1) Be written in the English language;
(2) Be submitted, to the Office of Chief Counsel, National Highway
Traffic Safety Administration, 400 Seventh Street, SW., Washington, DC
20590;
(3) Include a copy of current motor vehicle titling and/or disclosure
requirements in effect in the State; and
(4) Include a draft of legislation or regulations intended to amend
or revise current State motor vehicle titling and/or disclosure
requirements to conform with Federal requirements.
(c) The agency will respond to the applicant, in writing, and provide
a list of the Federal statutory and/or regulatory requirements that the
State may have failed to include in its proposal and indicate if any
sections of the proposal appear to conflict with Federal requirements.
49 CFR 580.11Petition for approval of alternate disclosure
requirements.
(a) A State may petition NHTSA for approval of disclosure
requirements which differ from the disclosure requirements of 580.5,
580.7, or 580.13(f) of this part.
(b) Each petition filed under this section shall --
(1) Be written in the English language;
(2) Be submitted to the Office of Chief Counsel, National Highway
Traffic Safety Administration, 400 Seventh Street SW., Washington, DC
20590;
(3) Set forth the motor vehicle disclosure requirements in effect in
the State, including a copy of the applicable State law or regulation;
and
(4) Explain how the State motor vehicle disclosure requirements are
consistent with the purposes of the Motor Vehicle Information and Cost
Savings Act.
(c) Notice of the petition and an initial determination pending a
30-day comment period will be published in the Federal Register. Notice
of final grant or denial of a petition for approval of alternate motor
vehicle disclosure requirements will be published in the Federal
Register. The effect of the grant of a petition is to relieve a State
from responsibility to conform the State disclosure requirements with
580.5, 580.7, or 580.13(f), as applicable, for as long as the approved
alternate disclosure requirements remain in effect in that State. The
effect of a denial is to require a State to conform to the requirements
of 580.5, 580.7 or 580.13(f), as applicable, of this part until such
time as the NHTSA approves any alternate motor vehicle disclosure
requirements.
(53 FR 29476, Aug. 5, 1988, as amended at 56 FR 47686, Sept. 20,
1991)
Effective Date Note: At 56 FR 47686, Sept. 20, 1991, 580.11 was
amended by revising paragraphs (a) and (c), effective October 21, 1991.
For the convenience of the user, the superseded text follows:
580.11 Petition for approval of alternate disclosure requirements.
(a) A State may petition NHTSA for approval of disclosure
requirements which differ from the disclosure requirements of 580.5
and 580.7 of this part.
(c) Notice of either a grant or denial of a petition for approval of
alternate motor vehicle disclosure requirements is issued to the
petitioner. The effect of a grant of a petition is to relieve a State
from responsibility to conform the State motor vehicle titles with
580.5 and 580.7 of this part during the time of the extension. The
effect of a denial is to require a State to conform to the requirements
of 580.5 and 580.7 of this part until such time as the NHTSA approves
any alternate motor vehicle disclosure requirements.
49 CFR 580.12Petition for extension of time.
(a) If a State cannot conform its laws to achieve compliance with
this part by April 29, 1989, the State may petition for an extension of
time.
(b) Each petition filed under this section shall --
(1) Be written in the English language;
(2) Be submitted, by February 28, 1989, to the Office of Chief
Counsel, National Highway Traffic Safety Administration, 400 Seventh
Street SW., Washington, DC, 20590;
(3) Set forth a chronological analysis of the efforts the State has
taken to meet the deadline, the reasons why it did not do so, the length
of time desired for extension and a description of the steps to be taken
while the extension is in effect.
(c) Notice of either the grant or denial of the petition is issued to
the petitioner and will be published in the Federal Register.
(d) A petition for a renewal of an extension of time must be filed no
later than 30 days prior to the termination of the extension of time
granted by the Agency. A petition for a renewal of an extension of time
must meet the same requirements as the original petition for an
extension of time.
(e) If a petition for a renewal of the extension of time which meets
the requirements of 580.12(b) is filed, the extension of time will
continue until a decision is made on the renewal petition.
49 CFR 580.13 Disclosure of odometer information by power of attorney.
(a) If the transferor's title is physically held by a lienholder, or
if the transferor to whom the title was issued by the State has lost his
title and the transferee obtains a duplicate title on behalf of the
transferor, and if otherwise permitted by State law, the transferor may
give a power of attorney to his transferee for the purpose of mileage
disclosure. The power of attorney shall be on a form issued by the
State to the transferee that is set forth by means of a secure printing
process or other secure process, and shall contain, in part A, a space
for the information required to be disclosed under paragraphs (b), (c),
(d), and (e) of this section. If a State permits the use of a power of
attorney in the situation described in 580.14(a), the form must also
contain, in part B, a space for the information required to be disclosed
under 580.14, and, in part C, a space for the certification required to
be made under 580.15.
(b) In connection with the transfer of ownership of a motor vehicle,
each transferor to whom a title was issued by the State whose title is
physically held by a lienholder or whose title has been lost, and who
elects to give his transferee a power of attorney for the purpose of
mileage disclosure, must appoint the transferee his attorney-in-fact for
the purpose of mileage disclosure and disclose the mileage on the power
of attorney form issued by the State. This written disclosure must be
signed by the transferor, including the printed name, and contain the
following information:
(1) The odometer reading at the time of transfer (not to include
tenths of miles);
(2) The date of transfer;
(3) The transferor's name and current address;
(4) The transferee's name and current address; and
(5) The identity of the vehicle, including its make, model year, body
type and vehicle identification number.
(c) In addition to the information provided under paragraph (b) of
this section, the power of attorney form shall refer to the Federal
odometer law and state that providing false information or the failure
of the person granted the power of attorney to submit the form to the
State may result in fines and/or imprisonment. Reference may also be
made to applicable State law.
(d) In addition to the information provided under paragraphs (b) and
(c) of this section:
(1) The transferor shall certify that to the best of his knowledge
the odometer reading reflects the actual mileage; or
(2) If the transferor knows that the odometer reading reflects
mileage in excess of the designed mechanical odometer limit, he shall
include a statement to that effect; or
(3) If the transferor knows that the odometer reading differs from
the mileage and the difference is greater than that caused by a
calibration error, he shall include a statement that the odometer
reading does not reflect the actual mileage and should not be relied
upon. This statement shall also include a warning notice to alert the
transferee that a discrepancy exists between the odometer reading and
the actual mileage.
(e) The transferee shall sign the power of attorney form, print his
name, and return a copy of the power of attorney form to the transferor.
(f) Upon receipt of the transferor's title, the transferee shall
complete the space for mileage disclosure on the title exactly as the
mileage was disclosed by the transferor on the power of attorney form.
The transferee shall submit the original power of attorney form to the
State that issued it, with a copy of the transferor's title or with the
actual title when the transferee submits a new title application at the
same time. The State shall retain the power of attorney form and title
for three years or a period equal to the State titling record retention
period, whichever is shorter. If the mileage disclosed on the power of
attorney form is lower than the mileage appearing on the title, the
power of attorney is void and the dealer shall not complete the mileage
disclosure on the title.
(54 FR 35888, Aug. 30, 1989, as amended at 54 FR 40083, Sept. 29,
1989; 56 FR 47686, Sept. 20, 1991)
Effective Date Note: At 56 FR 47686, Sept. 20, 1991, 580.13 was
amended by revising paragraph (f), effective October 21, 1991. For the
convenience of the user, the superseded text follows:
580.13 Disclosure of odometer information by power of attorney.
(f) Upon receipt of the transferor's title, the transferee shall
complete the space for mileage disclosure on the title exactly as the
mileage was disclosed by the transferor on the power of attorney form.
The transferee shall submit the original power of attorney form to the
State that issued it, with the application for new title and the
transferor's title. If the mileage disclosed on the power of attorney
form is lower than the mileage appearing on the title, the power of
attorney is void and the dealer shall not complete the mileage
disclosure on the title.
49 CFR 580.14 Power of attorney to review title documents and
acknowledge disclosure.
(a) In circumstances where part A of a secure power of attorney form
has been used pursuant to 580.13 of this part, and if otherwise
permitted by State law, a transferee may give a power of attorney to his
transferor to review the title and any reassignment documents for
mileage discrepancies, and if no discrepancies are found, to acknowledge
disclosure on the title. The power of attorney shall be on part B of
the form referred to in 580.13(a), which shall contain a space for the
information required to be disclosed under paragraphs (b), (c), (d), and
(e) of this section and, in part C, a space for the certification
required to be made under 580.15.
(b) The power of attorney must include a mileage disclosure from the
transferor to the transferee and must be signed by the transferor,
including the printed name, and contain the following information:
(1) The odometer reading at the time of transfer (not to include
tenths of miles);
(2) The date of transfer;
(3) The transferor's name and current address;
(4) The transferee's name and current address; and
(5) The identity of the vehicle, including its make, model year, body
type and vehicle identification number.
(c) In addition to the information provided under paragraph (b) of
this section, the power of attorney form shall refer to the Federal
odometer law and state that providing false information or the failure
of the person granted the power of attorney to submit the form to the
State may result in fines and/or imprisonment. Reference may also be
made to applicable State law.
(d) In addition to the information provided under paragraphs (b) and
(c) of this section:
(1) The transferor shall certify that to the best of his knowledge
the odometer reading reflects the actual mileage;
(2) If the transferor knows that the odometer reading reflects
mileage in excess of the designed mechanical odometer limit, he shall
include a statement to that effect; or
(3) If the transferor knows that the odometer reading differs from
the mileage and the difference is greater than that caused by a
calibration error, he shall include a statement that the odometer
reading does not reflect the actual mileage and should not be relied
upon. This statement shall also include a warning notice to alert the
transferee that a discrepancy exists between the odometer reading and
the actual mileage.
(e) The transferee shall sign the power of attorney form, and print
his name.
(f) The transferor shall give a copy of the power of attorney form to
his transferee.
(54 FR 35888, Aug. 30, 1989)
49 CFR 580.15 Certification by person exercising powers of attorney.
(a) A person who exercises a power of attorney under both 580.13
and 580.14 must complete a certification that he has disclosed on the
title document the mileage as it was provided to him on the power of
attorney form, and that upon examination of the title and any
reassignment documents, the mileage disclosure he has made on the title
pursuant to the power of attorney is greater than that previously stated
on the title and reassignment documents. This certification shall be
under part C of the same form as the powers of attorney executed under
580.13 and 580.14 and shall include:
(1) The signature and printed name of the person exercising the power
of attorney;
(2) The address of the person exercising the power of attorney; and
(3) The date of the certification.
(b) If the mileage reflected by the transferor on the power of
attorney is less than that previously stated on the title and any
reassignment documents, the power of attorney shall be void.
(54 FR 35889, Aug. 30, 1989)
49 CFR 580.16 Access of transferee to prior title and power of attorney
documents.
(a) In circumstances in which a power of attorney has been used
pursuant to 580.13 of this part, if a subsequent transferee elects to
return to is transferor to sign the disclosure on the title when the
transferor obtains the title and does not give his transferor a power of
attorney to review the title and reassignment documents, upon the
transferee's request, the transferor shall show to the transferee a copy
of the power of attorney that he received from his transferor.
(b) Upon request of a purchaser, a transferor who was granted a power
of attorney by his transferor and who holds the title to the vehicle in
his own name, must show to the purchaser the copy of the previous
owner's title and the power of attorney form.
(54 FR 35889, Aug. 30, 1989)
49 CFR 580.16 Pt. 580, App. A
49 CFR 580.16 Appendix A to Part 580 -- Secure Printing Processes and
Other Secure Processes
1. Methods to deter or detect counterfeiting and/or unauthorized
reproduction.
(a) Intaglio printing -- a printing process utilized in the
production of bank-notes and other security documents whereby an
engraved plate meets the paper under extremely high pressure forcing the
paper into the incisions below the surface of the plate.
(b) Intaglio Printing With Latent Images -- a printing process
utilized in the production of bank-notes and other security documents
whereby an engraved plate meets the paper under extremely high pressure
forcing the paper into the incisions below the surface of the plate.
The three dimensional nature of intaglio printing creates latent images
that aid in verification of authenticity and deter counterfeiting.
(c) High Resolution Printing -- a printing process which achieves
excellent art clarity and detail quality approaching that of the
intaglio process.
(d) Micro-line Printing -- a reduced line of type that appears to be
a solid line to the naked eye but contains readable intelligence under
strong magnification.
(e) Pantograph Void Feature -- wording incorporated into a pantograph
by varying screen density in the pantograph. The wording will appear
when attempts are made to photocopy on color copiers.
(f) Hologram -- a defraction foil substrate, produced from a negative
which was made by splitting a laser beam into two separate beams to
produce a three dimensional effect.
(g) Security Paper -- paper containing a security watermark and/or a
security thread.
2. Methods to allow alterations to be visible to the naked eye.
(a) Erasure Sensitive Background Inks -- a process whereby the text
is printed in a dark color ink over a fine line erasure-sensitive
prismatic ink tint.
(b) Security Lamination -- retro-reflective security laminate is
placed over vital information after it has been entered to allow for
detection of attempts to alter this information.
(c) Security Paper -- paper which has been chemically treated to
detect chemical alterations.
49 CFR 580.16 Pt. 580, App. B
49 CFR 580.16 Appendix B to Part 580 -- Disclosure Form for Title
Federal law (and State law, if applicable) requires that you state
the mileage in connection with the transfer of ownership. Failure to
complete or providing a false statement may result in fines and/or
imprisonment.
I state that the odometer now reads XXX (no tenths) miles and to the
best of my knowledge that it reflects the actual mileage of the vehicle
described herein, unless one of the following statements is checked.
-- (1) I hereby certify that to the best of my knowledge the
odometer reading reflects the amount of mileage in excess of its
mechanical limits.
-- (2) I hereby certify that the odometer reading is NOT the
actual mileage. WARNING -- ODOMETER DISCREPANCY.
--
(Transferor's Signature)
--
(Transferee's Signature)
--
(Printed name)
--
(Printed name)
Date of Statement
Transferee's Name
Transferee's Address
(Street) --
(City) (State) (ZIP Code)
49 CFR 580.16 Pt. 580, App. C
49 CFR 580.16 Appendix C to Part 580 -- Separate Disclosure Form
Federal law (and State law, if applicable) requires that you state
the mileage upon transfer of ownership. Failure to complete or
providing a false statement may result in fines and/or imprisonment.
I, XXXXXX (transferor's name, Print) state that the odometer now
reads XXXX (no tenths) miles and to the best of my knowledge that it
reflects the actual mileage of the vehicle described below, unless one
of the following statements is checked.
-- (1) I hereby certify that to the best of my knowledge the
odometer reading reflects the amount of mileage in excess of its
mechanical limits.
-- (2) I hereby certify that the odometer reading is NOT the
actual mileage. WARNING -- ODOMETER DISCREPANCY.
Make
Model
Body Type
Vehicle Identification Number
Year
(Transferor's Signature)
--
(Printed name)
Transferor's Address
(Street) -- (City) (State) (ZIP Code)
Date of Statement
--
(Transferee's Signature)
--
(Printed name)
Transferee's Name
Transferee's Address
-- (City) (State) (ZIP Code)
49 CFR 580.16 Pt. 580, App. D
49 CFR 580.16 Appendix D to Part 580 -- Disclosure Form for Leased
Vehicle
Federal law (and State law, if applicable) requires that the lessee
disclose the mileage to the lessor in connection with the transfer of
ownership. Failure to complete or making a false statement may result
in fines and/or imprisonment. Complete disclosure form below and return
to lessor.
I,XXXXXX (name of person making disclosure, Print) state that the
odometer now reads XXXX (no tenths) miles and to the best of my
knowledge that it reflects the actual mileage of the vehicle described
below, unless one of the following statements is checked.
-- (1) I hereby certify that to the best of my knowledge the
odometer reading reflects the amount of mileage in excess of its
mechanical limits.
-- (2) I hereby certify that the odometer reading is NOT the
actual mileage.
Make
Model
Body Type
Vehicle Identification Number
Year
Lessee's Name
Lessee's Address
(Street) -- (City) (State) (ZIP Code)
Lessee's Signature
Date of Statement
Lessor's Name
Lessor's Address
(Street) -- (City) (State) (ZIP Code)
Date Disclosure Form Sent to Lessee
Date Completed Disclosure Form Received from Lessee
Lessor's Signature
49 CFR 580.16 Pt. 580, App. E
49 CFR 580.16 Appendix E to Part 580 -- Power of Attorney Disclosure
Form
Warning: This form may be used only when title is physically held by
lienholder or has been lost. This form must be submitted to the state
by the person exercising powers of attorney. Failure to do so may
result in fines and/or imprisonment.
VEHICLE DESCRIPTION
Year XXXX Make XXXXXXX
Model XXXXXXX Body Type XXXXXXX
Vehicle Identification Number XXXXXXXXXXXX
Federal law (and State Law, if applicable) requires that you state
the mileage upon transfer of ownership. Providing a false statement may
result in fines and/or imprisonment.
I, XXXXXXXXXXXXXXX (transferor's name, Print) appoint XXXXXXXXXXXXXXX
(transferee's name, Print) as my attorney-in-fact, to disclose the
mileage, on the title for the vehicle described above, exactly as stated
in my following disclosure.
I state that the odometer now reads XXXXXX (no tenths) miles and to
the best of my knowledge that it reflects the actual mileage unless one
of the following statements is checked.
XX (1) I hereby certify that to the best of my knowledge the odometer
reading reflect the mileage in excess of its mechanical limits.
XX (2) I hereby certify that the odometer reading is NOT the actual
mileage. WARNING -- ODOMETER DISCREPANCY.
--
(Transferor's Signature)
--
(Printed Name)
Transferor's Address (Street) XXXXXXXXXXXX
(City) XXXXXX (State) XX (ZIP Code) XXXXX.
Date of Statement XXXXXXXX
--
(Transferee's Signature)
--
(Printed Name)
Transferee's Name XXXXXXXXXXXX
Transferee's Address (Street) XXXXXXXXXXXX
(City) XXXXXX (State) XX (ZIP Code) XXXXX.
Acknowledge Disclosure.
(Part B is invalid unless Part A has been completed.)
I, XXXXXXXXXXXXXXX (transferee's name, Print) appoint XXXXXXXXXXXXXXX
(transferor's name, Print) as my attorney-in-fact, to sign the mileage
disclosure, on the title for the vehicle described above, only if the
disclosure is exactly as the disclosure completed below.
--
(Transferee's Signature)
--
(Printed Name)
Transferee's Name XXXXXXXXXXXX
Transferee's Address (Street) XXXXXXXXXXXX
(City) XXXXXX (State) XX (ZIP Code) XXXXX.
Federal law (and State Law, if applicable) requires that you state
the mileage upon transfer of ownership. Providing a false statement may
result in fines and/or imprisonment.
I, XXXXXXXXXX (transferor's name, Print) state that the odometer now
reads XXXXXX (no tenths) miles and to the best of my knowledge that it
reflects the actual mileage unless one of the following statements is
checked.
XX (1) I hereby certify that to the best of my knowledge the odometer
reading reflect the mileage in excess of its mechanical limits.
XX (2) I hereby certify that the odometer reading is NOT the actual
mileage. WARNING -- ODOMETER DISCREPANCY.
--
(Transferor's Signature)
--
(Printed Name)
Transferor's Address (Street) XXXXXXXXXXXX
(City) XXXXXX (State) XX (ZIP Code) XXXXX.
Date of Statement XXXXXXXX
Part C. Certification
(To Be Completed When parts A and B Have Been Used)
I, XXXXXXXX, (person exercising above powers of attorney, Print),
hereby certify that the mileage I have disclosed on the title document
is consistent with that provided to me in the above power of attorney.
Further, upon examination of the title and any reassignment documents
for the vehicle described above, the mileage diclosure I have made on
the title pursuant to the power of attorney is greater than that
previously stated on the title and reassignment documents. This
certification is not intended to create, nor does it create any new or
additional liability under Federal or State law.
--
(Signature)
--
(Printed Name)
--
Address (Street)
(City) XXXXXXXX (State) XX (ZIP Code) XXXXX
Date XXXXXXXX
(54 FR 9816, Mar. 8, 1989, as amended at 54 FR 35889, Aug. 30, 1989)
49 CFR 580.16 PART 581 -- BUMPER STANDARD
Sec.
581.1 Scope.
581.2 Purpose.
581.3 Application.
581.4 Definitions.
581.5 Requirements.
581.6 Conditions.
581.7 Test procedures.
Authority: Secs. 103, 119, Pub. L. 89-563, 80 Stat. 718 (15 U.S.C.
1392, 1407); sec. 102, Pub. L. 92-513, 86 Stat. 947 (15 U.S.C. 1912);
delegation of authority at 49 CFR 1.50.
Source: 42 FR 24059, May 12, 1977, unless otherwise noted.
49 CFR 581.1Scope.
This standard establishes requirements for the impact resistance of
vehicles in low speed front and rear collisions.
49 CFR 581.2Purpose.
The purpose of this standard is to reduce physical damage to the
front and rear ends of a passenger motor vehicle from low speed
collisions.
49 CFR 581.3Application.
This standard applies to passenger motor vehicles other than
multipurpose passenger vehicles.
49 CFR 581.4Definitions.
All terms defined in the Motor Vehicle Information and Cost Savings
Act, Pub. L. 92-513, 15 U.S.C. 1901-1991, are used as defined therein.
Bumper face bar means any component of the bumper system that
contacts the impact ridge of the pendulum test device.
49 CFR 581.5Requirements.
(a) Each vehicle shall meet the damage criteria of 581.5(c)(1)
through 581.5(c)(9) when impacted by a pendulum-type test device in
accordance with the procedures of 581.7(b), under the conditions of
581.6, at an impact speed of 1.5 m.p.h., and when impacted by a
pendulum-type test device in accordance with the procedures of 581.7(a)
at 2.5 m.p.h., followed by an impact into a fixed collision barrier that
is perpendicular to the line of travel of the vehicle, while traveling
longitudinally forward, then longitudinally rearward, under the
conditions of 581.6, at 2.5 m.p.h.
(b) (Reserved)
(c) Protective criteria. (1) Each lamp or reflective device except
license plate lamps shall be free of cracks and shall comply with
applicable visibility requirements of S4.3.1.1 of Standard No. 108 (
571.108 of this part). The aim of each headlamp shall be adjustable to
within the beam aim inspection limits specified in Table 2 of SAE
Recommended Practice J599b, July 1970, measured with a mechanical aimer
conforming to the requirements of SAE Standard J602a, July 1970.
(2) The vehicle's hood, trunk, and doors shall operate in the normal
manner.
(3) The vehicle's fuel and cooling systems shall have no leaks or
constricted fluid passages and all sealing devices and caps shall
operate in the normal manner.
(4) The vehicle's exhaust system shall have no leaks or
constrictions.
(5) The vehicle's propulsion, suspension, steering, and braking
systems shall remain in adjustment and shall operate in the normal
manner.
(6) A pressure vessel used to absorb impact energy in an exterior
protection system by the accumulation of gas pressure or hydraulic
pressure shall not suffer loss of gas or fluid accompanied by separation
of fragments from the vessel.
(7) The vehicle shall not touch the test device, except on the impact
ridge shown in Figures 1 and 2, with a force that exceeds 2000 pounds on
the combined surfaces of Planes A and B of the test device.
(8) The exterior surfaces shall have no separations of surface
materials, paint, polymeric coatings, or other covering materials from
the surface to which they are bonded, and no permanent deviations from
their original contours 30 minutes after completion of each pendulum and
barrier impact, except where such damage occurs to the bumper face bar
and the components and associated fasteners that directly attach the
bumper face bar to the chassis frame.
(9) Except as provided in 581.5(c)(8), there shall be no breakage or
release of fasteners or joints.
(42 FR 24059, May 12, 1977, as amended at 42 FR 38909, Aug. 1, 1977;
43 FR 40231, Sept. 11, 1978; 47 FR 21837, May 20, 1982)
49 CFR 581.6Conditions.
The vehicle shall meet the requirements of 581.5 under the following
conditions.
(a) General. (1) The vehicle is at unloaded vehicle weight.
(2) The front wheels are in the straight ahead position.
(3) Tires are inflated to the vehicle manufacturer's recommended
pressure for the specified loading condition.
(4) Brakes are disengaged and the transmission is in neutral.
(5) Trailer hitches, license plate brackets, and headlamp washers are
removed from the vehicle. Running lights, fog lamps, and equipment
mounted on the bumper face bar are removed from the vehicle if they are
optional equipment.
(b) Pendulum test conditions. The following conditions apply to the
pendulum test procedures of 581.7 (a) and (b).
(1) The test device consists of a block with one side contoured as
specified in Figure 1 and Figure 2 with the impact ridge made of A1S1
4130 steel hardened to 34 Rockwell ''C.'' The impact ridge and the
surfaces in Planes A and B of the test device are finished with a
surface roughness of 32 as specified by SAE Recommended Practice J449A,
June 1963. From the point of release of the device until the onset of
rebound, the pendulum suspension system holds Plane A vertical, with the
arc described by any point on the impact line lying in a vertical plane
(for 581.7(a), longitudinal; for 581.7(b), at an angle of 30 to a
vertical longitudinal plane) and having a constant radius of not less
than 11 feet.
(2) With Plane A vertical, the impact line shown in Figures 1 and 2
is horizontal at the same height as the test device's center of
percussion.
(3) The effective impacting mass of the test device is equal to the
mass of the tested vehicle.
(4) When impacted by the test device, the vehicle is at rest on a
level rigid concrete surface.
(c) Barrier test condition. At the onset of a barrier impact, the
vehicle's engine is operating at idling speed in accordance with the
manufacturer's specifications. Vehicle systems that are not necessary
to the movement of the vehicle are not operating during impact.
(Sec. 102, Pub. L. 92-513, 86 Stat. 947 (15 U.S.C. 1912); secs.
103, 119, Pub. L. 89-563, 80 Stat. 718 (15 U.S.C. 1392, 1407);
delegation of authority at 49 CFR 1.50 and 501.7)
(42 FR 24059, May 12, 1977, as amended at 42 FR 38909, Aug. 1, 1977;
48 FR 43331, Sept. 23, 1983)
49 CFR 581.7Test procedures.
(a) Longitudinal impact test procedures. (1) Impact the vehicle's
front surface and its rear surface two times each with the impact line
at any height from 16 to 20 inches, inclusive, in accordance with the
following procedure.
(2) For impacts at a height of 20 inches, place the test device shown
in Figure 1 so that Plane A is vertical and the impact line is
horizontal at the specified height.
(3) For impacts at a height between 20 inches and 16 inches, place
the test device shown in Figure 2 so that Plane A is vertical and the
impact line is horizontal at a height within the range.
(4) For each impact, position the test device so that the impact line
is at least 2 inches apart in vertical direction from its position in
any prior impact, unless the midpoint of the impact line with respect to
the vehicle is to be more than 12 inches apart laterally from its
position in any prior impact.
(5) For each impact, align the vehicle so that it touches, but does
not move, the test device, with the vehicle's longitudinal centerline
perpendicular to the plane that includes Plane A of the test device and
with the test device inboard of the vehicle corner test positions
specified in 581.7(b).
(6) Move the test device away from the vehicle, then release it to
impact the vehicle.
(7) Perform the impacts at intervals of not less than 30 minutes.
(b) Corner impact test procedure. (1) Impact a front corner and a
rear corner of the vehicle one each with the impact line at a height of
20 inches and impact the other front corner and the other rear corner
once each with the impact line at any height from 16 to 20 inches,
inclusive, in accordance with the following procedure.
(2) For an impact at a height of 20 inches, place the test device
shown in Figure 1 so that Plane A is vertical and the impact line is
horizontal at the specified height.
(3) For an impact at a height between 16 inches and 20 inches, place
the test device shown in Figure 2 so that Plane A is vertical and the
impact line is horizontal at a height within the range.
(4) Align the vehicle so that a vehicle corner touches, but does not
move, the lateral center of the test device with Plane A of the test
device forming an angle of 60 degrees with a vertical longitudinal
plane.
(5) Move the test device away from the vehicle, then release it to
impact the vehicle.
(6) Perform the impact at intervals of not less than 30 minutes.
(42 FR 24059, May 12, 1977, as amended at 42 FR 38909, Aug. 1, 1977)
49 CFR 581.7 PART 582 -- INSURANCE COST INFORMATION REGULATION
Sec.
582.1 Scope.
582.2 Purpose.
582.3 Definitions.
582.4 Requirements.
582.5 Insurance cost information form.
Authority: Sec. 201(c), Pub. L. 92-513, 86 Stat. 947 (15 U.S.C.
1941(e)); delegation of authority at 49 CFR 1.51.
Source: 40 FR 4918, Feb. 3, 1975, unless otherwise noted.
49 CFR 582.1Scope.
This part requires automobile dealers to make available to
prospective purchasers information reflecting differences in insurance
costs for different makes and models of passenger motor vehicles based
upon differences in damage susceptibility and crashworthiness, pursuant
to section 201(e) of the Motor Vehicle Information and Cost Savings Act
(15 U.S.C. 1941(e)), herein ''the Cost Savings Act.''
49 CFR 582.2Purpose.
The purpose of this part is to enable prospective purchasers to
compare differences in auto insurance costs for the various makes and
models of passenger motor vehicles, based upon differences in damage
susceptibility and crashworthiness, and to realize any savings in
collision insurance resulting from differences in damageability, and any
savings, in medical payment insurance resulting from differences in
crashworthiness.
49 CFR 582.3Definitions.
(a) Statutory definitions. All terms used in this part which are
defined in section 2 of the Cost Savings Act are used as so defined.
(b) Definitions used in this part. (1) Automobile dealer means any
person who engages in the retail sale of new or used automobiles as a
trade or business.
(2) Collision insurance means insurance that reimburses the insured
party for physical damage to his property resulting from automobile
accidents.
(3) Insurance cost means the insurance premium rate, as expressed in
appropriate indices, for collision and medical payment, including
personal injury protection in no-fault states.
(4) Medical payment insurance means insurance that reimburses the
insured party for medical expenses sustained by himself, his family, and
his passengers in automobile accidents.
49 CFR 582.4Requirements.
(a) Each automobile dealer shall provide the insurance cost
information specified in 582.5 for examination by prospective
purchasers at each location where he offers vehicles for sale.
(b) The information shall be provided without charge and in
sufficient quantity to have it available for retention by prospective
purchasers, within 30 days after its publication in the Federal
Register.
(c) The information shall be in English and, if a significant portion
of the prospective purchasers do not speak English, in the non-English
language most widely spoken by prospective purchasers.
49 CFR 582.5Insurance cost information form.
The insurance cost information provided pursuant to 582.4 shall be
presented as follows: (Form to be specified).
49 CFR 582.5 PART 585 -- AUTOMATIC RESTRAINT PHASE-IN REPORTING
REQUIREMENTS
Sec.
585.1 Scope.
585.2 Purpose.
585.3 Applicability.
585.4 Definitions.
585.5 Reporting requirements.
585.6 Records.
585.7 Petition to extend period to file report.
Authority: 15 U.S.C. 1392, 1401, 1407; delegation of authority at
49 CFR 1.50.
49 CFR 585.1 Scope.
This part establishes requirements for manufacturers of trucks,
buses, and multipurpose passenger vehicles with a gross vehicle weight
rating (GVWR) of 8,500 pounds or less and an unloaded vehicle weight of
5,500 pounds or less to submit reports, and to maintain records related
to the reports, concerning the number of such vehicles equipped with
automatic crash protection in compliance with the requirements of S4.2.5
of Standard No. 208, Occupant Crash Protection (49 CFR 571.208).
(56 FR 12486, Mar. 26, 1991)
49 CFR 585.2 Purpose.
The purpose of these reporting requirements is to aid the National
Highway Traffic Safety Administration in determining whether a
manufacturer of trucks, buses, and multipurpose passenger vehicles with
a GVWR of 8,500 pounds or less and an unloaded vehicle weight of 5,500
pounds or less has complied with the requirements of Standard No. 208,
Occupant Crash Protection (49 CFR 571.208) to install automatic crash
protection in specified percentages of the manufacturer's annual
production of those vehicles.
(56 FR 12486, Mar. 26, 1991)
49 CFR 585.3 Applicability.
This part applies to manufacturers of trucks, buses, and multipurpose
passenger vehicles with a GVWR of 8,500 pounds or less and an unloaded
vehicle weight of 5,500 pounds or less. However, this part does not
apply to any such manufacturers whose production consists exclusively
of:
(a) Vehicles manufactured in two or more stages;
(b) Walk-in van-type trucks;
(c) Vehicles designed to be exclusively sold to the U.S. Postal
Service; and/or
(d) Vehicles that are altered after previously having been certified
in accordance with part 567 of this chapter.
(56 FR 12486, Mar. 26, 1991)
49 CFR 585.4 Definitions.
(a) All terms defined in section 102 of the National Traffic and
Motor Vehicle Safety Act (15 U.S.C. 1391) are used in their statutory
meaning.
(b) Bus, gross vehicle weight rating or GVWR, multipurpose passenger
vehicle, truck, and unloaded vehicle weight are used as defined in
571.3 of this chapter.
(c) Production year means the 12-month period between September 1 of
the prior year and August 31 of the year in question, inclusive.
(56 FR 12486, Mar. 26, 1991)
49 CFR 585.5 Reporting requirements.
(a) General reporting requirements. (1) Within 60 days after the end
of the production years ending August 31, 1995, August 31, 1996, and
August 31, 1997, each manufacturer that manufactured any trucks, buses,
and multipurpose passenger vehicles with a GVWR of 8,500 pounds or less
and an unloaded vehicle weight of 5,500 pounds or less during the
production year (other than walk-in van-type trucks, vehicles designed
to be exclusively sold to the U.S. Postal Service, vehicles manufactured
in two or more stages, or vehicles that were altered after previously
having been certified in accordance with part 567 of this chapter) shall
submit a report to the National Highway Traffic Safety Administration
concerning its compliance with the requirements of Standard No. 208 (49
CFR 571.208) for installation of automatic crash protection in such
vehicles manufactured during that production year.
(2) Each report submitted in compliance with paragraph (a)(1) of this
section shall:
(i) Identify the manufacturer;
(ii) State the full name, title, and address, of the official
responsible for preparing the report;
(iii) Identify the production year for which the report is filed;
(iv) Contain a statement regarding the extent to which the
manufacturer has complied with the requirements of S4.2.5 of Standard
No. 208 ( 571.208 of this chapter);
(v) Provide the information specified in paragraph (b) of this
section;
(vi) Be written in the English language; and
(vii) Be submitted to: Administrator, National Highway Traffic
Safety Administration, 400 Seventh Street, SW., Washington, DC 20590.
(b) Report content. (1) Basis for phase-in production goals. Each
manufacturer shall report the number of trucks, buses, and multipurpose
passenger vehicles with a GVWR of 8,500 pounds or less and an unloaded
vehicle weight of 5,500 pounds or less that it manufactured for sale in
the United States for each of the three preceding production years or,
at the manufacturer's option, for the production year for which the
report is filed. A manufacturer that did not manufacture any trucks,
buses, or multipurpose passenger vehicles with a GVWR of 8,500 pounds or
less and an unloaded vehicle weight of 5,500 pounds of less during each
of the three preceding production years must report the number of
trucks, buses, and multipurpose passenger vehicles with a GVWR or 8,500
pounds or less and an unloaded vehicle weight of 5,500 pounds or less
manufactured during the production year for which the report is filed.
(2) Production. Each manufacturer shall report for the production
year for which the report is filed, and for each preceding production
year, to the extent that trucks, buses, and multipurpose passenger
vehicles produced during the preceding production years are treated
under 571.208 of this chapter as having been produced during the
production period for which the report is filed, the information
specified in paragraphs (b)(2)(i) through (b)(2)(iii) of this section,
inclusive, with respect to its trucks, buses, and multipurpose passenger
vehicles with a GVWR of 8,500 pounds or less and an unloaded vehicle
weight of 5,500 pounds or less.
(i) The number of those vehicles certified as complying with S4.1.2.1
of Standard No. 208, Occupant Crash Protection (49 CFR 571.208) because
they are equipped with automatic seat belts and the seating positions at
which those belts are installed;
(ii) The number of those vehicles certified as complying with
S4.1.2.1 of Standard No. 208, Occupant Crash Protection (49 CFR
571.208) because they are equipped with air bags and the seating
positions at which those air bags are installed; and
(iii) The number of those vehicles certified as complying with
S4.1.2.1 of Standard No. 208, Occupant Crash Protection (49 CFR
571.208) because they are equipped with other forms of automatic crash
protection, which forms of automatic crash protection shall be
described, and the seating positions at which those forms of automatic
crash protection are installed.
(3) Vehicles produced by more than one manufacturer. Each
manufacturer whose reporting of information is affected by one or more
of the express written contracts permitted by section S4.2.5.6.2 of
571.208 of this chapter shall:
(i) Report the existence of each such contract, including the names
of all parties to each such contract, and explain how the contract
affects the report being filed; and
(ii) Report the number of vehicles covered by each such contract.
(56 FR 12486, Mar. 26, 1991)
49 CFR 585.6 Records.
Each manufacturer shall maintain records of the vehicle
identification number and type of automatic crash protection for each
vehicle for which information was reported under 585.5(b)(2), until
December 31, 1999.
(56 FR 12487, Mar. 26, 1991)
49 CFR 585.7 Petition to extend period to file report.
A petition for extension of the time to submit a report must be
received not later than 15 days before expiration of the time stated in
585.5(a). The petition must be submitted to: Administrator, National
Highway Traffic Safety Administration, 400 Seventh Street, SW,
Washington, DC 20590. The filing of a petition does not automatically
extend the time for filing a report. A petition will be granted only if
the petitioner shows good cause for the extension and if the extension
is consistent with the public interest.
(51 FR 9813, Mar. 21, 1986)
49 CFR 585.7 PART 586 -- SIDE IMPACT PHASE-IN REPORTING REQUIREMENTS
Sec.
586.1 Scope.
586.2 Purpose.
586.3 Applicability.
586.4 Definitions.
586.5 Reporting requirements.
586.6 Records.
586.7 Petition to extend period to file report.
Authority: 15 U.S.C. 1392, 1401, 1407; delegation of authority at
49 CFR 1.50.
Source: 55 FR 45769, Oct. 30, 1990, unless otherwise noted.
49 CFR 586.1 Scope.
This section establishes requirements for passenger car manufacturers
to submit a report, and maintain records related to the report,
concerning the number of passenger cars manufactured that meet the
dynamic test procedures and performance requirements of Standard No.
214, Side Impact Protection (49 CFR 571.214).
49 CFR 586.2 Purpose.
The purpose of the reporting requirements is to aid the National
Highway Traffic Safety Administration in determining whether a passenger
car manufacturer has complied with the requirements of Standard No. 214
of this Chapter (49 CFR 571.214) concerning dynamic test procedures and
performance requirements concerning side impact protection.
49 CFR 586.3 Applicability.
This part applies to manufacturers of passenger cars.
49 CFR 586.4 Definitions.
(a) All terms defined in section 102 of the National Traffic and
Motor Vehicle Safety Act (15 U.S.C. 1391) are used in their statutory
meaning.
(b) Passenger car is used as defined in 49 CFR 571.3.
(c) Production year means the 12-month period between September 1 of
one year and August 31 of the following year, inclusive.
49 CFR 586.5 Reporting requirements.
(a) General reporting requirements. Within 60 days after the end of
each of the production years ending August 31, 1994, August 31, 1995,
and August 31, 1996, each manufacturer shall submit a report to the
National Highway Traffic Safety Administration concerning its compliance
with the requirements of S3(c) of Standard No. 214 for its passenger
cars produced in that year. Each report shall --
(1) Identify the manufacturer:
(2) State the full name, title, and address of the official
responsible for preparing the report;
(3) Identify the production year being reported on;
(4) Contain a statement regarding whether or not the manufacturer
complied with the dynamic testing and performance requirements of the
amended Standard No. 214 for the period covered by the report and the
basis for that statement;
(5) Provide the information specified in 586.5(b), except that this
information need not be submitted with the report due 60 days after
August 31, 1994 if the manufacturer chooses the compliance option
specified in S3(d) of 49 CFR 571.214;
(6) Be written in the English language; and
(7) Be submitted to: Administrator, National Highway Traffic Safety
Administration, 400 Seventh Street SW., Washington, DC 20590.
(b) Report content -- (1) Basis for phase-in production goals. Each
manufacturer shall provide the number of passenger cars manufactured for
sale in the United States for each of the three previous production
years, or, at the manufacturer's option, for the current production
year. A new manufacturer that is, for the first time, manufacturing
passenger cars for sale in the United States must report the number of
passenger cars manufactured during the current production year.
(2) Production. Each manufacturer shall report for the production
year being reported on, and each preceding production year, to the
extent that cars produced during the preceding years are treated under
Standard No. 214 as having been produced during the production year
being reported on, information on the number of passenger cars that meet
the dynamic test procedure and performance requirements of S5 and S6 of
Standard No. 214.
(3) Passenger cars produced by more than one manufacturer. Each
manufacturer whose reporting of information is affected by one or more
of the express written contracts permitted by S8.4.2 of Standard No.
214 shall:
(i) Report the existence of each contract, including the names of all
parties to the contract, and explain how the contract affects the report
being submitted.
(ii) Report the actual number of passenger cars covered by each
contract.
49 CFR 586.6 Records.
Each manufacturer shall maintain records of the Vehicle
Identification Number for each passenger car for which information is
reported under 586.5(b)(2) until December 31, 1998.
(Approved by the Office of Management and Budget under control number
2127-0558)
(55 FR 45769, Oct. 30, 1990, as amended at 56 FR 47011, Sept. 17,
1991)
49 CFR 586.7 Petition to extend period to file report.
A petition for extension of the time to submit a report must be
received not later than 15 days before expiration of the time stated in
586.5(a). The petition must be submitted to: Administrator, National
Highway Traffic Safety Administration, 400 Seventh Street SW.,
Washington, DC 20590. The filing of a petition does not automatically
extend the time for filing a report. A petition will be granted only if
the petitioner shows good cause for the extension and if the extension
is consistent with the public interest.
49 CFR 586.7 PART 587 -- SIDE IMPACT MOVING DEFORMABLE BARRIER
Sec.
587.1 Scope.
587.2 Purpose.
587.3 Applicability.
587.4 Definitions.
587.5 Incorporated materials.
587.6 General description.
Authority: 15 U.S.C. 1392, 1401, 1403, 1407; delegation of
authority at 49 CFR 1.50.
Source: 55 FR 45779, Oct. 30, 1990, unless otherwise noted.
49 CFR 587.1 Scope.
This part describes the moving deformable barrier that is to be used
for testing compliance of motor vehicles with motor vehicle safety
standards.
49 CFR 587.2 Purpose.
The design and performance criteria specified in this part are
intended to describe measuring tools with sufficient precision to give
repetitive and correlative results under similar test conditions and to
reflect adequately the protective performance of a motor vehicle or item
of motor vehicle equipment with respect to human occupants
49 CFR 587.3 Applicability.
This part does not in itself impose duties or liabilities on any
person. It is a description of tools that measure the performance of
occupant protections systems required by the safety standards that
incorporate it. It is designed to be referenced by, and become a part
of, the test procedures specified in motor vehicle safety standards,
such as Standard No. 214, Side Impact Protection.
49 CFR 587.4 Definitions.
All terms defined in section 102 of the National Traffic and Motor
Vehicle Safety Act (15 U.S.C. 1391) are used in their statutory meaning.
49 CFR 587.5 Incorporated materials.
(a) The drawings and specifications referred to in this regulation
that are not set forth in full are hereby incorporated in this part by
reference. These materials are thereby made part of this regulation.
The Director of the Federal Register has approved the materials
incorporated by reference. For materials subject to change, only the
specific version approved by the Director of the Federal Register and
specified in the regulation are incorporated. A notice of any change
will be published in the Federal Register. As a convenience to the
reader, the materials incorporated by reference are listed in the
Finding Aid Table found at the end of this volume of the Code of Federal
Regulations.
(b) The drawings and specifications incorporated in this part by
reference are available for examination in the general reference section
of Docket 79-04, Docket Section, National Highway Traffic Safety
Administration, Room 5109, 400 Seventh Street, SW., Washington, DC
20590. Copies may be obtained from Rowley-Scher Reprographics, Inc.,
1111 14th Street, NW., Washington, DC 20005, telephone (202) 628-6667 or
(202) 408-8789. The drawings and specifications are also on file in the
reference library of the Office of the Federal Register, National
Archives and Records Administration, Washington. D.C.
49 CFR 587.6 General description.
(a) The moving deformable barrier consists of component parts and
component assemblies which are described in drawings and specifications
that are set forth in this 587.6 of this chapter (incorporated by
reference; see 587.5).
(b) The moving deformable barrier specifications are provided in the
drawings shown in DSL-1278 through DSL-1287, except DSL-1282 (DSL-1278
through DSL-1287, except for DSL-1282, are incorporated by reference;
see 587.5)
(1) The specifications for the final assembly of the moving
deformable barrier are provided in the drawings shown in DSL-1278, dated
August 20, 1980.
(2) The specifications for the frame assembly of the moving
deformable barrier are provided in the drawings shown in DSL-1281, dated
August 20, 1980.
(3) The specifications for the face of the moving deformable barrier
are provided in the drawings shown in DSL-1285 and DSL 1286, both dated
August 20, 1980.
(4) The specifications for the ballast installation and details
concerning the ballast plate are provided in drawings shown in DSL-1279
and DSL-1280, both dated August 20, 1980.
(5) The specifications for the hub assembly and details concerning
the brake are provided in drawings shown in DSL-1283, dated August 20,
1980.
(6) The specifications for the rear guide assembly are provided in
drawings shown in DSL-1284, dated August 20, 1980.
(7) The specifications for the research axle assembly are provided in
drawings shown in DSL-1287, dated November 26, 1980.
(c) In configuration 2 (with two cameras and camera mounts, a light
trap vane, and ballast reduced), the moving deformable barrier,
including the impact surface, supporting structure, and carriage, weighs
3,015 pounds, has a track width of 74 inches in the crabbed
configuration when the wheels are straight, and has a wheelbase of 102
inches.
(d) In configuration 2, the moving deformable barrier has the
following center of gravity:
X=44.2 inches rear of front axle
Y=0.3 inches left of longitudinal center line
Z=19.7 inches from ground.
(e) The moving deformable barrier has the following moment of
inertia:
Pitch=1669 ft-lb-sec /2/
Roll=375 ft-lb-sec /2/
Yaw=1897 ft-lb-sec /2/
(55 FR 45779, Oct. 30, 1990; 56 FR 47011, Sept. 17, 1991)
49 CFR 587.6 PART 590 -- MOTOR VEHICLE EMISSION INSPECTIONS
Sec.
590.1 Scope.
590.2 Purpose.
590.3 Applicability.
590.4 Definitions.
590.5 Requirements.
590.6 No-load inspection.
590.7 Loaded-mode inspection.
590.8 Inspection conditions.
Authority: Sec. 302(b)(1), Pub. L. 92-513, 86 Stat. 947 (15 U.S.C.
1901); delegation of authority at 49 CFR 1.51.
Source: 40 FR 24905, June 1, 1975, unless otherwise noted.
49 CFR 590.1Scope.
This part specifies standards and procedures for motor vehicle
emission inspections by State or State-supervised diagnostic inspection
demonstration projects funded under Title III of the Motor Vehicle
Information and Cost Savings Act (15 U.S.C. 1901, et seq.).
49 CFR 590.2Purpose.
The purpose of this part is to support the development of effective
regulation of automobile exhaust emissions and thereby improve air
quality, by establishing appropriate uniform procedures for diagnostic
emission inspection demonstration projects.
49 CFR 590.3Applicability.
This part does not impose requirements on any person. It is intended
to be utilized by State diagnostic inspection demonstration projects
operating under Title III of the Cost Savings Act for diagnostic
emission inspections of passenger cars powered by spark-ignition
engines.
49 CFR 590.4Definitions.
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.
49 CFR 590.5Requirements.
A diagnostic inspection demonstration project shall test vehicles in
accordance with either the no-load inspection criteria specified in
590.6, or the loaded-mode inspection criteria specified in 590.7.
49 CFR 590.6No-load inspection.
(a) Criteria. The vehicle must meet the following criteria when
tested by the no-load inspection method.
(1) The vehicle's idle speed, measured with the transmission in the
position recommended by the manufacturer for adjusting the idle speed,
shall not be more than 100 rpm higher than the idle speed recommended by
the manufacturer.
(2) Concentrations of emission samples taken from each exhaust outlet
shall not exceed the following levels:
(i) For model years 1967 and earlier: Hydrocarbons (HC) 1200 ppm as
hexane, and carbon monoxide (CO) 9.0 mole percent.
(ii) For model years 1968 through 1973: HC 600 ppm as hexane, and CO
7.0 mole percent.
(b) Method. No-load inspection is conducted by measuring two
emission samples from each exhaust outlet. The first emission sample is
collected with the vehicle's transmission in neutral and the engine
operating at 2250 rpm. The second sample is collected with the
vehicle's transmission in the position recommended by the manufacturer
for adjusting the idle speed, and the engine idling.
49 CFR 590.7Loaded-mode inspection.
(a) Criteria. When the loaded mode inspection is conducted,
concentrations of the emission samples taken from each exhaust outlet
for each of the three phases of the driving cycle in Table I, conducted
in the sequence indicated, shall not exceed the levels given in Table
II. For the purpose of determining the weight classification of a motor
vehicle for the loaded-mode inspection, 300 pounds are added to the
vehicle's unladen curb weight.
(b) Method. Loaded-mode inspection for the first two phases of the
driving cycle described in Table I is conducted by measuring the levels
of emission concentrations from each exhaust outlet of a motor vehicle
operated on a chassis dynamometer, with the vehicle's transmission in
the setting recommended by the vehicle manufacturer for the speed-load
combination being tested. For the idle phase, vehicles with automatic
transmissions are tested in drive, and vehicles with standard
transmissions are tested in neutral.
49 CFR 590.8Inspection conditions.
(a) The vehicle engine is at its normal operating temperature, as
specified by the vehicle manufacturer.
(b) An engine speed indicator with a graduated scale from zero to at
least 2500 rpm is used for the unloaded inspection procedure.
(c) The equipment used for analyzing the emission concentration
levels --
(1) Has a warm-up period not to exceed 30 minutes;
(2) Is able to withstand sustained periods of continuous use;
(3) Has a direct and continuous meter readout that allows readings
for concentration levels of carbon monoxide (CO) from 0-10 mole percent,
and of hydrocarbon (HC) from 0-2000 ppm of hexane; and if used for the
loaded-mode inspection, has at least one additional expanded direct and
continuous readout for concentration levels of carbon monoxide and of
hydrocarbon, such as from 0-5 mole percent and from 0-1000 ppm as hexane
respectively;
(4) Has an accuracy of better than 5 percent of the full scale
reading for each concentration range;
(5) Permits a reading for each emission concentration level, within
10 seconds after the emission sample has been taken, that is not less
than 90 percent of the final reading; and
(6) Has a calibration system using a standard gas, or an equivalent
mechanical or electrical calibration system which itself is based on a
standard gas.
49 CFR 590.8 PART 591 -- IMPORTATION OF VEHICLES AND EQUIPMENT SUBJECT
TO FEDERAL SAFETY, BUMPER AND THEFT PREVENTION STANDARDS
Sec.
591.1 Scope.
591.2 Purpose.
591.3 Applicability.
591.4 Definitions.
591.5 Declarations required for importation.
591.6 Documents accompanying declarations.
591.7 Restrictions on importations.
591.8 Conformance bond and conditions.
591.9 Petitions for remission or mitigation of forfeiture.
Appendix A -- Section 591.5(f) Bond
Appendix B -- Section 591.5(g) Bond
Authority: Pub. L. 100-562, 15 U.S.C. 1401, 1407; delegations of
authority at 49 CFR 1.50 and 501.8
Source: 54 FR 40078, Sept. 29, 1989, unless otherwise noted.
49 CFR 591.1Scope.
This part establishes procedures governing the importation of motor
vehicles and motor vehicle equipment subject to the Federal motor
vehicle safety, bumper, and theft prevention standards.
(55 FR 11378, Mar. 28, 1990)
49 CFR 591.2Purpose.
The purpose of this part is to ensure that motor vehicles and motor
vehicle equipment permanently imported into the United States conform
with theft prevention standards issued under part 541 of this chapter
and that they conform with, or are brought into conformity with, all
applicable Federal motor vehicle safety standards issued under part 571
of this chapter and bumper standards issued under part 581 of this
chapter. The purpose of this part is also to ensure that nonconforming
vehicles and equipment items imported on a temporary basis are
ultimately either exported or abandoned to the United States.
(55 FR 11378, Mar. 28, 1990)
49 CFR 591.3Applicability.
This part applies to any person offering a motor vehicle or item of
motor vehicle equipment for importation into the United States.
(55 FR 11378, Mar. 28, 1990)
49 CFR 591.4Definitions.
All terms used in this part that are defined in section 102 of the
National Traffic and Motor Vehicle Safety Act (15 U.S.C. 1391), and
section 2 and section 601 of the Motor Vehicle Information and Cost
Savings Act (15 U.S.C. 1901 and 2021), are used as defined in the Acts,
except that the term ''model year'' is used as defined in part 593 of
this chapter.
Administrator means the Administrator of NHTSA.
NHTSA means the National Highway Traffic Safety Administration of the
Department of Transportation.
Dutiable value means entered value, as determined by the Secretary of
the Treasury.
Original manufacturer means the entity responsible for the original
manufacture or assembly of a motor vehicle, and does not include any
person (other than such entity) who converts the motor vehicle after its
manufacture to conformance with the Federal motor vehicle safety
standards.
(54 FR 40078, Sept. 29, 1989, as amended at 55 FR 3747, Feb. 5, 1990;
55 FR 11378, Mar. 28, 1990)
49 CFR 591.5Declarations required for importation.
No person shall import a motor vehicle or item of motor vehicle
equipment into the United States unless, at the time it is offered for
importation, its importer files a declaration, in duplicate, which
declares one of the following:
(a)(1) The vehicle was not manufactured primarily for use on the
public roads and thus is not a motor vehicle subject to the Federal
motor vehicle safety, bumper, and theft prevention standards; or
(2) The equipment item is not a system, part, or component of a motor
vehicle and thus is not an item of motor vehicle equipment subject to
the Federal motor vehicle safety, bumper, and theft prevention
standards.
(b) The vehicle or equipment item conforms with all applicable safety
standards (or the vehicle does not conform solely because readily
attachable equipment items which will be attached to it before it is
offered for sale to the first purchases for purposes other than resale
are not attached), and bumper and theft prevention standards, and bears
a certification label or tag to that effect permanently affixed by the
original manufacturer to the vehicle, or by the manufacturer to the
equipment item or its delivery container, in accordance with, as
applicable, parts 541, 555, 567, 568, and 581, or 571 (for certain
equipment items) of this chapter.
(c) The vehicle or equipment item does not comply with all applicable
Federal motor vehicle safety, bumper, and theft prevention standards,
but is intended solely for export, and the vehicle or equipment item,
and the outside of the container of the equipment item, if any, bears a
label or tag to that effect.
(d) The vehicle does not conform with all applicable Federal motor
vehicle safety, bumper, and theft prevention standards, but the importer
is eligible to import it because:
(1) (S)he is a nonresident of the United States and the vehicle is
registered in a country other than the United States,
(2) (S)he is temporarily importing the vehicle for personal use for a
period not to exceed one year, and will not sell it during that time,
(3) (S)he will export it not later than the end of one year after
entry, and
(4) The declaration contains the importer's passport number and
country of issue.
(e) The vehicle or equipment item requires further manufacturing
operations to perform its intended function, other than the addition of
readily attachable equipment items such as mirrors, wipers, or tire and
rim assemblies, or minor finishing operations such as painting, and any
part of such vehicle that is required to be marked by part 541 of this
chapter is marked in accordance with that part.
(f) The vehicle does not conform with all applicable Federal motor
vehicle safety and bumper standards (but does conform with all
applicable Federal theft prevention standards), but the importer is
eligible to import it because:
(1) The importer has furnished a bond, which is attached to the
declaration, in an amount equal to 150% of the dutiable value of the
vehicle, containing the terms and conditions specified in section 591.8;
and
(2)(i) The importer has registered with NHTSA pursuant to part 592 of
this chapter, and such registration has not been revoked or suspended,
and the Administrator has determined pursuant to part 593 of this
chapter that the model and model year of the vehicle to be imported is
eligible for importation into the United States; or
(ii) The importer has executed a contract or other agreement with an
importer who has registered with NHTSA pursuant to part 592 of this
chapter and whose registration has not been suspended or revoked; and
the Administrator has determined pursuant to part 593 of this chapter
that the model and model year of the vehicle to be imported is eligible
for importation into the United States;
(g) The vehicle does not conform with all applicable Federal motor
vehicle safety and bumper standards (but it does conform with all
applicable Federal theft prevention standards), but the importer is
eligible to import it because:
(1) The importer's assigned place of employment has been outside the
United States at all times between October 31, 1988, and the date the
vehicle is entered into the United States;
(2) The importer has not previously imported a motor vehicle into the
United States that was subject to the Federal motor vehicle safety
standards;
(3) The importer had acquired (or entered into a binding contract to
acquire) the vehicle before October 31, 1988; and
(4) The vehicle will be entered into the United States not later than
October 31, 1992.
(5) The importer has furnished a bond, which is attached to the
declaration, in an amount equal to 150% of the entered value of the
vehicle as determined by the Secretary of the Treasury, containing the
terms and conditions specified in section 591.8;
(6) The vehicle was not manufactured in conformity with all
applicable safety and bumper standards, but it has been or will be
brought into conformity; furthermore, within 120 days after entry or
such additional time not to exceed 180 days after entry as the
Administrator may allow, the importer will submit a true and complete
statement to the Administrator, identifying the manufacturer,
contractor, or other person who has brought the vehicle into conformity,
describing the exact nature and extent of the work performed, and
certifying that the vehicle or equipment item has been brought into
conformity; and
(7) The importer will not sell the vehicle, or offer it for sale,
until the Administrator issues a statement that the conditions of the
bond required by 591.6(c) have been satisfied.
(h) The vehicle does not conform with all applicable Federal motor
vehicle safety, bumper, and theft prevention standards, but the importer
is eligible to import it because (s)he:
(1)(i) Is a member of the personnel of a foreign government on
assignment in the United States, or a member of the Secretariat of a
public international organization so designated under the International
Organization Immunities Act, and within the class of persons for whom
free entry of motor vehicles has been authorized by the Department of
State;
(ii) Is importing the motor vehicle on a temporary basis for the
personal use of the importer, and will register it through the Office of
Foreign Missions of the Department of State;
(iii) Will not sell the vehicle to any person in the United States,
other than a person eligible to import a vehicle under this paragraph;
and
(iv) Will obtain from the Office of Foreign Missions of the
Department of State, before departing the United States at the
conclusion of a tour of duty, an ownership title to the vehicle good for
export only; or
(2)(i) Is a member of the armed forces of a foreign country on
assignment in the United States;
(ii) Is importing the vehicle on a temporary basis, and for the
personal use of the importer;
(iii) Will not sell the vehicle to any person in the United States,
other than to a person eligible to import a vehicle under this
subsection; and
(iv) Will export the vehicle upon departing the United States at the
conclusion of a tour of duty.
(i)(1) The vehicle was manufactured before January 1, 1968, or, if a
motorcycle, before January 1, 1969; or
(2) The equipment item was manufactured on a date when no applicable
safety or theft prevention standard was in effect.
(j) The vehicle or equipment item does not conform with all
applicable Federal motor vehicle safety, bumper, and theft prevention
standards, but is being imported solely for the purpose of:
(1) research;
(2) investigations;
(3) studies;
(4) demonstrations or training; or
(5) competitive racing events, and will not be licensed for use on
the public roads.
(k) The equipment item is subject to the theft prevention standard,
and is marked in accordance with the requirements of part 541 of this
chapter.
(54 FR 40078, Sept. 29, 1989, as amended at 55 FR 3747, Feb. 5, 1990;
55 FR 11378, Mar. 28, 1990; 55 FR 17439, Apr. 25, 1990)
49 CFR 591.6 Documents accompanying declarations.
Declarations of eligibility for importation made pursuant to 591.5
must be accompanied by the following certification and documents, where
applicable.
(a) A declaration made pursuant to 591.5(a) shall be accompanied by
a statement substantiating that the vehicle was not manufactured for use
on the public roads, or that the equipment item was not manufactured for
use on a motor vehicle or is not an item of motor vehicle equipment.
(b) A declaration made pursuant to 591.5(e) shall be accompanied by:
(1) (For a motor vehicle) a document meeting the requirements of
568.4 of part 568 of this chapter.
(2) (For an item of motor vehicle equipment) a written statement
issued by the manufacturer of the equipment item which states the
applicable Federal motor vehicle safety standard(s) with which the
equipment item is not in compliance, and which describes the further
manufacturing required for the equipment item to perform its intended
function.
(c) A declaration made pursuant to 591.5(f) or section 591.5(g)
shall be accompanied by a bond in the form shown in Appendix A or
Appendix B of this part, respectively, in an amount equal to 150% of the
dutiable value of the vehicle for the conformance of the vehicle with
all applicable Federal motor vehicle safety and bumper standards, or, if
conformance with the safety standards is not achieved, for the delivery
of such vehicle to the Secretary of the Treasury for export at no cost
to the United States, or for its abandonment.
(d) A declaration made pursuant to 591.5(f) by an importer who is
not a Registered Importer shall be accompanied by a copy of the contract
or other agreement that the importer has with a Registered Importer to
bring the vehicle into conformance with all applicable Federal motor
vehicle safety standards.
(e) A declaration made pursuant to 591.5(g) shall be accompanied by
certification, including appropriate documentary proof that the vehicle
for which declaration is made had been acquired by the importer as of
October 31, 1988, or, if not so acquired, by a copy of a contract to
acquire the vehicle, dated before October 31, 1988, which was binding
upon the importer.
(f) A declaration made pursuant to 591.5(h) shall be accompanied by
a copy of the importer's official orders, or, if a qualifying member of
the personnel of a foreign government on assignment in the United
States, the name of the embassy to which the importer is accredited.
(g) A declaration made pursuant to 591.5(j) shall be accompanied by
a full and complete statement identifying the specific purpose(s) of
importation, describing the use to be made of the vehicle or equipment
item, and stating the estimated period of time necessary to use the
vehicle or equipment item on the public roads, if any, and the
disposition to be made of the vehicle or equipment item after completion
of the purpose for which it was imported. If the importer does not
intend to conform, export, or destroy the vehicle or equipment item not
later than 3 years after its entry, the importer shall request
permission in writing from the Administrator for the vehicle or
equipment item to remain in the United States for an additional period
of time, subject to the limitations of 591.7(c).
(54 FR 40078, Sept. 29, 1989, as amended at 55 FR 3747, Feb. 5, 1990;
55 FR 6994, Feb. 28, 1990; 55 FR 11379, Mar. 28, 1990)
49 CFR 591.7Restrictions on importations.
(a) A vehicle or equipment item which has entered the United States
under a declaration made pursuant to 591.5(j), and for which a
Temporary Importation Bond has been provided to the Secretary of the
Treasury, shall not remain in the United States for a period that
exceeds 3 years from its date of entry.
(b) A vehicle or equipment item which has entered the United States
under a declaration made pursuant to 591.5(j), and for which duty has
been paid, shall not remain in the United States for a period that
exceeds 5 years from its date of entry, unless written permission has
been obtained from the Administrator, NHTSA.
(54 FR 40078, Sept. 29, 1989, as amended at 55 FR 6994, Feb. 28,
1990)
49 CFR 591.8Conformance bond and conditions.
(a) The bond required under section 591.6(c) for importation of a
vehicle not originally manufactured to conform with all applicable
standards issued under part 571 and part 581 of this chapter shall cover
only one motor vehicle, and shall be in an amount equal to 150% of the
dutiable value of the vehicle.
(b) The principal on the bond shall be the importer of the vehicle.
(c) The surety on the bond shall possess a certificate of authority
to underwrite Federal bonds. (See list of certificated sureties at 54
FR 27800, June 30, 1989)
(d) In consideration of the release from the custody of the U.S.
Customs Service or the withdrawn from a Customs bonded warehouse into
the commerce of, or for consumption in, the United States, of a motor
vehicle not originally manufactured to conform to all applicable
standards issued under part 571 and part 581 of this chapter, the
obligors (principal and surety) shall agree to the following conditions
of the bond:
(1) To have such vehicle brought into conformity with all applicable
standards issued under part 571 and part 581 of this chapter within 120
days after the date of entry:
(2)(i) In the case of a vehicle imported pursuant to section
591.5(f), to file (or if not a Registered Importer, to cause the
Registered Importer of the vehicle to file) with the Administrator, a
certificate that the vehicle complies with each Federal motor vehicle
safety and bumper standard in the year that the vehicle was manufactured
and which applies in such year to the vehicle; or
(ii) In the case of a vehicle imported pursuant to section 591.5(g),
to submit a true and complete statement to the Administrator,
identifying the manufacturer, contractor, or other person who has
brought the vehicle into conformity, describing the exact nature and
extent of the work performed, and certifying that the vehicle has been
brought into conformity with each Federal motor vehicle safety and
bumper standard in the year that such vehicle was manufactured and which
applies in such year to the vehicle.
(3) In the case of a Registered Importer, not to release custody of
the vehicle to any person for license or registration for use on public
roads, streets, or highways, or license or register the vehicle from the
date of entry until 30 calendar days after it has certified compliance
of the vehicle to the Administrator, unless the Administrator has
notified the principal before 30 calendar days that (s)he has accepted
such certification, and that the vehicle and bond may be released,
except that the vehicle shall not be released if the principal has
received written notice from the Administrator that an inspection of the
vehicle will be required, or that there is reason to believe that such
certification is false or contains a misrepresentation;
(4) In the case of a Registered Importer, to cause the vehicle to be
available for inspection, if the principal has received written notice
from the Administrator that an inspection is required.
(5) In the case of a Registered Importer, not to release the vehicle
until the Administrator is satisfied with the certification and any
modification thereof, if the principal has received written notice from
the Administrator that there is reason to believe that the certification
is false or contains a misrepresentation.
(6) If the principal has received written notice from the
Administrator that the vehicle has been found not to comply with all
applicable Federal motor vehicle safety standards, and written demand
that the vehicle be abandoned to the United States, or delivered to the
Secretary of the Treasury for export (at no cost to the United States),
to abandon the vehicle to the United States, or to deliver the vehicle,
or cause the vehicle to be delivered to, the custody of the District
Director of Customs of the port of entry listed above, or to any other
port of entry, and to execute all documents necessary for exportation of
the vehicle from the United States, at no cost to the United States; or
in default of abandonment or redelivery after proper notice by the
Administrator to the principal, to pay to the Administrator the amount
of the bond.
(e) If the principal defaults on the obligation of paragraph (d)(6)
of this section, to abandon the vehicle to the United States or to
redeliver the vehicle to the custody of a District Director of Customs
and to execute all documents necessary for its exportation, the obligors
shall pay to the Administrator the amount of the bond given under the
provisions of this section.
(55 FR 11379, Mar. 28, 1990)
49 CFR 591.9Petitions for remission or mitigation of forfeiture.
(a) After a bond has been forfeited, a principal and/or a surety may
petition for remission of forfeiture. A principal and/or surety may
petition for mitigation of forfeiture only if the motor vehicle has been
imported pursuant to 591.5(g), or, if imported prusuant to 591.5(f),
only if the condition not met relates to the compliance of a passenger
motor vehicle with part 581 of this chapter.
(b) A petition for remission or mitigation shall:
(1) Be addressed to the Administrator, identified as either a
petition for remission or for mitigation, submitted in triplicate, and
signed by the principal and/or the surety.
(2) State the make, model, model year, and VIN of the vehicle
involved, and contain the Customs Entry number under which the vehicle
entered the United States.
(3) State the facts and circumstances relied on by the petitioner to
justify remission or mitigation.
(4) Be filed within 30 days from the date of the mailing of the
notice of forfeiture incurred.
(c) A false statement contained in a petition may subject the
petitioner to prosecution under the provisions of 18 U.S.C. 1001.
(d) If the Administrator finds that all conditions of the bond have,
in fact, been fulfilled, the forfeiture is remitted.
(e) A decision to mitigate a forfeiture upon condition that a stated
amount is paid shall be effective for not more than 60 days from the
date of notice to the petitioner of such decision. If payment of the
stated amount is not made, or arrangements made for delayed or
installment payment, the full claim of forfeiture shall be deemed
applicable. The Administrator shall collect the claim, or, if unable to
collect the claim within 120 days, shall refer the matter to the
Department of Justice.
(55 FR 11380, Mar. 28, 1990)
49 CFR 591.9 Appendix A -- Section 591.5(f) Bond
(To redeliver vehicle, to produce documents, to perform conditions of
release, such as to bring vehicle into conformance with all applicable
Federal motor vehicle safety and bumper standards)
Know All Men by These Presents That
--
name of principal or surety; if a corporation, the State of
incorporation of XXXXXXXXXX, as principal, street address or post office
box number; city; state; ZIP code
and XXXXXXX of XXXXX, name; State of incorporation, if any address
and XXXXXXXX of XXXXX, name; State of incorporation, if any address
as sureties, are held and firmly bound unto the UNITED STATES OF
AMERICA in the sum of XXXXXXXXXXXXX dollars ($XXXXX),
which represents 150% of the entered value of the following described
motor vehicle as determined by the U.S. Customs Service:
--
model year, make, series, engine and chassis numbers for the payment
of which we bind ourselves, our heirs, executors, administrators,
successors, and assigns (jointly and severally), firmly by these
presents.
WITNESS our hands and seals this XXXX day of XXXX, 199X.
WHEREAS, motor vehicles may be entered under the provisions of
section 108 of the National Traffic and Motor Vehicle Safety Act, and
section 106 of the Motor Vehicle Information and Cost Savings Act; and
--
DOT Form XXXX
WHEREAS, pursuant to 49 CFR part 591, a regulation promulgated under
the provisions of section 108, National Traffic and Motor Vehicle Safety
Act of 1966, the above-bounden principal desires to import permanently
the motor vehicle described above, which is a motor vehicle that was not
originally manufactured to conform with the Federal motor vehicle safety
and bumper standards; and
WHEREAS, pursuant to 49 CFR part 592, a regulation promulgated under
the provisions of section 108, National Traffic and Motor Vehicle Safety
Act of 1966, as amended, the above-bounden principal has been granted
the status of Registered Importer of motor vehicles not originally
manufactured to conform with the Federal motor vehicle safety standards
(or, if not a Registered Importer, has a contract with a Registered
Importer covering the motor vehicle described above); and
WHEREAS, pursuant to 49 CFR part 593, a regulation promulgated under
the provisions of section 108, National Traffic and Motor Vehicle Safety
Act of 1966, as amended, the Administrator of the National Highway
Traffic Safety Administration has determined that the motor vehicle
described above is eligible for importation into the United States; and
WHEREAS, the motor vehicle described above has been imported at the
port of XXXXXX, and entered at said port for consumption on entry No.
XXXX, dated XXXX, 199X,
NOW, THEREFORE, THE CONDITION OF THIS OBLIGATION IS SUCH THAT --
(1) The above-bounden principal (the ''principal''), in consideration
of the permanent admission into the United States of the motor vehicle
described above (the ''vehicle''), voluntarily undertakes and agrees to
have such vehicle brought into conformity with all applicable Federal
motor vehicle safety and bumper standards within a reasonable time after
such importation, as specified by the Administrator of the National
Highway Traffic Safety Administration (the ''Administrator'');
(2) The principal shall then file, or if not a Registered Importer,
shall then cause the Registered Importer of the vehicle to file, with
the Administrator, a certificate that the vehicle complies with each
Federal motor vehicle safety standard in the year that the vehicle was
manufactured and which applies in such year to the vehicle, and that the
vehicle complies with the Federal bumper standard (if applicable);
(3) The principal, if a Registered Importer, shall not release
costody of the vehicle to any person for license or registration for use
on public roads, streets, or highways, or license or register the
vehicle from the date of entry until 30 calendar days after it has
certified compliance of the vehicle to the Administrator, unless the
Administrator notifies the principal before 30 calendar days that (s)he
has accepted such certification and the vehicle and bond may be
released, except that no such release shall be permitted, before or
after the 30th calendar day, if the principal has received written
notice from the Administrator that an inspection of such vehicle will be
required, or that there is reason to believe that such certification is
false or contains a misrepresentation.
(4) And if the principal has received written notice from the
Administrator that an inspection is required, the principal shall cause
the vehicle to be available for inspection, and the vehicle and bond
shall be promptly released after completion of an inspection showing no
failure to comply. However, if the inspection shows a failure to
comply, the vehicle and bond shall not be released until such time as
the failure to comply ceases to exist;
(5) And if the principal has received written notice from the
Administrator that there is reason to believe that the certificate is
false or contains a misrepresentation, the vehicle or bond shall not be
released until the Administrator is satisfied with the certification and
any modification thereof;
(6) And if the principal has received written notice from the
Administrator that the vehicle has been found not to comply with all
applicable Federal motor vehicle safety and bumper standards, and
written demand that the vehicle be abandoned to the United States, or
delivered to the Secretary of the Treasury for export (at no cost to the
United States), the principal shall abandon the vehicle to the United
States, or shall deliver the vehicle, or cause the vehicle to be
delivered to, the custody of the District Director of Customs of the
port of entry listed above, or any other port of entry, and shall
execute all documents necessary for exportation of the vehicle from the
United States, at no cost to the United States; or in default of
abandonment or redelivery after proper notice by the Administrator to
the principal, the principal shall pay to the Administrator the amount
of this obligation;
Then this obligation shall be void; otherwise it shall remain in
full force and effect.
Signed, sealed, and delivered in the presence of --
Name Address
XXXXXXX(SEAL)
(Principal)
Name Address
Name Address
XXXXXXX(SEAL)
(Surety)
Name Address
I, XXXXXX certify that I am the XXXX of the corporation named as
principal in the within bond; that XXXXX, who signed the bond on behalf
of the principal, was then XXXXXXX of said corporation; that I know
his/her signature, and his/her signature thereto is genuine; and that
said bond was duly signed, sealed, and attested for and in behalf of
said corporation by authority of its governing body.
XXXXXXX(Corporate Seal)
To be used when a power of attorney has been filed with NHTSA. May
be executed by secretary, assistant secretary, or other officer.
(55 FR 11380, Mar. 28, 1990)
49 CFR 591.9 Appendix B -- Section 591.5(g) Bond
(To redeliver vehicle, to produce documents, to perform conditions of
release, such as to bring vehicle into conformance with all applicable
Federal motor vehicle safety and bumper standards)
Know All Men by These Presents That
name of principal or surety; if a corporation, the State of
incorporation
ofXXXXXXXXXX, as principal,
street address or post office box number; city; state; ZIP code
and XXXXXXXX of XXXXXXXX,
name; State of incorporation, if any, address
and XXXXXXXX of XXXXXXXX,
name; State of incorporation, if any, address
and XXXXXXXX of XXXXXXXX,
name; State of incorporation, if any address
as sureties, are held and firmly bound unto the UNITED STATES OF
AMERICA in the sum of XXXXXXXXXXXXX dollars ($XXXXX),
which represents 150% of the entered value of the following described
motor vehicle as determined by the U.S. Customs Service:
model year, make, series, engine and chassis numbers for the payment
of which we bind ourselves, our heirs, executors, administrators,
successors, and assigns (jointly and severally), firmly by these
presents
WITNESS our hands and seals this XXXX day of XXXX, 199X
WHEREAS, motor vehicles may be entered under the provisions of
section 108 of the National Traffic and Motor Vehicle Safety Act, and
section 106 of the Motor Vehicle Information and Cost Savings Act; and
DOT Form XXXX
WHEREAS, pursuant to 49 CFR part 591, a regulation promulgated under
the provisions of section 108, National Traffic and Motor Vehicle Safety
Act of 1966, the above-bounden principal desires to import permanently
the motor vehicle described above, which is a motor vehicle that was not
originally manufactured to conform with the Federal motor vehicle safety
and bumper standards; and
WHEREAS, pursuant to 591.5(g) of 49 CFR part 591, a regulation
promulgated under the provisions of section 108, the above-bounden
principal is eligible to import a motor vehicle under the provisions
thereof: to wit, the above bounden principal's assigned place of
employment was outside the United States as of October 31, 1988 and
(s)he has not had an assigned place of employment in the United States
between that date and the date of entry of the motor vehicle described
above, and (s)he has not previously imported a motor vehicle into the
United States manufactured on or after January 1, 1968, and (s)he had
acquired (or had entered into a binding contract to acquire) the motor
vehicle described above not later than October 31, 1988, and (s)he will
enter the motor vehicle described above not later than October 31, 1992;
and
WHEREAS, the motor vehicle described above has been imported at the
port of XXXXX, and entered at said port for consumption on entry No.
XXXXX, dated XXX, 199X,
NOW, THEREFORE, THE CONDITION OF THIS OBLIGATION IS SUCH THAT --
(1) The above-bounden principal (the ''principal''), in consideration
of the permanent admission into the United States of the motor vehicle
described above (the ''vehicle''), voluntarily undertakes and agrees to
have such vehicle brought into conformity with all applicable Federal
motor vehicle safety and bumper standards within 120 days after such
importation, or such longer time not to exceed 180 days after such
importation, as specified by the Administrator of the National Highway
Traffic Safety Administration (the ''Administrator'');
(2) When the vehicle has been brought into conformity, the principal
shall then file with the Administrator, a true and complete statement
that the vehicle complies with each Federal motor vehicle safety
standard in the year that the vehicle was manufactured and which applies
in such year to the vehicle, and that the vehicle also complies with the
Federal bumper standard;
(3) The principal shall not offer the vehicle for sale, or sell the
vehicle, until the principal has received written notice from the
Administrator that the principal has fulfilled all the conditions of the
bond.
(4) And if the principal has received written notice from the
Administrator that an inspection is required, the principal shall cause
the vehicle to be available for inspection, and the vehicle and bond
shall be promptly released after completion of an inspection showing no
failure to comply. However, if the inspection shows a failure to
comply, the vehicle and bond shall not be released until such time as
the failure to comply ceases to exist;
(5) And if the principal has received written notice from the
Administrator that there is a reason to believe that the statement is
false or contains a misrepresentation, the vehicle or bond shall not be
released until the Administrator is satisfied with the statement and any
modification thereof;
(6) And if the principal has received written notice from the
Administrator that the vehicle has been found not to comply with all
applicable Federal motor vehicle safety and bumper standards, and
written demand that the vehicle be abandoned to the United States, or
delivered to the Secretary of the Treasury for export (at no cost to the
United States), the principal shall abandon the vehicle to the United
States, or shall deliver the vehicle, or cause the vehicle to be
delivered to, the custody of the District Director of Customs of the
port of entry listed above, or any other port of entry, and shall
execute all documents necessary for exportation of the vehicle from the
United States, at no cost to the United States; or in default of
abandonment or redelivery after proper notice by the Administrator to
the principal, the principal shall pay to the Administrator the amount
of this obligation;
Then this obligation shall be void; otherwise it shall remain in
full force and effect.
Signed, sealed, and delivered in the presence of --
Name Address
XXXXX(SEAL)
(Principal)
Name Address
Name Address
XXXXX(SEAL)
(Surety)
Name Address
I, XXXXXX certify that I am the XXXXX of the corporation named as
principal in the within bond; that XXXXX, who signed the bond on behalf
of the principal, was then XXXXXX of said corporation; that I know
his/her signature, and his/her signature thereto is genuine; and that
said bond was duly signed, sealed, and attested for and in behalf of
said corporation by authority of its governing body.
XXXXXX (Corporate Seal)
To be used when a power of attorney has been filed with NHTSA. May
be executed by secretary, assistant secretary, or other officer.
(55 FR 11381, Mar. 28, 1990)
49 CFR 591.9 PART 592 -- REGISTERED IMPORTERS OF VEHICLES NOT
ORIGINALLY MANUFACTURED TO CONFORM TO THE FEDERAL MOTOR VEHICLE SAFETY
STANDARDS
Sec.
592.1 Scope.
592.2 Purpose.
592.3 Applicability.
592.4 Definitions.
592.5 Requirements for registration and its maintenance.
592.6 Duties of a registered importer.
592.7 Revocation, suspension and reinstatement of registration.
592.8 Inspection; release of vehicle and bond.
Authority: Pub. L. 100-562, 15 U.S.C. 1401, 1407; delegation of
authority at 49 CFR 1.50.
Source: 54 FR 40090, Sept. 29, 1989, unless otherwise noted.
49 CFR 592.1Scope.
This part establishes procedures under section 108(c)(3)(D) of the
National Traffic and Motor Vehicle Safety Act, as amended (15 U.S.C.
1397(c)(3)(D)), for the registration of importers of motor vehicles that
were not originally manufactured to comply with all applicable Federal
motor vehicle safety standards. This part also establishes the duties
of Registered Importers.
49 CFR 592.2Purpose.
The purpose of this part is to provide content and format
requirements for persons who wish to register with the Administrator as
importers of motor vehicles not originally manufactured to conform to
all applicable Federal motor vehicle safety standards, to provide
procedures for the registration of importers and for the suspension,
revocation and reinstatement of registration, and to set forth the
duties required of Registered Importers.
49 CFR 592.3Applicability.
This part applies to any person who wishes to register with the
Administrator as an importer of nonconforming vehicles, and to any
person who is registered as an importer.
49 CFR 592.4Definitions.
All terms in this part that are defined in section 102 of the
National Traffic and Motor Vehicle Safety Act (15 U.S.C. 1391) are used
as defined therein.
Administrator means the Administrator, National Highway Traffic
Safety Administration.
NHTSA means the National Highway Traffic Safety Administration.
Registered Importer means any person that the Administrator has
registered as an importer pursuant to section 592.5(b).
49 CFR 592.5Requirements for registration and its maintenance.
(a) Any person wishing to register as an importer of motor vehicles
not originally manufactured to conform to all applicable Federal motor
vehicle safety standards must file an application which:
(1) Is headed with the words ''Application for Registration as
Importer'', and submitted in three copies to: Administrator, National
Highway Traffic Safety Administration, Room 6115, 400 7th Street SW.,
Washington, DC 20590, Attn: NEF-32 Importer Registration.
(2) Is written in the English language.
(3) Sets forth the full name, address, and title of the person
preparing the application, and the name, address, and telephone number
of the person for whom application is made.
(4) Sets forth, as applicable, the names of all owners, including
shareholders, partners, or sole proprietors, of the person for whom
application is made.
(5) If any of the owners listed in paragraph (a)(4) of this section
are corporations, sets forth the names of all shareholders of such
corporation whose ownership interest is 10 percent or greater.
(6) Contains a statement that the applicant has never had a
registration revoked pursuant to 592.7, nor is it or was it, directly
or indirectly, owned or controlled by, or under common ownership or
control with, a person who has had a registration revoked pursuant to
592.7.
(7) Contains a certified check payable to the Treasurer of the United
States, for the amount of the initial annual fee established pursuant to
part 594 of this chapter.
(8) Contains a copy of a contract to acquire, effective upon its
registration as an importer, a prepaid mandatory service insurance
policy underwritten by an independent insurance company, or a copy of
such policy, in an amount that equals $2,000 for each motor vehicle for
which the applicant will furnish a certificate of conformity to the
Administrator, for the purpose of ensuring that the applicant will be
able financially to remedy any noncompliance or safety related defect
determined to exist in any such motor vehicle in accordance with part
573 and part 577 of this chapter. If the application is accompanied by
a copy of a contract to acquire such a policy, the applicant shall
provide NHTSA with a copy of the policy within 10 days after it has been
issued to the applicant.
(9) Sets forth in full data, views, and arguments of the applicant
sufficient to establish that the applicant will be able, through a
records system of acquiring and maintaining names and addresses of
owners of vehicles for which it furnishes a certificate of conformity,
and Vehicle Identification Numbers (VINs) of such vehicles, to notify
such owners that a noncompliance or safety related defect exists in such
vehicles, and that it will be financially able to remedy a noncompliance
or safety related defect through repurchase or replacement of such
vehicles, or technically able through repair of such vehicles, in
accordance with part 573 and part 577 of this chapter.
(10) Segregates and specifies any part of the information and data
submitted under this part that the applicant wishes to have withheld
from public disclosure in accordance with part 512 of this chapter.
(11) Contains a statement that the applicant will fully comply with
all duties of a registered importer as set forth in 592.6.
(12) Has the applicant's signature acknowledged by a notary public.
(b) If the information submitted is incomplete, the Administrator
notifies the applicant of the areas of insufficiency, and that the
application is in abeyance.
(c) If the Administrator deems it necessary for a determination upon
the application, NHTSA conducts an inspection of the applicant.
Subsequent to the inspection, NHTSA calculates the costs attributable to
such inspection, and notifies the applicant in writing that such costs
comprise a component of the initial annual fee and must be paid before a
determination is made upon its application.
(d) When the application is complete (and, if applicable, when a sum
representing the inspection component of the initial annual fee is
paid), it is reviewed and a determination made whether the applicant
should be granted the status of Registered Importer. Such determination
may be based, in part, upon an inspection by NHTSA of the conformance,
storage, and recordkeeping facilities of the applicant. If the
Administrator determines that the application is acceptable, (s)he
informs the applicant in writing that its application is approved, and
issues it a Registered Importer Number. If the information is not
acceptable, the Administration informs the applicant in writing that its
application is not approved. No refund is made of those components of
the initial annual fee representing the costs of processing the
application, and conducting an inspection. Refund is made of that
component of the initial annual fee representing the remaining costs of
administration of the registration program.
(e) In order to maintain its registration, a Registered Importer
shall provide an annual statement that affirms that all information
provided under paragraphs (a)(4), (a)(5), (a)(6), (a)(9), and (a)(11) of
this section remains correct, and that includes a current copy of its
insurance policy procured pursuant to paragraph (a)(8) of this section.
Such statement shall be titled ''Yearly Statement of Registered
Importer'', and shall be filed not later than October 31 of each year.
A Registered Importer shall also pay such annual fee or fees as the
Administrator may from time to time establish under part 594 of this
chapter. An annual fee shall be paid not later than October 31 of any
calendar year, and shall be the annual fee for the fiscal year that
began on October 1 of that calendar year. Any other fee shall be
payable not later than 30 calendar days after the date that the
Administrator has notified the Registered Importer of it in writing.
(f) A Registered Importer shall notify the Administrator in writing
of any change that occurs in the information which is submitted in its
application, not later than the end of the 30th calender day after such
change.
(g) A registration granted under this part is not transferable.
(54 FR 40090, Sept. 29, 1989, as amended at 54 FR 47088, Nov. 9,
1989; 55 FR 37330, Sept. 11, 1990)
49 CFR 592.6Duties of a registered importer.
Each Registered Importer shall:
(a) With respect to each motor vehicle that it imports into the
United States, furnish to the Secretary of the Treasury (acting on
behalf of the Administrator) a bond in an amount equal to 150 per cent
of the entered value of the vehicle, as determined by the Secretary of
the Treasury, to ensure that such vehicle either will be brought into
conformity with all applicable Federal motor vehicle safety standards
prescribed under part 571 of this chapter within 120 calendar days after
such importation, or will be exported (at no cost to the United States)
by the importer or the Secretary of the Treasury, or abandoned to the
United States.
(b) Establish, maintain, and retain for 8 years from the date of
entry of any nonconforming vehicle for which it furnishes a certificate
of conformity pursuant to paragraph (e) of this section, organized
records, correspondence and other documents relating to the importation,
modification, and substantiation of certification of conformity to the
Administrator, including but not limited to:
(1) The declaration required by 591.5 of this chapter, and 19 CFR
12.80.
(2) All vehicle or equipment purchase or sales orders or agreements,
conformance agreements with importers other than Registered Importers,
and correspondence between the Registered Importer and the owner or
purchaser of each vehicle for which it has furnished a certificate of
conformity.
(3) The last known name and address of the owner or purchaser of each
motor vehicle for which it has furnished a certificate of conformity,
and the VIN number of such vehicle.
(4) Records, both photographic and documentary, reflecting the
modifications made and submitted to the Administrator pursuant to
paragraph (e) of this section.
(c) Records, both photographic and documentary, sufficient to
substantiate each subsequent certificate furnished to the Administrator
for a vehicle of the same model and model year for which documentation
has been furnished NHTSA in support of the initial certificate.
(d) Permanently affix to each motor vehicle, upon completion of
modifications, a label that meets the requirements of 567.4 of this
chapter, which identifies the Registered Importer, and provide to the
Administrator a photocopy of the label attesting that such vehicle has
been brought into conformity with all applicable Federal motor vehicle
safety and bumper standards.
(e) Certify to the Administrator, upon completion of modifications,
that the vehicle has been brought into conformity with all applicable
Federal motor vehicle safety and bumper standards, and that it is the
person legally responsible for bringing the vehicle into conformity.
(f) In substantiation of the initial certification provided for a
specific model and model year, submit to the Administrator photographic
and documentary evidence of conformance with each applicable Federal
motor vehicle safety and bumper standard, and with respect to subsequent
certifications of such model and model year, such information, if any,
as the Administrator may request.
(g) With respect to any motor vehicle for which it has furnished a
certificate of conformity to the Administrator, provide notification and
remedy according to part 573 and part 577 of this chapter, under any
determination.
(1) That a vehicle to which it is substantially similar, as
determined under part 593 of this chapter, incorporates a safety related
defect or fails to conform with an applicable Federal motor vehicle
safety standard. However, this obligation does not exist if the
manufacturer of the vehicle or Registered Importer demonstrates to the
Administrator that the defect or noncompliance is not present in such
vehicle.
(2) That the vehicle incorporates a safety related defect or fails to
conform with an applicable Federal motor vehicle safety standard,
without reference to whether such may exist in a vehicle to which it is
substantially similar, or whether such exists because it was created by
the original manufacturer or by the Registered Importer.
(i) The requirement of 15 U.S.C. 1414(a)(2)(B) that remedy shall be
provided without charge shall not apply if the noncompliance or safety
related defect exists in a motor vehicle whose first sale after
importation occurred more than 8 calendar years before notification
respecting the failure to comply is furnished pursuant to Part 577 of
this chapter, except that if a safety related defect exists and is
attributable to the original manufacturer and not the Registered
Importer, the requirements of 15 U.S.C. 1414(a)(2)(B) shall not apply to
a motor vehicle whose date of first purchase, if known, or, if not
known, whose date of manufacture, as determined by the Administrator, is
more than 8 years from the date on which notification is furnished
pursuant to part 577 of this chapter.
(ii) Notification furnished pursuant to this paragraph and part 577
of this chapter shall include the statement that in the absence of the
Registered Importer's facility being within 50 miles of the owner's
mailing address for performance of repairs, such repairs may be
performed at a specific facility designated by the Registered Importer
within 50 miles, or, if no such facility is designated, anywhere, and
shall also include an explanation how repair is to be accomplished
without charge to the vehicle owner.
(h) In order to allow the Administrator to determine whether a
Registered Importer is meeting its statutory responsibilities, admit
representatives of NHTSA during operating hours, upon demand, and upon
presentation of credentials, to copy documents, or to inspect, monitor,
or photograph any of the following:
(1) Any facility where any vehicle, for which a Registered Importer
has the responsibility of providing a certificate of conformity to
applicable safety standards, is being modified, tested, or stored;
(2) Any facility where any record or other document relating to
modification, testing, or storage of vehicles being conformed, is filed;
(3) Any part or aspect of activities relating to the modification,
testing, and/or storage of vehicles by the Registered Importer.
(4) Any motor vehicle for which it has provided a certification of
conformity to the Administrator, and which remains in its custody or
under its control.
(i) Maintain in effect a prepaid mandatory service insurance policy
underwritten by an independent insurance company as a guarantor of its
performance under paragraph (f) of this section.
(j) With respect to any motor vehicle it has imported and for which
it has furnished a performance bond, to deliver such vehicle to the
Secretary of the Treasury for export, or to abandon it to the United
States, upon demand by the Administrator if such vehicle has not been
brought into conformity with all applicable Federal motor vehicle safety
standards.
(54 FR 40090, Sept. 29, 1989, as amended at 54 FR 47088, Nov. 9,
1989)
49 CFR 592.7 Revocation, suspension and reinstatement of registration.
(a) If the Administrator has not received any fee assessed and owing
by the end of the 30th calendar day after such fee is due and payable, a
registration is automatically suspended at the beginning of the 31st
calendar day, and the Registered Importer is immediately notified in
writing of the suspension at the address contained in its most recent
annual statement or amendment thereof.
(b) If the Administrator has reason to believe that a Registered
Importer has knowingly filed a false or misleading certification, and
that its registration should be automatically suspended or revoked,
(s)he notifies the Registered Importer in writing of the facts giving
rise to such reason to believe, affording an opportunity to present
data, views, and arguments, either in writing or in person, within 30
calendar days after receipt of the Administrator's letter, as to whether
it has submitted false or misleading certification, and as to why the
registration ought not to be revoked or suspended. The Administrator
then makes a decision after the 30-day period on the basis of all
information then available. If, after consideration of all the data
available, the Administrator determines that the Registered Importer has
knowingly filed a false or misleading certification, the registration is
automatically suspended or revoked, and the Registered Importer notified
in writing. Any suspension or revocation is effective as of the date of
the Administrator's determination. The Administrator shall state the
period of any suspension in the notice to the Registered Importer.
(c) The Administrator may suspend a registration if a Registered
Importer fails to comply with any requirement set forth in 15 U.S.C.
1397(c)(3)(D), 592.5(c), or 592.6, or if s(he) denies an application
filed under 592.5(d). The Administrator may revoke a registration after
any failure to comply with any such requirement, or if (s)he denies an
application filed under 592.5(d). If the Administrator has reason to
believe that there has been such a failure to comply and that the
Registered Importer's registration should be revoked or suspended, (s)he
notifies the Registered Importer in writing, affording an opportunity to
present data, views, and arguments, either in writing or in person,
within 30 calendar days after receipt of the Administrator's letter, as
to whether there has been a failure to comply and as to why the
registration ought not to be revoked or suspended. The Administrator
then makes a decision after the 30-day period on the basis of all
information then available. If the Administrator determines that a
registration should be revoked or suspended, (s)he notifies the
Registered Importer in writing. A revocation is effective immediately.
A suspension is effective beginning with a date specified in the written
notification.
(d) A Registered Importer whose registration has been revoked or
suspended may request reconsideration of the revocation or suspension if
the request is supported by factual matter which was not available to
the Administrator at the time the registration was suspended or revoked.
(e) If its registration has been revoked, a Registered Importer is
ineligible to apply for reregistration under this part. No refund is
provided of any annual or other fees the Registered Importer has paid
for the fiscal year in which its registration is revoked. If its
registration has been suspended, it may file an application for
reinstatement of its registration.
(f) The Administrator shall reinstate a suspended registration if the
cause that led to the suspension no longer exists, as determined by the
Administrator, either upon the Administrator's motion, or upon the
submission of further information or fees by the Registered Importer.
49 CFR 592.8 Inspection; release of vehicle and bond.
(a) With respect to any motor vehicle for which it is obligated to
provide a certificate of conformity to the Administrator as required by
592.6(d), a Registered Importer shall not obtain licensing or
registration of the motor vehicle for use on the public roads, or
release custody of it for such licensing and registration, except in
accordance with the provisions of this section.
(b) When conformance modifications to a motor vehicle have been
completed, a Registered Importer shall submit the certification required
by 592.6(d) to the Administrator. In certifying a vehicle that the
Administrator has determined to be substantially similar to one that has
been certified by its original manufacturer for sale in the United
States, the Registered Importer may rely on any certification by the
original manufacturer with respect to identical safety features if it
also certifies that any modification that it undertook did not affect
the compliance of such safety features. Each submission shall be mailed
by certified mail, return receipt requested, or by private carriers such
as Federal Express, to: Administrator, National Highway Traffic Safety
Administration, Room 6115, 400 7th Street SW., Washington, DC, 20590,
Attn: NEF-32, or be submitted electronically by FAX (202-366-1024), or
in person. Each submission shall identify the location where the
vehicle will be stored and is available for inspection, pending NHTSA
action upon the submission.
(c) Before the end of the 30th calendar day after receipt of
certification of a motor vehicle pursuant to 592.6(d), the
Administrator may inform the Registered Importer in writing that an
inspection of the vehicle is required to ascertain the veracity of the
certification. Written notice includes a proposed inspection date,
which is as soon as practicable. If inspection of the vehicle indicates
that the vehicle has been properly certified, at the conclusion of the
inspection the Registered Importer is provided an instrument of release.
If inspection of the vehicle shows that the vehicle has not been
properly certified, the Registered Importer shall either make the
modifications necessary to substantiate its certification, and provide a
new certification for the standard(s) in the manner provided for in
paragraph (b) of this section, or deliver the vehicle to the Secretary
of the Treasury for export, or abandon it to the United States. Before
the end of the 30th calendar day after receipt of new certification, the
Administrator may require a further inspection in accordance with the
provisions of this subsection.
(d) The Administrator may by written notice request certification
verification by the Registered Importer before the end of the 30th
calendar day after the date the certification was received by the
Administrator. If the basis for such request is that the certification
is false or contains a misrepresentation, the Registered Importer shall
be afforded an opportunity to present written data, views, and arguments
as to why the certification is not false or misleading or does not
contain a misrepresentation. The Administrator may require an
inspection pursuant to paragraph (c) of this section. The motor vehicle
and performance bond involved shall not be released unless the
Administrator is satisfied with the certification.
(e) If a Registered Importer has received no written notice from the
Administrator by the end of the 30th calendar day after it has furnished
a certification to the Administrator, the Registered Importer may
release from custody the vehicle that is covered by the certification,
or have it licensed or registered for use on the public roads.
(f) If the Administrator accepts a certification without requiring an
inspection, (s)he notifies the Registered Importer in writing, and
provides a copy to the importer of record. Such notification shall be
provided not later than the 25th calendar day after the Administrator
has received such certification.
(g) Release of the performance bond shall constitute acceptance of
certification or completion of inspection of the vehicle concerned, but
shall not preclude a subsequent determination by the Administrator
pursuant to section 152 of the Act (15 U.S.C. 1451) that the vehicle
fails to conform to any applicable Federal motor vehicle safety
standard.
(54 FR 40090, Sept. 29, 1989, as amended at 54 FR 47088, Nov. 9,
1989; 55 FR 37330, Sept. 11, 1990)
49 CFR 592.8 PART 593 -- DETERMINATIONS THAT A VEHICLE NOT ORIGINALLY
MANUFACTURED TO CONFORM TO THE FEDERAL MOTOR VEHICLE SAFETY STANDARDS IS
ELIGIBLE FOR IMPORTATION
Sec.
593.1 Scope.
593.2 Purpose.
593.3 Applicability.
593.4 Definitions.
593.5 Petitions for eligibility determinations.
593.6 Basis for petition.
593.7 Processing of petitions.
593.8 Determinations on the agency's initiative.
593.9 Effect of affirmative determinations; lists.
593.10 Availability for public inspection.
Authority: Pub. L. 100-562, 15 U.S.C. 1401, 1407; delegation of
authority at 49 CFR 1.50.
Source: 54 FR 40099, Sept. 29, 1989, unless otherwise noted.
49 CFR 593.1 Scope.
This part establishes procedures under section 108(c) of the National
Traffic and Motor Vehicle Safety Act, as amended (15 U.S.C. 1397(c)),
for making determinations whether a vehicle that was not originally
manufactured to conform with all applicable Federal motor vehicle safety
standards, and is not otherwise eligible for importation under part 591
of this chapter, may be imported into the United States because it can
be modified to meet the Federal standards.
49 CFR 593.2 Purpose.
The purpose of this part is to provide content and format
requirements for any Registered Importer and manufacturer who wishes to
petition the Administrator for a determination that a vehicle not
originally manufactured to conform to all applicable Federal motor
vehicle safety standards is eligible to be imported into the United
States because it can be modified to meet the standards. The purpose of
this part is also to specify procedures under which the Administrator
makes eligibility determinations pursuant to those petitions as well as
eligibility determinations on the agency's initiative.
49 CFR 593.3 Applicability.
This part applies to a motor vehicle that was not originally
manufactured and certified by its original manufacturer to conform with
all applicable Federal motor vehicle safety standards and that is
offered for importation into the United States.
49 CFR 593.4 Definitions.
All terms in this part that are defined in section 102 of the
National Traffic and Motor Vehicle Safety Act (15 U.S.C. 1391) are used
as defined therein.
Administrator means the Administrator of the National Highway Traffic
Safety Administration.
Model year means the year used by a manufacturer to designate a
discrete vehicle model irrespective of the calendar year in which the
vehicle was actually produced, or the model year as designated by the
vehicle's country of origin, or, if neither the manufacturer nor the
country of origin has made such a designation, the calendar year that
begins on September 1 and ends on August 31 of the next calendar year.
NHTSA means the National Highway Traffic Safety Administration.
Registered Importer means any person who has been granted registered
importer status by the Administrator pursuant to paragraph 592.5(b) of
this chapter, and whose registration has not been revoked.
49 CFR 593.5 Petitions for eligibility determinations.
(a) A manufacturer or Registered Importer may petition the
Administrator for a determination that a vehicle that does not comply
with all applicable Federal motor vehicle safety standards is eligible
for importation, either
(1) On the basis that the vehicle:
(i) Is substantially similar to a vehicle which was originally
manufactured for importation into and sale in the United States and
which bore a certification affixed by its manufacturer pursuant to part
567 of this chapter, and
(ii) Is capable of being readily modified to conform to all
applicable Federal motor vehicle safety standards; or
(2) On the basis that the vehicle has safety features that comply
with or are capable of being modified to comply with all applicable
Federal motor vehicle safety standards.
(b) Each petition filed under this part must --
(1) Be written in the English language;
(2) Be headed with the words ''Petition for Import Eligibility
Determination'' and submitted in three copies to: Administrator,
National Highway Traffic Safety Administration, Room 6115, 400 7th
Street SW., Washington, DC 20590, Attn: NEF-32 Import Eligibility
Determinations;
(3) State the full name and address of the petitioner.
(4) If the petitioner is a Registered Importer, include the
Registered Importer Number assigned by NHTSA pursuant to part 592 of
this chapter.
(5) Set forth the basis for the petition and the information required
by 593.6 (a) or (b), as appropriate;
(6) Specify any part of the information and data submitted which
petitioner requests be withheld from public disclosure in accordance
with part 512 of this chapter; and
(7) Submit a certified check payable to the Treasurer of the United
States, for the amount of the vehicle eligibility petition fee
established pursuant to part 594 of this chapter.
(c) The knowing and willful submission of false, fictitious or
fraudulent information may subject the petitioner to the criminal
penalties of 18 U.S.C. 1001.
(54 FR 40099, Sept. 29, 1989, as amended at 55 FR 37330, Sept. 11,
1990)
49 CFR 593.6 Basis for petition.
(a) If the basis for the petition is that the vehicle is
substantially similar to a vehicle which was originally manufactured for
importation into and sale in the United States, and which was certified
by its manufacturer pursuant to part 567 of this chapter, and that it is
capable of being readily modified to conform to all applicable Federal
motor vehicle safety standards, the petitioner shall provide the
following information:
(1) Identification of the original manufacturer, model, and model
year of the vehicle for which a determination is sought.
(2) Identification of the original manufacturer, model, and model
year of the vehicle which the petitioner believes to be substantially
similar to that for which a determination is sought.
(3) Substantiation that the manufacturer of the vehicle identified by
the petitioner under paragraph (a)(2) of this section originally
manufactured it for importation into and sale in the United States, and
affixed a label to it certifying that it complied with all applicable
Federal motor vehicle safety standards.
(4) Data, views and arguments demonstrating that the vehicle
identified by the petitioner under paragraph (a)(1) of this section is
substantially similar to the vehicle identified by the petitioner under
paragraph (a)(2) of this section.
(5) With respect to each Federal motor vehicle safety standard that
applied to the vehicle identified by the petitioner under paragraph
(a)(2) of this section, data, views, and arguments demonstrating that
the vehicle identified by the petitioner under paragraph (a)(1) of this
section either was originally manufactured to conform to such standard,
or is capable of being readily modified to conform to such standard.
(b) If the basis of the petition is that the vehicle's safety
features comply with or are capable of being modified to comply with all
applicable Federal motor vehicle safety standards, the petitioner shall
provide the following information:
(1) Identification of the model and model year of the vehicle for
which a determination is sought.
(2) With respect to each Federal motor vehicle safety standard that
would have applied to such vehicle had it been originally manufactured
for importation into and sale in the United States, data, views, and
arguments demonstrating that the vehicle has safety features that comply
with or are capable of being modified to conform with such standard.
The latter demonstration shall include a showing that after such
modifications, the features will conform with such standard.
49 CFR 593.7Processing of petitions.
(a) NHTSA will review each petition for sufficiency under 593.5 and
593.6. If the petition does not contain all the information required by
this part, NHTSA notifies the petitioner, pointing out the areas of
insufficiency, and stating that the petition will not receive further
consideration until the required information is provided. If the
additional information is not provided within the time specified by
NHTSA in its notification, NHTSA may dismiss the petition as incomplete,
and so notify the petitioner. When the petition is complete, its
processing continues.
(b) NHTSA publishes in the Federal Register, affording opportunity
for comment, a notice of each petition containing the information
required by this part.
(c) No public hearing, argument, or other formal proceeding is held
on a petition filed under this part.
(d) If the Administrator is unable to determine that the vehicle in a
petition submitted under 593.6(a) is one that is substantially similar,
or (if it is substantially similar) is capable of being readily modified
to meet the standards, (s)he notifies the petitioner, and offers the
petitioner the opportunity to supplement the petition by providing the
information required for a petition submitted under paragraph 593.6(b).
(e) If the Administrator determines that the petition does not
clearly demonstrate that the vehicle model is eligible for importation,
(s)he denies it and notifies the petitioner in writing. (S)he also
publishes in the Federal Register a notice of denial and the reasons for
it. A notice of denial also states that the Administrator will not
consider a new petition covering the model that is the subject of the
denial until at least 3 months from the date of the notice of denial.
There is no administrative reconsideration available for petition
denials.
(f) If the Administrator determines that the petition clearly
demonstrates that the vehicle model is eligible for importation, (s)he
grants it and notifies the petitioner. (S)he also publishes in the
Federal Register a notice of grant and the reasons for it.
(54 FR 40099, Sept. 29, 1989, as amended at 55 FR 37330, Sept. 11,
1990)
49 CFR 593.8Determinations on the agency's initiative.
(a) The Administrator may make a determination of eligibility on his
or her own initiative. The agency publishes in the Federal Register,
affording opportunity for comment, a notice containing the information
available to the agency (other than confidential information) relevant
to the basis upon which eligibility may be determined.
(b) No public hearing, argument, or other formal proceeding is held
upon a notice published under this section.
(c) The Administrator publishes a second notice in the Federal
Register in which (s)he announces his or her determination whether the
vehicle is eligible or ineligible for importation, and states the
reasons for the determination. A notice of ineligibility also announces
that no further determination for the same model of motor vehicle will
be made for at least 3 months following the date of publication of the
notice. There is no administrative reconsideration available for a
decision of ineligibility.
49 CFR 593.9Effect of affirmative determinations; lists.
(a) A notice of grant is sufficient authority for the importation by
persons other than the petitioner of any vehicle of the same model
specified in the grant.
(b) The Administrator publishes annually in the Federal Register a
list of determinations made under Sec. 593.7, and Sec. 593.8.
49 CFR 593.10Availability for public inspection.
(a) Except as specified in paragraph (b) of this section, information
relevant to a determination under this part, including a petition and
supporting data, and the grant or denial of the petition or the making
of a determination on the Administrator's initiative, is available for
public inspection in the Docket Section, Room 5109, National Highway
Traffic Safety Administration, 400 Seventh St., SW., Washington, DC
20590. Copies of available information may be obtained, as provided in
part 7 of this chapter.
(b) Except for release of confidential information authorized under
part 512 of this chapter, information made available for inspection
under paragraph (a) of this section does not include information for
which confidentiality has been requested and granted in accordance with
part 512 of this chapter, and 5 U.S.C. 552(b). To the extent that a
petition contains material relating to the methodology by which the
petitioner intends to achieve conformance with a specific standard, the
petitioner may request confidential treatment of such material on the
grounds that it contains a trade secret or confidential information in
accordance with part 512 of this chapter.
49 CFR 593.10 PART 594 -- SCHEDULE OF FEES AUTHORIZED BY THE NATIONAL
TRAFFIC AND MOTOR VEHICLE SAFETY ACT
Sec.
594.1 Scope.
594.2 Purpose.
594.3 Applicability.
594.4 Definitions.
594.5 Establishment and payment of fees.
594.6 Annual fee for administration of the registration program.
594.7 Fee for filing petition for a determination whether a vehicle
is eligible for importation.
594.8 Fee for importing a vehicle pursuant to a determination made on
the Administrator's initiative.
594.9 Fee for reimbursement of bond processing costs.
Authority: Pub. L. 100-562, 15 U.S.C. 1401, 1407; delegation of
authority at 49 CFR 1.50.
Source: 54 FR 40107, Sept. 29, 1989, unless otherwise noted.
49 CFR 594.1 Scope.
This part establishes the fees authorized by the National Traffic and
Motor Vehicle Safety Act.
49 CFR 594.2 Purpose.
The purposes of this part is to ensure that NHTSA is reimbursed for
costs incurred in administering the importer registration program, in
making determinations whether a nonconforming vehicle is eligible for
importation into the United States, and in processing the bond furnished
to the Secretary of the Treasury given to ensure that an imported
vehicle not originally manufactured to conform to all applicable Federal
motor vehicle safety standards is brought into compliance with the
safety standards, or will be exported, or abandoned to the United
States.
49 CFR 594.3Applicability.
This part applies to any person who applies to NHTSA to be granted
the status of Registered Importer under part 592 of this chapter, to any
person who has been granted such status, to any manufacturer not a
Registered Importer who petitions the Administrator for a determination
pursuant to part 593 of this chapter, and to any person who imports a
motor vehicle into the United States pursuant to such determination.
(55 FR 40667, Oct. 4, 1990)
49 CFR 594.4 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.
Administrator means the Administrator of the National Highway Traffic
Safety Administration.
NHTSA means the National Highway Traffic Safety Administration.
Registered Importer means any person who has been granted the status
of registered importer under Part 592 of this Chapter, and whose
registration has not been revoked.
49 CFR 594.5Establishment and payment of fees.
(a) The fees established by this part continue in effect until
adjusted by the Administrator. The Administrator reviews the amount or
rate of fees established under this part and, if appropriate, adjusts
them by rule at least every 2 years.
(b) The fees applicable in any fiscal year are established before the
beginning of such year. Each fee is calculated in accordance with this
part, and is published in the Federal Register not later than September
30 of each year.
(c) An applicant for status as Registered Importer shall submit an
initial annual fee with the application. A Registered Importer shall
pay an annual fee not later than October 31 of each year. The fee is
that specified in 594.6(i).
(d) A person who petitions the Administrator for a determination that
a vehicle is eligible for importation shall file with the petition the
fee specified in 594.7(e).
(e) A person who imports a vehicle covered by a determination of the
Administrator shall pay the fee specified in either 594.8 (b) or (c),
as appropriate. Such fee shall be transmitted to the Administrator by
the Registered Importer responsible for such vehicle at the time it
furnishes a certificate of conformity pursuant to 591.7(e) of this
chapter.
(f) A fee for reimbursement for bond processing costs shall be filed
with each certificate of conformity furnished the Administrator.
(g) No application or petition will be accepted for filing or
processed before payment of the full amount specified. Except as
provided in 594.6(d), a fee shall be paid irrespective of NHTSA's
disposition of the application, or of a withdrawal of an application.
(h) Fee payments shall be by check, draft, money order, or Electronic
Funds Transfer System made payable to the Treasurer of the United
States.
(54 FR 40107, Sept. 29, 1989, as amended at 55 FR 40667, Oct. 4,
1990)
49 CFR 594.6Annual fee for administration of the registration program.
(a) Each person filing an application to be granted the status of a
Registered Importer pursuant to part 592 of this chapter on and after
October 1, 1991, shall pay an initial annual fee of $255, as calculated
below, based upon the direct and indirect costs attributable to:
(1) Processing and acting upon such application;
(2) Any inspection deemed required for a determination upon such
application;
(3) The estimated remaining activities of administering the
registration program in the fiscal year in which such application is
intended to become effective.
(b) That portion of the initial annual fee attributable to the
processing of the application for applications filed on and after
October 1, 1991, is $86. The sum of $86, representing this portion,
shall not be refundable if the application is denied or withdrawn.
(c) If, in order to make a determination upon an application, NHTSA
must make an inspection of the applicant's facilities, NHTSA notifies
the applicant in writing after the conclusion of any such inspection,
that a supplement to the initial annual fee in a stated amount is due
upon receipt of such notice to recover the direct and indirect costs
associated with such inspection and notification, and that no
determination will be made upon the application until such sum is
received. Such sum is not refundable if the application is denied or
withdrawn.
(d) That portion of the initial annual fee attributable to the
remaining activities of administering the registration program on and
after October 1, 1991, is set forth in subsection (i) of this section.
This portion shall be refundable if the application is denied, or
withdrawn before final action upon it.
(e) Each Registered Importer who wishes to maintain the status of
Registered Importer shall pay a regular annual fee based upon the direct
and indirect costs of administering the registration program, including
the suspension and reinstatement, and revocation of such registration.
(f) The elements of administering the registration program that are
included in the regular annual fee are:
(1) Calculating, revising, and publishing the fees to apply in the
next fiscal year, including such coordination as may be required with
the U.S. Customs Service.
(2) Processing and reviewing the annual statement attesting to the
fact that no material change has occurred in the Registered Importer's
status since filing its original application.
(3) Processing the annual fee.
(4) Processing and reviewing any amendments to an annual statement
received in the course of a fiscal year.
(5) Verifying through inspection or otherwise that a Registered
Importer is complying with the requirements of Sec. 592.6(b)(3) of this
chapter for recordkeeping.
(6) Verifying through inspection or otherwise that a Registered
Importer is able technically and financially to carry out its
responsibilities pursuant to 15 U.S.C. 1411 et seq.
(7) Invoking procedures for suspension of registration and its
reinstatement, and for revocation of registration pursuant to Sec.
592.7 of this chapter.
(g) The direct costs included in establishing the annual fee for
maintaining registered importer status are the estimated costs of
professional and clerical staff time, computer and computer operator
time, and postage, per Registered Importer. The direct costs included
in establishing the annual fee for a specific Registered Importer are
costs of transportation and per diem attributable to inspections
conducted with respect to that Registered Importer in administering the
registration program, which have not been included in a previous annual
fee.
(h) The indirect costs included in establishing the annual fee for
maintaining Registered Importer status are a pro rata allocation of the
average salary and benefits of persons employed in processing annual
statements, or changes thereto, in recommending continuation of
Registered Importer status, and a pro rata allocation of the costs
attributable to maintaining the office space, and the computer or word
processor. This cost is $6.71 per man-hour for the period beginning
October 1, 1991.
(i) Based upon the elements, and indirect costs of paragraphs (f),
(g), and (h) of this section, the component of the initial annual fee
attributable to administration of the registration program, covering the
period beginning October 1, 1991, is $166.92. When added to the
component representing the costs of registration of $85.99, as set forth
in paragraph (b) of this section, the costs per applicant to be
recovered through the annual fee is $252.91. The annual registration fee
for the period October 1, 1990, through September 30, 1991, is $255.
(54 FR 40107, Sept. 29, 1989; 55 FR 78, Jan. 2, 1990, as amended at
55 FR 40667, Oct. 4, 1990; 56 FR 49429, Sept. 30, 1991)
49 CFR 594.7Fee for filing petition for a determination whether a
vehicle is eligible for importation.
(a) Each manufacturer or registered importer who petitions NHTSA for
a determination that --
(1) A nonconforming vehicle is substantially similar to a vehicle
originally manufactured for importation into and sale in the United
States and of the same model year as the model for which petition is
made, and is capable of being readily modified to conform to all
applicable Federal motor vehicle safety standards, or
(2) A nonconforming vehicle has safety features that comply with or
are capable of being modified to comply with all applicable Federal
motor vehicle safety standards,
shall pay a fee based upon the direct and indirect costs of
processing and acting upon such petition.
(b) The direct costs attributable to processing a petition filed
pursuant to paragraph (a) of this section include the average cost per
professional staff-hour, computer and computer operator time, and
postage. The direct costs also include those attributable to any
inspection of a vehicle requested by a petitioner in substantiation of
its petition.
(c) The indirect costs attributable to processing and acting upon a
petition filed pursuant to paragraph (a) of this section include a pro
rata allocation of the average salary and benefits of persons employed
in processing the petitions and recommending decisions on them, and a
pro rata allocation of the costs attributable to maintaining the office
space, and the computer or word processor.
(d) The direct costs attributable to acting upon a petition filed
pursuant to paragraph (a) of this section, also include the cost of
publishing a notice in the Federal Register seeking public comment, the
cost of publishing a second notice with the agency's determination, and
a pro rata share of the cost of publishing an annual list of
nonconforming vehicles determined to be eligible for importation.
(e) For petitions filed on and after October 1, 1991, the fee payable
for a petition seeking a determination under paragraph (a)(1) above is
$100. The fee payable for a petition seeking a determination under
paragraph (a)(2) above is $500. If the petitioner requests an
inspection of a vehicle, the sum of $550 shall be added to such fee. No
portion of this fee is refundable if the petition is withdrawn or
denied.
(f) In adopting a fee for the next fiscal year, the Administrator
employs data based upon the cost of determinations and the amount of
fees received for the 12-month period ending June 30 of the fiscal year
preceding that fiscal year.
(54 FR 40107, Sept. 29, 1989, as amended at 55 FR 40667, Oct. 4,
1990; 56 FR 49429, Sept. 30, 1991)
49 CFR 594.8Fee for importing a vehicle pursuant to a determination by
the Administrator.
(a) A fee as specified in paragraphs (b) and (c) of this section
shall be paid by each importer of a vehicle covered by a determination
made under part 593 of this chapter to cover the direct and indirect
costs incurred by NHTSA in making such determinations.
(b) If a determination has been made pursuant to a petition, the fee
for each vehicle is $83. The direct and indirect costs that determine
the fee are those set forth in 594.7(b), (c), and (d).
(c) If a determination has been made pursuant to the Administrator's
initiative the fee is $156. The direct and indirect costs that
determine the fee are those set forth in 594.7(b), (c), and (d), and
references to ''petition'' shall be understood as relating to NHTSA's
documents that serve as a basis for initiating determinations on its own
initiative.
(55 FR 40667, Oct. 4, 1990)
49 CFR 594.9Fee for reimbursement of bond processing costs.
(a) Each registered importer shall pay a fee based upon the direct
and indirect costs of processing each bond furnished to the Secretary of
the Treasury with respect to each vehicle for which it furnishes a
certificate of conformity to the Administrator pursuant to 591.7(e) of
this chapter.
(b) The direct and indirect costs attributable to processing a bond
are provided to NHTSA by the U.S. Customs Service.
(c) The bond processing fee for each vehicle imported on and after
October 1, 1991, for which a certificate of conformity is furnished, is
$4.75.
(54 FR 40107, Sept. 29, 1989, as amended at 55 FR 40667, Oct. 4,
1990; 56 FR 49429, Sept. 30, 1991)
49 CFR 594.9 49 CFR Ch. VI (10-1-91 Edition)
49 CFR 594.9 Urban Mass Transportation Admin., DOT
49 CFR 594.9 CHAPTER VI -- URBAN MASS TRANSPORTATION
49 CFR 594.9 ADMINISTRATION, DEPARTMENT OF
49 CFR 594.9 TRANSPORTATION
Part
Page
601 Organization, functions, and procedures
603 Claims under the Federal Claims Collection Act
604 Charter service
605 School bus operations
609 Transportation for elderly and handicapped persons
613 Planning assistance and standards
622 Environmental impact and related procedures
623 Air quality conformity and priority procedures for use in
Federal-aid highway and federally funded transit programs
630 Uniform system of accounts and records and reporting system
633 Project management oversight
635 Section 5 -- Formula grant urban mass transit program --
requirements
653 Control of drug use in mass transportation operations (Suspended)
660 Buy America requirements
661 Buy America requirements -- Surface Transportation Assistance Act
of 1982, as amended
663 Pre-award and post-delivery audits of rolling stock purchases
665 Bus testing
670 Transfer of commuter services
49 CFR 594.9
49 CFR 594.9 49 CFR Ch. VI (10-1-91 Edition)
49 CFR 594.9 Urban Mass Transportation Admin., DOT
49 CFR 594.9 PART 601 -- ORGANIZATION, FUNCTIONS, AND PROCEDURES
49 CFR 594.9 Subpart A -- General
Sec.
601.1 Purpose.
601.2 Organization of the Administration.
601.3 General responsibilities.
601.4 Responsibilities of the Administrator.
49 CFR 594.9 Subpart B -- Delegations
601.10 Delegations of authority.
49 CFR 594.9 Subpart C -- Public Availability of Information
601.20 Sources of information.
Authority: Sec. 9, Department of Transportation Act (49 U.S.C.
1657, 1659); Reorganization Plan No. 2 of 1968 (82 Stat. 1369); and
49 CFR 1.5.
49 CFR 594.9 Subpart A -- General
Source: 41 FR 56808, Dec. 30, 1976, unless otherwise noted.
49 CFR 601.1Purpose.
This part describes the organization or the Urban Mass Transportation
Administration (''UMTA'') an operating administration within the
Department of Transportation. This part also describes the general
responsibilities and authority of the officials directing the various
offices of which UMTA is composed. In addition, this part describes the
sources and locations of available UMTA program information.
49 CFR 601.2Organization of the Administration.
(a) The headquarters organization of UMTA is composed of 10 principal
offices which function under the overall direction of the Urban Mass
Transportation Administrator (''the Administrator'') and Deputy
Administrator. These offices are:
(1) Office of the Administrator.
(2) Office of the Associate Administrator for Administration.
(3) Office of Chief Counsel.
(4) Office of Civil Rights.
(5) Office of Public Affairs.
(6) Office of the Associate Administrator for Transit Assistance.
(7) Office of the Associate Administrator for Policy and Program
Development.
(8) Office of the Associate Administrator for Transportation
Planning.
(9) Office of the Associate Administrator for Transportation
Management and Demonstrations.
(10) Office of the Associate Administrator for Technology Development
and Deployment.
The Administrator receives staff support from the Executive
Secretariat which corrdinates internal document dissemination and
project assignments and ensures policy compliance.
(b) The Office of the Administrator and the Offices of Chief Counsel,
Public Affairs, the Associate Administrator for Administration, the
Associate Administrator for Transit Assistance, the Associate
Administrator for Policy and Program Development, and the Associate
Administrator for Transportation Planning are located in the Department
of Transportation Building, 400 7th Street, SW., Washington, DC 20590.
The Offices of Civil Rights, the Associate Administrator for Technology
Development and Deployment, and the Associate Administrator for
Transportation Management and Demonstrations are located in the
Transpoint Building, 2100 2nd Street, SW., Washington, DC 20590.
49 CFR 601.3General responsibilities.
The general responsibilities of each of the offices which comprise
the headquarters organization of UMTA are:
(a) Office of the Associate Administrator for Administration.
Directed by an Associate Administrator for Administration, this office
provides general administrative support services for UMTA, including
financial management, personnel administration, audit, procurement,
logistical and management information systems.
(b) Office of Chief Counsel. Directed by a Chief Counsel, this
office provides legal advice and services to the Administrator and other
UMTA officials; coordinates with and provides support to the General
Counsel of DOT on matters involving urban mass transportation; and,
provides liaison between UMTA and the Department of Labor regarding the
administration of section 13(c) of Urban Mass Transportation Act of
1964, as amended (''the Act'').
(c) Office of Public Affairs. Directed by a Director of Public
Affairs, this office advises and assists the Administrator in the area
of public relations and in the dissemination to the public and the news
media of information about UMTA programs, projects and activities.
(d) Office of the Associate Administrator for Policy and Program
Development. Directed by an Associate Administrator for Policy and
Development, this office advises and assists the Administrator in the
development and evaluation of policies and plans for implementing the
functions and programs authorized by the Act; coordinates UMTA
activities with those of other agencies; and manages and administers
the University Research Program under section 11 of the Act (49 U.S.C.
1607(c)). This office has three organizational components: The Office
of Policy Development; the Office of Program Evaluation; and the
Office of Policy Research.
(e) Office of the Associate Administrator for Transit Assistance.
Directed by an Associate Administrator for Transit Assistance, this
office reviews and processes all applications for urban mass
transportation capital and operating assistance grants and loans under
sections 3, 4, 5, 16 and 17 of the Act (49 U.S.C. 1602, 1603, 1604, 1612
and 1613); reviews and processes applications for Federal assistance to
the Washington Metropolitan Area Transit Authority (WMATA) under the
Transportation Act of 1972 and the National Capital Area Transit Act of
1972; directs the evaluation and analysis of proposed annual programs
and individual programs and individual projects; and approves and
recommends for approval annual programs and individual projects. This
office has three operating components which direct and coordinate
post-approval grant activities: the Office of Grant Assistance, the
Office of Program Support, and the Office of Program Analysis.
(f) Office of the Associate Administrator for Transportation
Planning. Directed by an Associate Administrator for Transportation
Planning, this office assists the Administrator in directing,
coordinating and controlling UMTA's transportation planning assistance
and reviews planning activities both in relation to UMTA-supported State
and local actions and planning policy interaction within the Department
of Transportation and with other Federal agencies; and administers
grants to States and local public bodies under section 9 of the Act (49
U.S.C. 1607a). This office has two organizational components: the
Office of Planning Assistance and the Office of Planning methodology and
Technical Support.
(g) Office of the Associate Administrator for Transportation
Management and Demonstrations. Directed by an Associate Administrator
for Transportation Management and Demonstrations, this office assists
the Administrator in directing, conducting and controlling research and
demonstration activities, including information dissemination, to foster
the development of methods for improving transit management and
operations from the perspectives of the operator and the user;
administers grant and procurement contracts to demonstrate facilities,
methods and techniques under section 6(a) of the Act (49 U.S.C. 1605),
and managerial training fellowship grants under section 10 of the Act
(49 U.S.C. 1607b). This office has two organizational components: the
Office of Transit Management and the Office of Service and Methods
Demonstrations.
(h) Office of the Associate Administrator for Technology Development
and Deployment. Directed by an Associate Administrator for Technology
Development and Deployment, this office is responsible for developing
and administering a program of research, development, testing,
evaluation, operational demonstration, product qualification,
standardization, analysis, and information exchange concerning new
products intended for use in transportation systems assisted by UMTA.
The office is also responsible for UMTA's safety and system assurance
function and for advising the Administrator on matters relating to
technology. This office administers research, development and
demonstration projects under section 6(a) of the Act (49 U.S.C. 1605).
(i) Office of Civil Rights. Directed by a Director of Civil Rights,
this office advises and assists the Administrator and other UMTA
officials in implementing compliance with applicable laws and directives
pertaining to civil rights and equal employment opportunity, both within
UMTA and in the conduct of urban mass transportation projects and
programs.
49 CFR 601.4Responsibilities of the Administrator.
The Administrator is responsible for the planning, direction and
control of the activities of UMTA, and has authority to approve urban
mass transportation grants, loans, and contracts. At the direction of
the Administrator, the Deputy Administrator is authorized to act for and
on behalf of the Administrator. In the event of the absence or
disability of the Administrator, the following officials shall, in the
order named, assume and perform the duties of the Administrator:
(a) Deputy Administrator.
(a-1) Executive Director.
(b) Associate Administrator for Policy, Budget and Program
Development.
(c) Associate Administrator for Planning, Management and
Demonstrations.
(d) Chief Counsel.
(e) Associate Administrator for Transit Assistance.
(f) Associate Administrator for Technology Development and
Deployment.
(g) (Reserved)
(h) Associate Administrator for Administration.
(Sec. 12, Urban Mass Transportation Act of 1964, 49 U.S.C. 1608 and
49 CFR 1.51)
(42 FR 59755, Nov. 21, 1977, as amended at 44 FR 32705, June 7, 1979;
45 FR 58540, Sept. 4, 1980)
49 CFR 601.4 Subpart B -- Delegations
49 CFR 601.10Delegations of authority.
(a) Pursuant to authority delegated to the Administrator by 49 CFR
1.45(b) and 1.51 of the regulations of the Office of the Secretary of
Transportation, the following powers and duties of the Administrator are
redelegated to the officials indicated --
(1) The Associate Administrator for Transit Assistance is delegated
authority to execute grant contracts, loan agreements, and amendments
thereto with respect to approved capital and operating grants, loans and
advanced land acquisition loan projects under sections 3, 4, 5, 16 and
17 of the Act (49 U.S.C. 1602, 1603, 1604, 1612 and 1613); under
limited circumstances review and approve applications for grants and
grant amendments under the UMT Act and section 110 of the Federal-Aid
Highway Act of 1976 and 121(a) of the Federal-Aid Highway Act of 1973,
as amended (23 U.S.C. 103 (e) (4) and 142). The Associate Administrator
is further authorized, in connection with the administration of those
projects, to approve requisitions for funds, third-party contracts, and
project budget amendments within previously authorized limits.
(2) The Associate Administrator for Policy and Program Development is
delegated authority to execute and amend grant contracts and amendments
for university research and training projects under section 11 of the
Act (49 U.S.C. 1607c). The Associate Administrator is further authorized
in connection with the administration of those projects to approve
requisitions for funds, third-party contracts and project budget
amendments within previously authorized limits.
(3) The Associate Administrator for Technology Development and
Deployment is delegated authority to execute and amend grant contracts
and procurement requests for approved projects under section 6(a) of the
Act (49 U.S.C. 1605); The Associate Administrator is further
authorized, in connection with the administration of grant contracts,
procurement contracts, interagency reimbursable agreements and purchase
orders, to approve requisitions for funds, third-party contracts, and
project budget amendments within previously authorized limits.
(4) The Associate Administrator for Transportation Planning is
delegated authority to execute and amend grant contracts and interagency
agreements for planning, engineering, architectural feasibility and
operational improvement study projects under section 9 of the Act (48
U.S.C. 1607a); review and approve grant applications and grant
amendments requested pursuant to section 9 of the Act by urbanized areas
of less than 500,000 population. The Associate Administrator is further
authorized in connection with the administration of such contracts to
approve requisitions for funds, third-party contracts and project budget
amendments within previously authorized limits.
(5) The Associate Administrator for Transportation Management and
Demonstrations is delegated authority to execute and amend grant
contracts for projects designed to demonstrate facilities, methods and
techniques of transit management and operations under section 6(a) of
the Act (49 U.S.C. 1605) and for approved managerial training fellowship
projects under section 10 of the Act (49 U.S.C. 1607b). The Associate
Administrator is further authorized, in connection with the
administration of such projects to approve requisitions for project
funds, third-party contracts and project budget amendments within
previously authorized limits.
(b) All authority delegated to an official listed in paragraph (a) of
this section may be redelegated by that official to one or more
employees under his jurisdiction.
(41 FR 56809, Dec. 30, 1976)
49 CFR 601.10 Subpart C -- Public Availability of Information
49 CFR 601.20Sources of information.
(a) The Urban Mass Transportation Administration has published a
series of internal and external directives which contain the history,
organization, policy, procedures, criteria, guidelines, interpretations
and general regulations formulated and adopted by UMTA as guidance for
grant recipients, and the general public. All directives are listed in
UMTA Notice N 0000.17 ''Directives Checklist.''
(b) Single copies of the checklist or any directive may be obtained
without charge upon written request either to the Director, Office of
Public Affairs, Urban Mass Transportation Administration, Room 9314, 400
Seventh Street, SW., Washington, DC 20590, or any Urban Mass
Transportation Administration regional office listed in 601.2.
(c) The Urban Mass Transportation Administration maintains, under the
supervision of the Director of Public Affairs, a document inspection
facility in Room 9314 at the headquarters of the Department of
Transportation Building (Nassif Building), 400 Seventh Street, SW.,
Washington, DC 20590, through which the following UMTA documents may be
obtained:
(1) An index to, and copies of, the internal and external directives
of the Urban Mass Transportation Administration.
(2) Any proposed or final regulation issued by the Urban Mass
Transportation Administration, and any background information for these
regulations.
(d) Any person desiring to inspect any of these records, or obtain a
copy thereof, must submit a request in writing, specifying the record to
be inspected or copied to the Director, Office of Public Affairs, Urban
Mass Transportation Administration, Room 9314, 400 Seventh Street, SW.,
Washington DC, 20590, accompanied by the appropriate fee for copies
prescribed in 49 CFR Part 7, Subpart I.
(5 U.S.C. 552; 49 U.S.C. 1657; 49 CFR 7.1(d))
(47 FR 55684, Dec. 13, 1982)
49 CFR 601.20 PART 603 -- CLAIMS UNDER THE FEDERAL CLAIMS COLLECTION
ACT
Sec.
603.1 Purpose.
603.2 Delegation of authority to attempt collection.
603.3 Reservations of authority.
603.4 Determination of amount of obligation.
603.5 Claim determination procedures.
603.6 Standards for exercise of delegated claims collection
authority.
603.7 Releases.
Authority: Federal Claims Collection Act of 1966, 80 Stat. 308 (31
U.S.C. 951-953).
Source: 35 FR 17186, Nov. 7, 1970, unless otherwise noted.
49 CFR 603.1Purpose.
This part prescribes the procedures of the Urban Mass Transportation
Administration with respect to the collection of claims of the United
States arising out of the activities of the Urban Mass Transportation
Administration; the compromise of those claims that do not exceed
$20,000; and the suspension or termination of collection action.
49 CFR 603.2Delegation of authority to attempt collection.
(a) The authority of the Administrator, Urban Mass Transportation
Administration, to attempt collection of claims of the United States
arising out of the activities of the Urban Mass Transportation
Administration is delegated to the Assistant Administrator for
Administration. The authority delegated in this paragraph does not
apply to any claim described in 89.3 of this title.
(b) The Chief Counsel shall provide such legal advice and support as
the Assistant Administrator for Administration requires in carrying out
his duties under this section, and shall provide liaison with the
General Accounting Office and the Department of Justice as necessary.
49 CFR 603.3Reservations of authority.
(a) The delegation of authority in 603.2 does not include the
authority to compromise, or suspend or terminate action to collect a
claim in favor of the United States, or refer it to the General
Accounting Office or to the Department of Justice for litigation.
(b) The authority to compromise a claim, not exceeding $20,000, in
favor of the United States arising out of the activities of the Urban
Mass Transportation Administration is reserved to the Administrator and
shall be exercised in accordance with 4 CFR Part 103.
(c) The authority to suspend or terminate collection action on a
claim in favor of the United States arising out of the activities of the
Urban Mass Transportation Administration is reserved to the
Administrator and shall be exercised in accordance with 4 CFR Part 104.
(d) The authority to refer a claim in favor of the United States
arising out of the activities of the Urban Mass Transportation
Administration to the General Accounting Office or to the Department of
Justice for litigation is reserved to the Administrator and shall be
exercised in accordance with 4 CFR Part 105.
49 CFR 603.4Determination of amount of obligation.
If the Administrator believes that any individual, partnership,
association, corporation or local public body is indebted or liable to
the Federal Government upon a civil claim arising out of any program or
project undertaken by the Urban Mass Transportation Administration, he
shall investigate the matter and make a preliminary determination as to
whether or not the debt or liability exists and the amount thereof.
49 CFR 603.5Claim determination procedures.
(a) As soon as reasonably practicable after the Administrator has
made the preliminary determinations provided for in 603.4, he shall
notify the debtor in writing of the character and cause of the debt or
liability and the amount thereof. The Administrator shall allow the
debtor at least 30 but not more than 60 days to show cause, by
affidavits and other documentary evidence and written argument, as to
why the debt or liability is incorrect in fact or in law as to existence
or amount. In the notice the Administrator shall also offer the debtor
an opportunity, upon the debtor's admission of all or any part of the
debt or liability, to propose within the same time period any remedial
action on its part which it believes will remove or eliminate the basis
for, or diminish the amount of, the debt or liability.
(b) Upon timely receipt of a response from the debtor denying the
debt or liability in whole or in part and submitting written evidence
and argument in support of the denial, or upon expiration of the time
limit fixed in the notice, whichever occurs first, the Administrator
shall review all of the evidence available to him, including any
submitted by the debtor. The Administrator shall make or cause to be
made any further investigation of the facts that he considers necessary.
Based on the available evidence, the Administrator shall make a final
determination as to the existence and amount of debtor's indebtedness or
liability to the Government. However, if debtor's response to the
notice is timely and admits the indebtedness in whole or in part but
proposes to take remedial action to remove or eliminate the basis for or
diminish the amount thereof, and if the Administrator finds that the
proposed remedial action is feasible, is in the best interests of the
Government, and will further the objectives and purposes of the Urban
Mass Transportation Act of 1964, as amended, he may delay making all or
any portion of his final determination for a reasonable period of time
(but not more than 6 months after the date of receipt of debtor's
response) to permit debtor to take the remedial action and to present
affidavits and other documentary evidence pertaining thereto.
(c) If he considers it necessary, the Administrator may provide for
the holding of a hearing in connection with the preliminary or final
determination of the existence or amount of a debtor's indebtedness or
liability to the Government. Before a hearing is held under this
subsection proper notice shall be given to all parties in interest. The
hearing shall be conducted in accordance with section 556 of title 5,
U.S.C., and reviewed by the Administrator in accordance with section 557
of title 5, U.S.C.
49 CFR 603.6Standards for exercise of delegated claims collection
authority.
After the Administrator has determined the amount of a claim in favor
of the United States arising out of the activities of the Urban Mass
Transportation Administration, the Assistant Administrator for
Administration shall take aggressive action, on a timely basis with
effective follow-up, to collect that claim in accordance with the
standards set forth in 4 CFR Part 102. The Assistant Administrator for
Program Operations and the Assistant Administrator for Program
Demonstrations shall provide such information and assistance as may be
necessary to enable the Assistant Administrator for Administration to
carry out his duties under this part.
49 CFR 603.7Releases.
The Assistant Administrator for Administration may execute and
deliver a full release of a claim in favor of the United States in
exchange for payment of the amount due the United States on that claim.
49 CFR 603.7 PART 604 -- CHARTER SERVICE
49 CFR 603.7 Subpart A -- General
Sec.
604.1 Purpose.
604.3 Applicability.
604.5 Definitions.
604.7 Charter agreement.
604.9 Charter service.
604.11 Procedures for determining if there are any willing and able
private charter operators.
604.13 Reviewing evidence submitted by private charter operators.
49 CFR 603.7 Subpart B -- Complaint Process
604.15 Filing a complaint.
604.17 Remedies.
604.19 Appeals.
604.21 Judicial review.
Appendix A to Part 604
Appendix B to Part 604
Authority: Urban Mass Transportation Act of 1964, as amended (49
U.S.C. 1601 et seq.); 23 U.S.C. 103(e)(4), 142(a), and 142(c); and 49
CFR 1.51.
Source: 52 FR 11933, Apr. 13, 1987, unless otherwise noted.
49 CFR 603.7 Subpart A -- General
49 CFR 604.1Purpose.
The purpose of this part is to implement section 3(f) and section
12(c)(6) of the UMT Act.
49 CFR 604.3Applicability.
This Part applies to all applicants and recipients of Federal
financial assistance under:
(a) Sections 3 (excluding section 16(b)(2)), 5, 9A, 9 or 18 of the
UMT Act; or
(b) Sections 103(e)(4), 142(a), or 142(c) of Title 23 United States
Code which permit the use of Federal-Aid Highway funds to purchase
buses.
49 CFR 604.5Definitions.
(a) All definitions in the UMT Act (at 49 U.S.C. 1608) are applicable
to this Part, except as may otherwise be provided in this section.
(b) The Acts means the UMT Act and those parts of Title 23 United
States Code, 23 U.S.C. 103(e)(4), 142(a) and 142(c), that provide for
assistance to public bodies for purchasing buses.
(c) Administrator means the Administrator of UMTA or his or her
designee.
(d) Categories of Revenue Vehicle means bus or van.
(e) Charter Service means transportation using buses or vans, or
facilities funded under the Acts of a group of persons who pursuant to a
common purpose, under a single contract, at a fixed charge (in
accordance with the carrier's tariff) for the vehicle or service, have
acquired the exclusive use of the vehicle or service to travel together
under an itinerary either specified in advance or modified after having
left the place of origin. This definition includes the incidental use
of UMTA funded equipment for the exclusive transportation of school
students, personnel, and equipment.
(f) Chief Counsel means the Chief Counsel of UMTA.
(g) Days means calendar days in Subpart A and Federal working days in
Subpart B.
(h) Designated Official means the applicant's and recipient's
employee authorized to file applications on behalf of the applicant or
to enter into agreements on behalf of the recipient.
(i) Incidental Charter Service means charter service which does not:
(1) interfere with or detract from the provision of the mass
transportation service for which the equipment or facilities were funded
under the Acts; or (2) does not shorten the mass transportation life of
the equipment or facilities.
(j) Interested Party means an individual, partnership, corporation,
association, or public or private organization that has a financial
interest which is adversely affected by the act or acts of a recipient
regarding charter service.
(k) Non-urbanized area means an area with a population of less than
50,000 people.
(l) Recipient means one that has received or is receiving Federal
financial assistance under the Acts. The term includes subrecipients of
a recipient, subrecipients in UMTA's State administered programs, public
bodies that receive assistance that will be passed on to another public
or quasi-public body, any operator for a recipient, whether publicly or
privately owned, and may include lessees of federally assisted buses and
other equipment. For any UMTA State administered program, the State is
the recipient.
(m) State Administered Program means any UMTA grant program in which
the State is the recipient of funds, passes the funds to subrecipients,
and administers the program for UMTA.
(n) UMT Act means the Urban Mass Transportation Act of 1964, as
amended, 49 U.S.C. 1601 et seq.
(o) UMTA means the Urban Mass Transportation Administration.
(p) Willing and able means having the desire, having the physical
capability of providing the categories of revenue vehicles requested,
and possessing the legal authority, including the necessary safety
certifications, licenses and other legal prerequisites, to provide
charter service in the area in which it is proposed to be provided.
49 CFR 604.7Charter agreement.
(a) Every applicant for financial assistance under sections 3
(excluding section 16(b)(2)), 5, 9A, 9 or 18 of the UMT Act, or under 23
U.S.C. 103(e)(4), 142(a) or 142(c), must include two copies of a charter
bus agreement signed by the applicant's designated official with each
grant application submitted to UMTA after May 13, 1987. For UMTA's
State administered programs, the State is the applicant.
(b) The text of the agreement must be as follows:
I, (name), (title), agree that (name of applicant) and all recipients
through (name of applicant) will provide charter service that uses
equipment or facilities provided under the Urban Mass Transportation Act
of 1964, as amended (49 U.S.C. 1601 et seq.) or under 23 U.S.C.
103(e)(4), 142(a) or 142(c) (the Acts) only to the extent that there are
no private charter service operators willing and able to provide the
charter service that (name of applicant) and all recipients through
(name of applicant) desire to provide unless one or more of the
exceptions in 49 CFR 604.9 applies.
I further agree that (name of applicant) and all recipients through
(name of applicant) will comply with the provisions in 49 CFR Part 604
before they provide any charter service using equipment or facilities
provided under the Acts, that the requirements of 49 CFR Part 604 will
apply to any such charter service that is provided, and that the
definitions in 49 CFR Part 604 apply to this agreement.
--
Name
--
Title
--
Date
--
Name
--
Title
--
Date
(c) If UMTA approves the grant application, the approving official
shall sign the agreement when the grant application is approved. One
copy of the signed agreement will be retained by UMTA and the other copy
will be returned to the recipient, formerly the applicant.
(d) Once the applicant and UMTA enter into a charter agreement, the
applicant may incorporate that agreement by reference into any
subsequent grant application instead of submitting an agreement under 49
CFR 604.7(a).
(e) Each State in UMTA's State administered programs must:
(1) Obtain a certification of compliance with this Part from each of
its current subrecipients within 60 days of May 13, 1987. The
certification shall state: ''(Name of subrecipient) certifies that it
shall comply with 49 CFR Part 604 in the provision of any charter
service provided with UMTA funded equipment or facilities.'';
(2) Retain this certification as long as the subrecipient is a
subrecipient; and
(3) Assure in each application submitted to UMTA after May 13, 1987,
that all subrecipients have submitted the certification.
(f) If any recipient does not anticipate submitting a grant
application to UMTA during Federal fiscal year 1987, the recipient must
submit two copies of the agreement set forth in 604.7(b) of this part
within 60 days of May 13, 1987, to the appropriate UMTA regional office.
UMTA will sign the agreement, retain one copy of the agreement and
return the other to the recipient.
(Approved by the Office of Management and Budget under Control No.
2132-0543)
49 CFR 604.9Charter service.
(a) If a recipient desires to provide any charter service using UMTA
equipment or facilities the recipient must first determine if there are
any private charter operators willing and able to provide the charter
service which the recipient desires to provide. To the extent that
there is at least one such private operator, the recipient is prohibited
from providing charter service with UMTA funded equipment or facilities
unless one or more of the exceptions in 604.9(b) applies.
(b) Exceptions. (1) A recipient may provide any and all charter
service with UMTA funded equipment and facilities to the extent that
there are no willing and able private charter operators.
(2) A recipient may enter into a contract with a private charter
operator to provide charter equipment to or service for the private
charter operator if:
(i) The private charter operator is requested to provide charter
service that exceeds its capacity; or
(ii) The private charter operator is unable to provide equipment
accessible to elderly and handicapped persons itself.
(3) A recipient in a non-urbanized area may petition UMTA for an
exception to provide charter service directly to the customer if the
charter service provided by the willing and able private charter
operator or operators would create a hardship on the customer because:
(i) The willing and able private charter operator or operators impose
minimum durations pursuant to State regulation and the desired trip
length is shorter than the mandatory trip length; or
(ii) The willing and able private operator or operators are located
too far from the origin of the charter service.
(4) Any recipient may petition the Administrator for an exception to
provide charter service directly to the customer for special events to
the extent that private charter operators are not capable of providing
the service.
(5) A recipient may execute a contract with a government entity or a
private, non-profit organization exempt from taxation under subsection
501(c)(1), 501(c)(3), 501(c)(4), or 501(c)(19) of the Internal Revenue
Code to provide charter service upon obtaining a certification from that
entity or organization which states that:
(i) (the entity/organization) certifies that it is a government
entity or an organization exempt from taxation under subsection
501(c)(1), 501(c)(3), 501(c)(4), or 501(c)(19) of the Internal Revenue
Code; there will be a significant number of handicapped persons as
passengers on this charter trip; the requested charter trip is
consistent with the function and purpose of (the entity/organization);
and the charter trip will be organized and operated in compliance with
Title VI of the Civil Rights Act of 1964, as amended; and, section 19
of the Urban Mass Transportation Act of 1964, as amended, and 49 CFR
Part 27; or, 45 CFR Part 80; or,
(ii) (the entity/organization) certifies that it is a government
entity or an organization exempt from taxation under subsection
501(c)(1), 501(c)(3), 501(c)(4), or 501(c)(19) of the Internal Revenue
Code; (the entity/organization) is a qualified social service agency
under Appendix A of 49 CFR Part 604, as a recipient of funds, either
directly or indirectly, under one or more of the Federal programs listed
in Appendix A; the requested charter trip is consistent with the
function and purpose of (the entity/organization); and the charter trip
will be organized and operated in compliance with Title VI of the Civil
Rights Act of 1964, as amended; and, Section 19 of the Urban Mass
Transportation Act of 1964, as amended, and 49 CFR Part 27; or, 45 CFR
Part 80.
(iii) (the entity/organization) certifies that it is a government
entity or organization exempt from taxation under subsection 501(c)(1),
501(c)(3), 501(c)(4), or 501(c)(19) of the Internal Revenue Code; (the
entity/organization) either receives or is eligible to receive directly
or indirectly, from a State or local governmental body public welfare
assistance funds for purposes whose implementation may require the
transportation of a group of transit-advantaged or transit-dependent
persons; following a petition presented by the State in which the
entity or organization resides, UMTA has determined in writing that an
UMTA recipient may contract directly with the entity or organization for
charter services; the requested charter trip is consistent with the
functions and purposes of the entity or organization; and the charter
trip will be organized and operated in compliance with Title VI of the
Civil Rights Act of 1964, as amended; and section 19 of the Urban Mass
Transportation Act of 1964, as amended, and 49 CFR Part 27; or, 45 CFR
Part 80.
(6) A recipient in a non-urbanized area may execute a contract with a
government entity or a private, non-profit organization exempt from
taxation under subsection 501(c)(1), 501(c)(3), 501(c)(4), or 501(c)(19)
of the Internal Revenue Code to provide charter service upon obtaining a
certification from that entity or organization which states that:
(the entity/organization) certifies that it is a government entity or
an organization exempt from taxation under subsection 501(c)(1),
501(c)(3), 501(c)(4), or 501(c)(19) of the Internal Revenue Code; more
than 50% of the passengers on this charter trip will be elderly; the
requested charter trip is consistent with the function and purpose of
(the entity/organization); and the charter trip will be organized and
operated in compliance with Title VI of the Civil Rights Act of 1964, as
amended; and, Section 19 of the Urban Mass Transportation Act of 1964,
as amended, and 49 CFR Part 27; or, 45 CFR Part 80.
(7) A recipient may provide charter service directly to the customer
where a formal agreement has been executed between the recipient and all
private charter operators it has determined to be willing and able in
accordance with this part, provided that:
(i) The agreement specifically allows the recipient to provide the
particular type of charter trip;
(ii) The recipient has provided for such an agreement in its annual
public charter notice published pursuant to this part before undertaking
any charter service pursuant to this exception; and
(iii) If a recipient has received several responses to its annual
public charter notice but ceased its review process after determining
that one private operator was willing and able, it must, before
concluding a formal charter agreement under this section, complete the
review process to ensure that all the willing and able private operators
are valid parties to the agreement.
(c) The process for requesting and granting an exception under 49 CFR
604.9(b)(3):
(1) The recipient must provide the private charter operators that it
has determined are willing and able in accordance with this Part with a
written notice explaining why it is seeking an exception and state that
they have at least 30 days to submit written comments to the recipient
on the request;
(2) The recipient must send a copy of the notice, all comments
received, and any further information it desires in support of its
request to the Chief Counsel.
(3) The Chief Counsel shall review the materials submitted and issue
a written decision denying or granting in whole or in part the request.
In making this decision, the Chief Counsel may seek such additional
information as the Chief Counsel determines is needed.
(4) Any exception that the Chief Counsel grants under 49 CFR
604.9(b)(3) shall be effective for not longer than 12 months from the
date that the Chief Counsel grants it.
(d) The process for requesting and granting and exception under 49
CFR 604.9(b)(4):
(1) The recipient must submit its petition for an exception to the
Administrator at least 90 days prior to the day or days on which it
desires to provide charter service.
(2) The petition must describe the event, explain how it is special,
and explain the amount of charter service which private charter
operators are not capable of providing.
(3) The Administrator will review the materials and issue a written
decision denying or granting in whole or in part the request. In making
this decision, the Administrator may seek such additional information as
the Administrator determines is needed.
(4) Any exception granted by the Administrator under 49 CFR
604.9(b)(4) shall be effective solely for the event for which the
recipient requests an exception.
(e) Any charter service that a recipient provides under any of the
exceptions in this Part must be incidental charter service.
(52 FR 11933, Apr. 13, 1987, as amended at 53 FR 53355, Dec. 30,
1988)
49 CFR 604.11Procedures for determining if there are any willing and
able private charter operators.
(a) To determine if there is at least one private charter operator
willing and able to provide the charter service that the recipient
desires to provide, the recipient must complete a public participation
process:
(1) At least 60 days before it desires to begin to provide charter
service if it is not doing so on May 13, 1987; or
(2) Not more than 90 days after May 13, 1987 if the recipient is
providing charter service on May 13, 1987 and desires to continue to
provide charter service.
(b) The public participation process must at a minimum include:
(1) Placing a notice in a newspaper, or newspapers, of general
circulation within the proposed geographic charter service area;
(2) Sending a copy of the notice to all private charter service
operators in the proposed geographic charter service area and to any
private charter service operator that requests notice;
(3) Sending a copy of the notice to the United Bus Owners of America,
1300 L Street, NW., Suite 1050, Washington, DC 20005, and the American
Bus Association, 1015 15th Street, NW., suite 250, Washington, DC 20005.
(c) The notice must:
(1) State the recipient's name;
(2) Describe the charter service that the recipient proposes to
provide limited to the days, times of day, geographic area, and
categories of revenue vehicle, but not the capacity or the duration of
the charter service.
(3) Include a statement providing any private charter operator
desiring to be considered willing and able with at least 30 days from
the date of the notice to submit written evidence to prove that it is
willing and able;
(4) State the address to which the evidence must be sent.
(5) Include a statement that the evidence necessary for the recipient
to determine if a private charter operator is willing and able includes
only the following:
(i) A statement that the private operator has the desire and the
physical capability to actually provide the categories of revenue
vehicle specified; and
(ii) A copy of the documents to show that the private charter
operator has the requisite legal authority to provide the proposed
charter service and that it meets all necessary safety certification,
licensing and other legal requirements to provide the proposed charter
service.
(6) Include a statement that the recipient shall review only that
evidence submitted by the deadline, shall complete its review within 30
days of the deadline, and within 60 days of the deadline shall inform
each private operator that submitted evidence what the results of the
review are.
(7) Include a statement that the recipient shall not provide any
charter service using equipment or facilities funded under the Acts to
the extent that there is at least one willing and able private charter
operator unless the recipient qualifies for one or more of the
exceptions in 49 CFR 604.9(b).
(d) Any recipient that desires to continue to provide charter service
using UMTA funded equipment or facilities shall follow the procedures in
49 CFR 604.11 (b) and (c) annually during the month in which it
published its first newspaper notice to redetermine the extent to which
there is at least one willing and able private charter operator.
(e) Any recipient, including the State in State administered
programs, may elect to comply with this procedure for all of its
subrecipients, or delegate this responsibility to the subrecipients, or
delegate this responsibility to only some of its subrecipients.
(Approved by the Office of Management and Budget under Control No.
2132-0543)
(52 FR 11933, Apr. 13, 1987, as amended at 55 FR 34932, Aug. 27,
1990)
49 CFR 604.13Reviewing evidence submitted by private charter operators.
(a) The recipient shall review the evidence submitted in response to
the notice given under 49 CFR 604.11 within 30 days of the deadline for
the submission of evidence.
(b) Within 60 days of the deadline for the submission of evidence,
the recipient shall notify each private charter operator that submitted
evidence of the recipient's decision.
(c) The recipient must review the evidence submitted to determine if
the evidence proves that the private charter operator has:
(1) The desire and the physical capability to actually provide
charter service using the categories of revenue vehicles; and
(2) The required legal authority and the necessary safety
certifications, licenses and other legal requirements to provide charter
service.
(d) The recipient must determine that a private charter operator
which meets the requirements in 49 CFR 604.13(c) is willing and able.
(e) A recipient may look behind the evidence submitted by a private
charter operator only if the recipient has reasonable cause to believe
that some or all of the evidence has been falsified.
(f) A recipient may, within its discretion, stop reviewing the
evidence submitted by private charter operators when the recipient has
determined that there is one or more private charter operators willing
and able to provide all of the charter service that the recipient
proposed to provide in its notice. A recipient may, however, review the
evidence submitted by all private charter operators and create a roster
of willing and able private charter operators.
(g) The entity that complies with the public participation process
under 49 CFR 604.11(e) shall be responsible for complying with the
requirements in 49 CFR 604.13.
(Approved by the Office of Management and Budget under Control No.
2132-0543)
49 CFR 604.13 Subpart B -- Complaint Process
49 CFR 604.15Filing a complaint.
(a) An interested party (''complainant'') who believes that a
recipient is in violation of the requirements of this part may submit a
written complaint to the UMTA Chief Counsel. The complainant shall also
send a copy of the complaint to the recipient (''respondent'').
(b) If the Chief Counsel determines that the complaint is not without
obvious merit and that it states grounds on which relief may be granted,
the Chief Counsel shall advise the complainant and respondent to attempt
to conciliate the dispute. The period for informal conciliation shall
last for up to 30 days from the date of receipt of the Chief Counsel's
order unless an extension is mutually agreed upon by the parties.
(c) If the parties are unable to conciliate the dispute, either party
may so notify the Chief Counsel in writing. The Chief Counsel shall
send a copy of the complaint to the respondent and provide it with 30
days from the receipt of the notice to provide written evidence to show
that no violation has occurred. The respondent shall provide a copy of
this information to the complainant.
(d) After the Chief Counsel receives that respondent's evidence, the
Chief Counsel shall inform the complainant that it has 30 days from the
receipt of the notice to rebut the respondent's evidence. The
complainant shall provide a copy of its rebuttal to the respondent.
(e) The Chief Counsel shall review the evidence submitted and prepare
a written decision. The Chief Counsel shall attempt to transmit the
written decision to the parties within 30 days of receiving all of the
evidence.
(f) If the Chief Counsel determines that further investigation is
necessary, including the submission of additional information or the
holding of an informal evidentiary hearing, the Chief Counsel shall so
inform the parties in writing.
(g) Either party may request an informal evidentiary hearing prior to
the transmission of the Chief Counsel's decision. The Chief Counsel may
grant or deny the request.
(h) If an informal evidentiary hearing is held, the date and location
shall be arranged by the Chief Counsel in consultation with the parties.
Any new evidence introduced by the parties at the informal evidentiary
hearing shall be submitted to the Chief Counsel within 10 days after the
hearing.
(i) The Chief Counsel may extend the deadlines imposed in this part
for administrative convenience by notifying all parties in writing of
the extensions.
49 CFR 604.17Remedies.
(a) If the Chief Counsel determines that a violation of this Part has
occurred, the Chief Counsel may order such remedies as the Chief counsel
determines are appropriate.
(b) If the Chief Counsel determines that there has been a continuing
pattern of violation of this part, the Chief Counsel may bar the
respondent from the receipt of further financial assistance for mass
transportation facilities and equipment.
49 CFR 604.19Appeals.
(a) The losing party may appeal the Chief Counsel's decision to the
Administrator within 10 days of receipt of the decision. The losing
party (''appellant'') shall include in its appeal the basis for the
appeal and evidence to support the position. The appellant shall send a
copy of the appeal to the prevailing party (''appellee'').
(b) The Administrator will only take action on an appeal if the
appellant presents evidence that there are new matters of fact or points
of law that were not available or not known during the investigation of
the complaint.
(c) If the Administrator takes action on an appeal, the Administrator
shall provide the appellee with 10 days from the receipt of the notice
to respond to the evidence contained in the appeal.
(d) The Administrator shall send a copy of the appellee's response to
the appellant and provide it with 10 days from the receipt of the notice
to rebut the appellee's response.
(e) The Administrator shall endeavor to make a final determination on
the appeal within 10 days of the receipt of the appellant's rebuttal.
49 CFR 604.21Judicial review.
The Chief Counsel's decision, or the Administrator's decision on
appeal, shall be final and conclusive on all parties, but it is subject
to judicial review pursuant to sections 701-706 of Title 5 of the United
States Code.
49 CFR 604.21 Pt. 604, App. A
49 CFR 604.21 Appendix A to Part 604
The following is a list of Federal assistance programs administered
under the United States Department of Health and Human Services (HHS).
The financial assistance under each of these HHS programs includes
funding for the transportation needs of the program beneficiaries.
(53 FR 53355, Dec. 30, 1988)
49 CFR 604.21 Pt. 604, App. B
49 CFR 604.21 Appendix B to Part 604
The definitions of the term elderly and handicapped as applied under
UMTA's elderly and handicapped half-fare program (49 CFR Part 609) shall
apply to this rule. This permits a broader class of handicapped persons
to take advantage of the exception than would be permitted under the
more restrictive definition applied to the non-discrimination provisions
of the Department's section 504 program (49 CFR 27.5), which includes
only handicapped persons otherwise unable to use the recipient's bus
service for the general public.
Accordingly, for the purposes of 604.9(b)(6), the definition of
elderly persons may be determined by the UMTA recipient but must, at a
minimum, include all persons 65 years of age or over.
Similarly, the definition of handicapped persons is derived from the
existing regulations at 49 CFR 609.3 which provide that Handicapped
persons means those individuals who, by reason of illness, injury, age,
congenital malfunction, or other permanent or temporary incapacity or
disability, including those who are nonambulatory wheelchair-bound and
those with semi-ambulatory capabilities, are unable without special
facilities or special planning or design to utilize mass transportation
facilities and services as effectively as persons who are not so
affected.
To assist in understanding how the definitions might be applied to
administration of the charter rule, the following questions and answers
previously published by UMTA for the half-fare program in UMTA C 9060.1,
April 20, 1978, are reproduced:
1. Question: Can the definition of elderly or handicapped be
restricted on the basis of residency, citizenship, income, employment
status, or the ability to operate an automobile?
Answer: No. Section 5(m) is applicable to elderly and handicapped
persons. It is UMTA's policy that such categorical exceptions are not
permitted under the Act.
2. Question: Can the eligibility of temporary handicaps be
restricted on the basis of their duration?
Answer: Handicaps of less than 90 days duration may be excluded.
Handicaps of more than 90 days duration must be included.
3. Question: Can the definition of handicap be limited in any way?
Answer: UMTA has allowed applicants to exclude some conditions which
appear to meet the functional definition of handicap provided in section
16 of the UMT Act. These include pregnancy, obesity, drug or alcohol
addiction, and certain conditions which do not fall under the statutory
definition (e.g., loss of a finger, some chronic heart or lung
conditions, controlled epilepsy, etc.). Individuals may also be excluded
whose handicap involves a contagious disease or poses a danger to the
individual or other passengers. Other exceptions should be reviewed on
a case-by-case basis.
4. Question: Is blindness considered a handicap under Section 5(m)?
Answer: Yes.
5. Question: Is deafness considered a handicap under section 5(m)?
Answer: As a rule, no, because deafness, especially on buses, is not
considered a disability which requires special planning, facilities, or
design. However, deafness is recognized as a handicap in UMTA's elderly
and handicapped regulation, and applicants for Section 5 assistance are
encouraged to include the deaf as eligible for off-peak half-fares.
6. Question: Is mental illness considered a handicap under section
5(m)?
Answer: As a rule, no, because of the difficulty in establishing
criteria or guidelines for defining eligibility. However, UMTA
encourages applicants to provide the broadest possible coverage in
defining eligible handicaps, including mental illness.
7. Question: Can operators delegate the responsibility for
certifying individuals as eligible to other agencies?
Answer: Yes, provided that such agencies administer the
certification of individuals in an acceptable manner and are reasonably
accessible to the elderly and handicapped. Many operators currently
make extensive use of social service agencies (both public and private)
to identify and certify eligible individuals.
8. Question: Can operators require elderly and handicapped
individuals to be recognized by any existing agency (e.g., require that
handicapped persons be receiving Social Service or Veterans'
Administration benefits)?
Answer: Recognition by such agencies is commonly used to certify
eligible individuals. However, such recognition should not be a
mandatory prerequisite for eligibility. For example, many persons with
eligible temporary handicaps may not be recognized as handicapped by
social service agencies.
9. Question: Can the operator require that elderly and handicapped
persons come to a central office to register for an off-peak half-fare
program?
Answer: UMTA strongly encourages operators to develop procedures
which maximize the availability of off-peak half-fares to eligible
individuals. Requiring individuals to travel to a single office which
may be inconveniently located is not consistent with this policy,
although it is not strictly prohibited. UMTA reserves the right to
review such local requirements on a case-by-case basis.
10. Question: Must ID cards issued by one operator be transferable
to another?
Answer: No. However, UMTA encourages consistency among off-peak
procedures and the maximizing of availability to eligible individuals,
especially among operators within a single urban area. Nevertheless,
each operator is permitted to require its own certification of
individuals using its service.
11. Question: Can an operator require an elderly or handicapped
person to submit to a procedure certifying their eligibility before they
can receive half-fare? For example, if an operator requires eligible
individuals to have a special ID card, can the half-fare be denied to an
individual who can otherwise give proof of age, etc, but does not have
an ID card?
Answer: Yes, although UMTA does not endorse this practice.
(53 FR 53356, Dec. 30, 1988)
49 CFR 604.21 PART 605 -- SCHOOL BUS OPERATIONS
49 CFR 604.21 Subpart A -- General
Sec.
605.1 Purpose.
605.2 Scope.
605.3 Definitions.
605.4 Public hearing requirement.
49 CFR 604.21 Subpart B -- School Bus Agreements
605.10 Purpose.
605.11 Exemptions.
605.12 Use of project equipment.
605.13 Tripper service.
605.14 Agreement.
605.15 Content of agreement.
605.16 Notice.
605.17 Certification in lieu of notice.
605.18 Comments by private school bus operators.
605.19 Approval of school bus operations.
49 CFR 604.21 Subpart C -- Modification of Prior Agreements and
Amendment of Application for Assistance
605.20 Modification of prior agreements.
605.21 Amendment of applications for assistance.
49 CFR 604.21 Subpart D -- Complaint Procedures and Remedies
605.30 Filing a complaint.
605.31 Notification to the respondent.
605.32 Accumulation of evidentiary material.
605.33 Adjudication.
605.34 Remedy where there has been a violation of the agreement.
605.35 Judicial review.
49 CFR 604.21 Subpart E -- Reporting and Records
605.40 Reports and information.
Appendix A
Authority: Urban Mass Transportation Act of 1964, as amended (49
U.S.C. 1601 et seq.); 23 U.S.C. 103(e)(4); 23 U.S.C. 142 (a) and (c);
and 49 CFR 1.51.
Source: 41 FR 14128, Apr. 1, 1976, unless otherwise noted.
49 CFR 604.21 Subpart A -- General
49 CFR 605.1Purpose.
(a) The purpose of this part is to prescribe policies and procedures
to implement section 109(a) of the National Mass Transportation
Assistance Act of 1974 (Pub. L. 93-503; November 26, 1974; 88 Stat.
1565). Section 109(a) adds a new section 3(g) to the Urban Mass
Transportation Act of 1964, as amended (49 U.S.C. 1602(g)) and differs
from section 164(b) of the Federal-Aid Highway Act of 1973 (49 U.S.C.
1602a(b)) in that section 3(g) applies to all grants for the
construction or operation of mass transportation facilities and
equipment under the Urban Mass Transportation Act, and is not limited to
grants for the purchase of buses as is section 164(b).
(b) By the terms of section 3(g) no Federal financial assistance may
be provided for the construction or operation of facilities and
equipment for use in providing public mass transportation service to an
applicant unless the applicant and the Administrator enter into an
agreement that the applicant will not engage in school bus operations
exclusively for the transportation of students and school personnel, in
competition with private school bus operators.
49 CFR 605.2Scope.
These regulations apply to all recipients of financial assistance for
the construction or operation of facilities and equipment for use in
providing mass transportation under: (a) The Urban Mass Transportation
Act of 1964, as amended (49 U.S.C. 1601 et seq.); (b) 23 U.S.C. 142 (a)
and (c); and 23 U.S.C. 103 (e)(4).
49 CFR 605.3Definitions.
(a) Except as otherwise provided, terms defined in the Urban Mass
Transportation Act of 1964, as amended (49 U.S.C. 1604, 1608) are used
in this part as so defined.
(b) For purposes of this part --
The Acts means the Urban Mass Transportation Act of 1964, as amended
(49 U.S.C. 1601 et seq.); 23 U.S.C. 142 (a) and (c); and 23 U.S.C.
103(e)(4).
Administrator means the Urban Mass Transportation Administrator or
his designee.
Adequate transportation means transportation for students and school
personnel which the Administrator determines conforms to applicable
safety laws; is on time; poses a minimum of discipline problems; is
not subject to fluctuating rates; and is operated efficiently and in
harmony with state educational goals and programs.
Agreement means a contractual agreement required under section 3(g)
of the Urban Mass Transportation Act of 1964, as amended (49 U.S.C.
1602(g)).
Applicant means applicant for assistance under the Acts.
Assistance means Federal financial assistance for the purchase of
buses and the construction or operation of facilities and equipment for
use in providing mass transportation services under the Acts, but does
not include research, development and demonstration projects funded
under the Acts.
Grant contract means the contract between the Government and the
grantee which states the terms and conditions for assistance under the
Acts.
Government means the Government of the United States of America.
Grantee means a recipient of assistance under the Acts.
Incidental means the transportation of school students, personnel and
equipment in charter bus operations during off peak hours which does not
interfere with regularly scheduled service to the public (as defined in
the Opinion of the Comptroller General of the United States, B160204,
December 7, 1966, which is attached as Appendix A of this part).
Interested party means an individual, partnership, corporation,
association or public or private organization that has a financial
interest which is adversely affected by the act or acts of a grantee
with respect to school bus operations.
Reasonable Rates means rates found by the Administration to be fair
and equitable taking into consideration the local conditions which
surround the area where the rate is in question.
School bus operations means transportation by bus exclusively for
school students, personnel and equipment in Type I and Type II school
vehicles as defined in Highway Safety Program Standard No. 17.
Tripper service means regularly scheduled mass transportation service
which is open to the public, and which is designed or modified to
accommodate the needs of school students and personnel, using various
fare collections or subsidy systems. Buses used in tripper service must
be clearly marked as open to the public and may not carry designations
such as ''school bus'' or ''school special''. These buses may stop only
at a grantee or operator's regular service stop. All routes traveled by
tripper buses must be within a grantee's or operator's regular route
service as indicated in their published route schedules.
Urban area means the entire area in which a local public body is
authorized by appropriate local, State and Federal law to provide
regularly scheduled mass transportation service. This includes all
areas which are either: (a) Within an ''urbanized area'' as defined and
fixed in accordance with 23 CFR Part 470, Subpart B; or (b) within an
''urban area'' or other built-up place as determined by the Secretary
under section 12(c)(4) of the Urban Mass Transportation Act of 1964, as
amended (49 U.S.C. 1608(c)(4)).
49 CFR 605.4Public hearing requirement.
Each applicant who engages or wishes to engage in school bus
operations shall afford an adequate opportunity for the public to
consider such operations at the time the applicant conducts public
hearings to consider the economic, social or environmental effects of
its requested Federal financial assistance under section 3(d) of the
Urban Mass Transportation Act of 1964, as amended (49 U.S.C. 1602(d)).
49 CFR 605.4 Subpart B -- School Bus Agreements
49 CFR 605.10Purpose.
The purpose of this subpart is to formulate procedures for the
development of an agreement concerning school bus operations.
49 CFR 605.11Exemptions.
A grantee or applicant may not engage in school bus operations in
competition with private school bus operators unless it demonstrates to
the satisfaction of the Administrator as follows:
(a) That it operates a school system in its urban area and also
operates a separate and exclusive school bus program for that school
system; or
(b) That private school bus operators in the urban area are unable to
provide adequate transportation, at a reasonable rate, and in
conformance with applicable safety standards; or
(c) That it is a state or local public body or agency thereof (or a
direct predecessor in interest which has acquired the function of so
transporting schoolchildren and personnel along with facilities to be
used therefor) who was so engaged in school bus operations:
(1) In the case of a grant involving the purchase of buses -- anytime
during the 12-month period immediately prior to August 13, 1973.
(2) In the case of a grant for construction or operating of
facilities and equipment made pursuant to the UMT Act as amended (49
U.S.C. 1601 et seq.), anytime during the 12-month period immediately
prior to November 26, 1974.
49 CFR 605.12Use of project equipment.
No grantee or operator of project equipment shall engage in school
bus operations using buses, facilities or equipment funded under the
Acts. A grantee or operator may, however, use such buses, facilities
and equipment for the transportation of school students, personnel and
equipment in incidental charter bus operations. Such use of project
equipment is subject to Part 604 of Urban Mass Transportation
Regulations.
49 CFR 605.13Tripper service.
The prohibition against the use of buses, facilities and equipment
funded under the Acts shall not apply to tripper service.
49 CFR 605.14Agreement.
Except as provided in 605.11 no assistance shall be provided under
the Acts unless the applicant and the Administrator shall have first
entered into a written agreement that the applicant will not engage in
school bus operations exclusively for the transportation of students and
school personnel in competition with private school bus operators.
49 CFR 605.15Content of agreement.
(a) Every grantee who is not authorized by the Administrator under
605.11 of this part to engage in school bus operations shall, as a
condition of assistance, enter into a written agreement required by
605.14 which shall contain the following provisions:
(1) The grantee and any operator of project equipment agrees that it
will not engage in school bus operations in competition with private
school bus operators.
(2) The grantee agrees that it will not engage in any practice which
constitutes a means of avoiding the requirements of this agreement, Part
605 of the Urban Mass Transportation Regulations, or section 164(b) of
the Federal-Aid Highway Act of 1973 (49 U.S.C. 1602a(b)).
(b) Every grantee who obtains authorization from the Administrator to
engage in school bus operations under 605.11 of this part shall, as a
condition of assistance, enter into a written agreement required by
605.14 of this part which contains the following provisions:
(1) The grantee agrees that neither it nor any operator of project
equipment will engage in school bus operations in competition with
private school bus operators except as provided herein.
(2) The grantee, or any operator of project equipment, agrees to
promptly notify the Administrator of any changes in its operations which
might jeopardize the continuation of an exemption under 605.11.
(3) The grantee agrees that it will not engage in any practice which
constitutes a means of avoiding the requirements of this agreement, Part
605 of the Urban Mass Transportation Administration regulations or
section 164(b) of the Federal-Aid Highway Act of 1973 (49 U.S.C.
1602a(b)).
(4) The grantee agrees that the project facilities and equipment
shall be used for the provision of mass transportation services within
its urban area and that any other use of project facilities and
equipment will be incidental to and shall not interfere with the use of
such facilities and equipment in mass transportation service to the
public.
49 CFR 605.16Notice.
(a) Each applicant who engages or wishes to engage in school bus
operations shall include the following in its application:
(1) A statement that it has provided written notice to all private
school bus operators operating in the urban area of its application for
assistance and its proposed or existing school bus operations;
(2) A statement that it has published in a newspaper of general
circulation in its urban area a notice of its application and its
proposed or existing school bus operations;
(b) The notice required by paragraphs (a) (1) and (2) of this section
shall include the following information:
(1) A description of the area to be served by the applicant.
(2) An estimation of the number of each type of bus which will be
employed on the proposed school bus operations, and the number of
weekdays those buses will be available for school bus operations.
(3) A statement of the time, date, and place of public hearings
required under section 3(d) of the Urban Mass Transportation Act of
1964, as amended (49 U.S.C. 1602(d)), to be held on the application for
assistance.
(4) A statement setting forth reasons the applicant feels it should
be allowed to engage in school bus operations under 605.11 of this
part.
(c) Copies of the application for assistance and notice required by
paragraph (a) of this shall be available for inspection during the
regular business hours at the office of the applicant.
49 CFR 605.17Certification in lieu of notice.
If there are no private school bus operators operating in the
applicant's urban area, the applicant may so certify in its application
in lieu of meeting the requirements of 605.16. This certification shall
be accompanied by a statement that the applicant has published, in a
newspaper of general circulation in its urban area, a notice stating
that it has applied for assistance as provided under 605.16(b) and that
it has certified that there are no private school bus operators
operating in its urban area. A copy of the notice as published shall be
included.
49 CFR 605.18Comments by private school bus operators.
Private school bus operators may file written comments on an
applicant's proposed or existing school bus operations at the time of
the public hearing held pursuant to section 3(d) of the Urban Mass
Transportation Act of 1964, as amended (49 U.S.C. 1602(d)). The comments
of private school bus operators must be submitted by the applicant to
the Administrator together with the transcript of this public hearing.
49 CFR 605.19Approval of school bus operations.
(a) The Administrator will consider the comments filed by private
school bus operators prior to making any findings regarding the
applicant's proposed or existing school bus operations.
(b) After a showing by the applicant that it has complied with the
requirements of 49 U.S.C. 1602(d) and this subpart, the Administrator
may approve its school bus operations.
(c) If the Administrator finds that the applicant has not complied
with the notice requirement of this part or otherwise finds that the
applicant's proposed or existing school bus operations are unacceptable,
he will so notify the applicant in writing, stating the reasons for his
findings.
(d) Within 20 days after receiving notice of adverse findings from
the Administrator, an applicant may file written objections to the
Administrator's findings or submit a revised proposal for its school bus
operations. If an applicant revises its proposed or existing school bus
operations, it shall mail a copy of these revisions along with the
findings of the administrator to private school bus operators required
to be notified under 605.16.
(e) Private school bus operators who receive notice under paragraph
(d) of this section may within 20 days after receipt of notice file
written comments on the proposed revisions with the Administrator. The
Administrator will consider these comments prior to his approval of a
proposed revision by the applicant.
(f) Upon receipt of notice of approval of its school bus operations,
the applicant may enter into an agreement with the Administrator under
605.14.
49 CFR 605.19 Subpart C -- Modification of Prior Agreements and Amendment of Application for Assistance
49 CFR 605.20Modification of prior agreements.
(a) Any grantee which, prior to the adoption of this part, entered
into an agreement required by section 164(b) of the Federal-Aid Highway
Act of 1973 (49 U.S.C. 1602(a)(b)), or section 3(g) of the Urban Mass
Transportation Act of 1964, as amended (49 U.S.C. 1602(g)), who engages
or wishes to engage in school bus operations in competition with private
school bus operators, shall seek modification of that agreement in
accordance with paragraphs (b) through (d) of this section.
(b) The grantee shall develop a statement setting forth in detail the
reasons it feels it should be allowed to engage in school bus operations
under 605.11 of this part. A copy of the statement should be provided
private school bus operators who provide service in the grantee's urban
area.
(c) The grantee shall allow 30 days for persons receiving notice
under this section to respond with written comments concerning its
proposed or existing school bus operations.
(d) After receiving written comments, the grantee shall send his
proposal with written comments thereon to the Administrator for his
review under 605.17.
49 CFR 605.21Amendment of applications for assistance.
Pending applications for assistance upon which public hearings have
been held pursuant to section 3(d) of the Urban Mass Transportation Act
of 1964, as amended (49 U.S.C. 1602(d)), and applications which have
been approved by the Administrator but for which no grant contract has
been executed, shall be amended by the applicant to conform to this part
by following the procedures of 605.20(b) through (d).
49 CFR 605.21 Subpart D -- Complaint Procedures and Remedies
49 CFR 605.30Filing a complaint.
Any interested party may file a complaint with the Administrator
alleging a violation or violations of terms of an agreement entered into
pursuant to 605.14. A complaint must be in writing, must specify in
detail the action claimed to violate the agreement, and must be
accompanied by evidence sufficient to enable the Administrator to make a
preliminary determination as to whether probable cause exists to believe
that a violation of the agreement has taken place.
49 CFR 605.31Notification to the respondent.
On receipt of any complaint under 605.30, or on his own motion if at
any time he shall have reason to believe that a violation may have
occurred, the Administrator will provide written notification to the
grantee concerned (hereinafter called ''the respondent'') that a
violation has probably occurred. The Administrator will inform the
respondent of the conduct which constitutes a probable violation of the
agreement.
49 CFR 605.32Accumulation of evidentiary material.
The Administrator will allow the respondent not more than 30 days to
show cause, by submission of evidence, why no violation should be deemed
to have occurred. A like period shall be allowed to the complainant, if
any, during which he may submit evidence to rebut the evidence offered
by the respondent. The Administrator may undertake such further
investigation, as he may deem necessary, including, in his discretion,
the holding of an evidentiary hearing or hearings.
49 CFR 605.33Adjudication.
(a) After reviewing the results of such investigation, including
hearing transcripts, if any, and all evidence submitted by the parties,
the Administrator will make a written determination as to whether the
respondent has engaged in school bus operations in violation of the
terms of the agreement.
(b) If the Administrator determines that there has been a violation
of the agreement, he will order such remedial measures as he may deem
appropriate.
(c) The determination by the Administrator will include an analysis
and explanation of his findings.
49 CFR 605.34Remedy where there has been a violation of the agreement.
If the Administrator determines, pursuant to this subpart, that there
has been a violation of the terms of the agreement, he may bar a grantee
or operator from the receipt of further financial assistance for mass
transportation facilities and equipment.
49 CFR 605.35Judicial review.
The determination of the Administrator pursuant to this subpart shall
be final and conclusive on all parties, but shall be subject to judicial
review pursuant to title 5 U.S.C. 701-706.
49 CFR 605.35 Subpart E -- Reporting and Records
49 CFR 605.40Reports and information.
The Administrator may order any grantee or operator for the grantee,
to file special or separate reports setting forth information relating
to any transportation service rendered by such grantee or operator, in
addition to any other reports required by this part.
49 CFR 605.40 Pt. 605, App. A
49 CFR 605.40 Appendix A
Comptroller General of the
United States,
Washington, D.C., December 7,
1966.
Dear Mr. Wilson: The enclosure with your letter of October 4, 1966,
concerns the legality of providing a grant under the Urban Mass
Transportation Act of 1964 to the City of San Diego, (City), California.
The problem involved arises in connection with the definition in
subsection 9(d)(5) of the Act, 49 U.S.C. 1608(d)(5), excluding charter
or sightseeing service from the term ''mass transportation.''
It appears from the enclosure with your letter that the City
originally included in its grant application a request for funds to
purchase 8 buses designed for charter service. Subsequently the City
amended its application by deleting a request for a portion of the funds
attributable to the charter bus coaches. However, in addition to the 8
specially designed charter buses initially applied for, the City
allegedly uses about 40 of its transit type buses to a substantial
extent for charter-type services. In light of these factors surrounding
the application by the City, the enclosure requests our opinion with
regard to the legality of grants under the Act as it applies to certain
matters (in effect questions), which are numbered and quoted below and
answered in the order presented.
Number one:
''The grant of funds to a City to purchase buses and equipment which
are intended for substantial use in the general charter bus business as
well as in the Mass Transportation type business.''
The Urban Mass Transportation Act of 1964 does not authorize grants
to assist in the purchase of buses or other equipment for any service
other than urban mass transportation service. Section 3(a) of the Act
limits the range of eligible facilities and equipment to ''* * * buses
and other rolling stock, and other real or personal property needed for
an efficient and coordinated mass transportation system.'' In turn,
''mass transportation'' is defined, in section 9(d)(5) of the Act,
specifically to exclude charter service. We are advised by the
Department of Housing and Urban Development (HUD) that under these
provisions, the Department has limited its grants to the purchase of
buses of types suitable to meet the needs of the particular kind of
urban mass transportation proposed to be furnished by the applicant.''
HUD further advises that:
''One of the basic facts of urban mass transportation operations is
that the need for rolling stock is far greater during the morning and
evening rush hours on weekdays than at any other time. For that reason,
any system which has sufficient rolling stock to meet the weekday
rush-hour needs of its customers must have a substantial amount of
equipment standing idle at other times, as well as drivers and other
personnel being paid when there is little for them to do. To relieve
this inefficient and uneconomical situation, quite a number of cities
have offered incidental charter service using this idle equipment and
personnel during the hours when the same are not needed for regularly
scheduled runs. Among the cities so doing are Cleveland, Pittsburgh,
Alameda, Tacoma, Detroit and Dallas.
''Such service contributes to the success of urban mass
transportation operations by bringing in additional revenues and
providing full employment to drivers and other employees. It may in
some cases even reduce the need for Federal capital grant assistance.
''We do not consider that there is any violation of either the letter
or the spirit of the Act as a result of such incidental use of buses in
charter service. To guard against abuses, every capital facilities
grant contract made by this Department contains the following
provisions:
'''Sec. 4. Use of Project Facilities and Equipment -- The Public Body
agrees that the Project facilities and equipment will be used for the
provision of mass transportation service within its urban area for the
period of the useful life of such facilities and equipment. . . . The
Public Body further agrees that during the useful life of the Project
facilities and equipment it will submit to HUD such financial statements
and other data as may be deemed necessary to assure compliance with this
Section.' ''
It is our view that grants may be made to a city under section 3(a)
of the Act to purchase buses needed by the city for an efficient and
coordinated mass transportation system, even though the city may intend
to use such buses for charter use when the buses are not needed on
regularly scheduled runs (i.e. for mass transportation purposes) and
would otherwise be idle.
Number two:
''Whether a grant of such funds is proper if charter bus use is
incidental to mass public transportation operations. If so, what is the
definition of incidental use. ''
We are advised by HUD that under its legislative authority, it cannot
and does not take charter service requirements into consideration in any
way in evaluating the needs of a local mass transportation system for
buses or other equipment.
HUD further advises that:
''However, as indicated above, we are of the opinion that any lawful
use of project equipment which does not detract from or interfere with
the urban mass transportation service for which the equipment is needed
would be deemed an incidental use of such equipment, and that such use
of project equipment is entirely permissible under our legislation.
What uses are in fact incidental, under this test, can be determined
only on a case-by-case basis.''
In view of what we stated above in answer to the first question, the
first part of question two is answered in the affirmative.
As to the second part of the question, in Security National Insurance
Co. v. Secuoyah Marina, 246F.2d 830, ''incident'' is defined as meaning
''that which appertains to something else which is primary.'' Thus, we
cannot say HUD's definition of incidental use as set forth above is
unreasonable. Under the Act involved grants may be made to purchase
buses only if the buses are needed for an efficient and coordinated mass
transportation system. It would appear that if buses are purchased in
order to meet this need, and are, in fact, used to meet such need, the
use of such buses for charter service when not needed for mass
transportation services would, in effect, be an ''incidental use,''
insofar as pertinent here. In our opinion such incidental use would not
violate the provisions of the 1964 Act.
Number three:
''The grant of funds for mass public transportation purposes to a
City which has expressed an intent to engage in the general charter bus
business when such funds would in effect constitute a subsidy to the
City of its intended charter bus operations; i.e. freeing Municipal
funds with which to purchase charter bus equipment.''
Section 4(a) of the 1954 Act (49 U.S.C. 1603(a)) provides, in part,
as follows:
''* * * The Administrator (now Secretary), on the basis of
engineering studies, studies of economic feasibility, and data showing
the nature and extent of expected utilization of the facilities and
equipment, shall estimate what portion of the cost of a project to be
assisted under section 1602 of this title cannot be reasonably financed
from revenues -- which portion shall hereinafter be called 'net project
cost'. The Federal grant for such a project shall not exceed two-thirds
of the net project cost. The remainder of the net project cost shall be
provided, in cash, from sources other than Federal funds * * *.''
It is clear from the legislative history of the Act involved that the
''revenues'' to be considered are mass transportation system revenues
including any revenues from incidental charter operations. There is
nothing in the language of the Act which requires HUD to take into
account the status of the general funds of an applicant city in
determining how much capital grant assistance to extend to that city.
It should be noted that in a sense nearly every capital grant to a
city constitutes a partial subsidy of every activity of the city which
is supported by tax revenues, since it frees tax revenues for such other
uses.
Number four:
''With specific reference to the application of the City of San Diego
for funds under its application to the Department of Housing and Urban
Development dated June 2, 1966, whether the Act permits a grant to
purchase equipment wherein 25 percent of such equipment will be used
either exclusively or substantially in the operation of charter bus
services.''
As to the City of San Diego's grant application, we have been advised
by HUD as follows:
''As explained above, the Act authorizes assistance only for
facilities to be used in mass transportation service. We could not,
therefore, assist San Diego in purchasing any equipment to be used
'exclusively' in the operation of charter bus service. Furthermore, as
also explained above, assisted mass transportation equipment can be used
only incidentally for such charter services.
''Whether equipment used 'substantially' in such service qualifies
under this rule can be answered only in the light of the specifics of
the San Diego situation. * * * we have already, during our preliminary
review of the City's application, disallowed about $150,000 of the
proposed project cost which was allocated to the purchase of eight
charter-type buses.
''The final application of the City of San Diego is presently under
active consideration by this Department. In particular, we have
requested the City to furnish additional information as to the nature
and extent of the proposed use, if any, of project facilities and
equipment in charter service, so that we can further evaluate the
application under the criteria above set forth. We have also requested
similar information from Mr. Fredrick J. Ruane, who has filed a
taxpayers' suit (Superior Court for San Diego County Civil 297329)
against the City, contesting its authority to engage in charter bus
operations.''
As indicated above, it is clear that under the Act in question grants
may not legally be made to purchase buses to be used ''exclusively'' in
the operation of charter bus service. However, in view of the purposes
of the Act involved it is our opinion that a city which has purchased
with grant funds buses needed for an efficient mass transportation
system, is not precluded by the act from using such buses for charter
service during idle or off-peak periods when the buses are not needed
for regularly scheduled runs. As indicated above, such a use would
appear to be an incidental use.
The fourth question is answered accordingly.
As requested, the correspondence enclosed with your letter is
returned herewith.
Sincerely yours,
Frank H. Weitzel,
Assistant Comptroller General
of the United States.
Enclosures:
The Honorable Bob Wilson, House of Representatives.
March 29, 1976.
I certify that, in accordance with Executive Order 11821, dated
November 27, 1974, and Departmental implementing instructions, an
Inflationary Impact Statement is not required for final regulations on
School Bus Operations.
Robert E. Patricelli,
Urban Mass Transportation
Administrator.
49 CFR 605.40 PART 609 -- TRANSPORTATION FOR ELDERLY AND HANDICAPPED
PERSONS
Sec.
609.1 Purpose.
609.3 Definitions.
609.5 Applicability.
609.7 Transportation planning in urbanized areas.
609.9 Transportation planning in nonurbanized areas.
609.11 Applications for capital or operating assistance.
609.13 Fixed facilities.
609.15 Buses.
609.17 Rapid rail vehicles.
609.19 Light rail vehicles.
609.21 Other vehicles.
609.23 Reduced fare.
609.25 Waiver.
Authority: Secs. 5 and 16, Urban Mass Transportation Act of 1964, as
amended (49 U.S.C. 1604, 1612); sec. 165(b), Federal-Aid Highway Act of
1973, as amended (23 U.S.C. 142 nt.); sec. 504, Rehabilitation Act of
1973 (29 U.S.C. 794); 49 CFR 1.51.
Source: 41 FR 18239, Apr. 30, 1976, unless otherwise noted.
49 CFR 609.1Purpose.
The purpose of this part is to establish formally the requirements of
the Urban Mass Transportation Administration (UMTA) on transportation
for elderly and handicapped persons.
49 CFR 609.3Definitions.
As used herein:
Elderly and handicapped persons means those individuals who, by
reason of illness, injury, age, congenital malfunction, or other
permanent or temporary incapacity or disability, including those who are
nonambulatory wheelchair-bound and those with semi-ambulatory
capabilities, are unable without special facilities or special planning
or design to utilize mass transportation facilities and services as
effectively as persons who are not so affected.
49 CFR 609.5Applicability.
This part, which applies to projects approved by the Urban Mass
Transportation Administrator on or after May 31, 1976, applies to all
planning, capital, and operating assistance projects receiving Federal
financial assistance under sections 3, 5, or 9 of the Urban Mass
Transportation Act of 1964, as amended (49 U.S.C. 1602, 1604, or 1607a),
and nonhighway public mass transportation projects receiving Federal
financial assistance under: (1) Subsection (a) or (c) of section 142 of
title 23, United States Code; and (2) paragraph (4) of subsection (e)
of section 103, title 23, United States Code. However, under certain
circumstances evident in 609.13 through 609.21, the latter sections
apply to fixed facilities and vehicles included in projects approved
before May 31, 1976. Sections in this part on capital assistance
applications, fixed facilities, and vehicles apply expressly to capital
assistance projects receiving Federal financial assistance under any of
the above statutes.
49 CFR 609.7Transportation planning in urbanized areas.
General requirements for transportation planning in urbanized areas
are found in joint UMTA-Federal Highway Administration regulations (23
CFR Part 450 and 49 CFR Part 613). These regulations require the urban
transportation planning process to include special efforts to plan
public mass transportation facilities and services that can effectively
be utilized by elderly and handicapped persons. UMTA and FHWA have
added a supplementary statement on the special efforts requirement as an
appendix to the joint planning regulations. Satisfactory special
efforts in this area is an express condition (49 CFR 613.204) for UMTA
project approvals required by 23 CFR 450.320, and UMTA has added a
supplementary statement on that requirement as an appendix to 49 CFR
Part 613.
49 CFR 609.9Transportation planning in nonurbanized areas.
Before a capital assistance project can be approved in a nonurbanized
area, the local planning process must include special efforts to plan
public mass transportation facilities and services that can effectively
be utilized by elderly and handicapped persons.
49 CFR 609.11Applications for capital or operating assistance.
Applications for capital or operating assistance shall include
assurance(s) and descriptive material on transportation for elderly and
handicapped persons in accordance with current application instructions.
49 CFR 609.13Fixed facilities.
(a) Except as otherwise provided in paragraph (c) of this section,
every fixed facility -- including every station, terminal, building or
other facility -- designed, constructed, or altered on or after May 31,
1976, with UMTA assistance, the intended use for which will require
either that such fixed facility be accessible to the public or may
result in the employment therein of physically handicapped persons,
shall be designed, constructed, or altered in accordance with the
minimum standards in the ''American Standard Specifications for Making
Building and Facilities Accessible to, and Usable by, the Physically
Handicapped, Number A117.1 -- R 1971,'' approved by the American
Standards Association, Inc. (subsequently changed to American National
Standards Institute, Inc.) (ANSI).
(b) In addition to the ANSI standards of paragraph (a) of this
section, the following standards apply to rail facilities covered by
that paragraph:
(1) Travel distance for wheelchair users. In designing new
underground or elevated transit stations, careful attention should be
given to the location and number of elevators or other vertical
circulation devices in order to minimize the extra distance which
wheelchair users and other persons who cannot negotiate steps may have
to travel compared to nonhandicapped persons.
(2) International accessibility symbol. The international
accessibility symbol shall be displayed at wheelchair accessible
entrance(s) to buildings that meet the ANSI standards.
(3) Fare vending and collection systems. Transit fare vending and
collection systems shall be designed so as not to prevent effective
utilization of the transportation system by elderly and handicapped
persons. Each station shall include a fare control area with at least
one entrance with a clear opening at least 32 inches wide when open.
(4) Boarding platforms. All boarding platform edges bordering a
drop-off or other dangerous condition shall be marked with a warning
device consisting of a strip of floor material differing in color and
texture from the remaining floor surface. The design of boarding
platforms for level-entry vehicles shall be coordinated with the vehicle
design in order to minimize the gap between platform and vehicle doorway
and to permit safe passage by wheelchair users and other elderly and
handicapped persons.
(c) The standards established in paragraphs (a) and (b) of this
section do not apply to:
(1) The design, construction, or alteration of any portion of a fixed
facility which need not, because of its intended use, be made accessible
to, or usable by, the public or by physically handicapped persons;
(2) The alteration of an existing fixed facility to the extent that
the alteration does not involve the installation of, or work on,
existing stairs, doors, elevators, toilets, entrances, drinking
fountains, floors, telephone locations, curbs, parking areas, or any
other facilities susceptible of installation or improvements to
accommodate the physically handicapped (the standards do not apply to
the unaltered portions or items of an existing fixed facility);
(3) The alteration of an existing fixed facility, or of such portions
thereof, to which application of the standards is not structurally
possible; and
(4) The construction or alteration of a fixed facility for which a
grantee has, prior to May 31, 1976, issued a formal invitation for bids
to perform such construction or alteration.
(d) The final project application for any project that includes the
design, construction, or alteration of a fixed facility subject to
paragraph (a) of this section shall contain one of the following: (1)
An assurance that the standards of paragraph (a) of this section will be
adhered to in the design, construction, or alteration of such facility;
(2) a request for a finding that the project is within one of the
exceptions set out in paragraph (c) of this section (the specific
exception being identified), with appropriate supporting material; or
(3) a request pursuant to 609.25 for waiver of the standards of
paragraphs (a) and (b) of this section, with appropriate supporting
material.
49 CFR 609.15Buses.
(a) Effective with procurement solicitations containing UMTA-approved
specifications issued after (date reserved), UMTA grantees may procure
new, standard, full-size urban transit buses only if the procurement
solicitation utilizes UMTA's bid package entitled ''Transbus Procurement
Requirements,'' which requires a stationary floor height of not more
than 22 inches, an effective floor height including a kneeling feature
of not more than 18 inches, and a front door ramp or front door lift for
boarding and exiting.
(b) Paragraphs (c) through (i) of this section apply to new,
standard, full-size urban transit buses (of current or advanced design)
for which an UMTA grantee issues a procurement solicitation containing
UMTA-approved vehicle specifications on or before September 30, 1979.
In addition to the vehicles described in the above sentence, paragraphs
(d) through (i) of this section also apply to all other new transit
buses exceeding 22 feet in length for which an UMTA grantee issues a
procurement solicitation containing UMTA-approved vehicle
specifications. After September 30, 1979, the design requirements in
paragraphs (d) through (i) of this section will apply only to these
other transit buses. For any new transit buses exceeding 22 feet in
length except new, standard, full-size urban transit buses, any
requirements concerning wheelchair accessibility will be handled on a
case-by-case basis as part of the project approval process.
(c) Wheelchair accessibility option. Procurement solicitations
issued on or before September 30, 1979 containing UMTA-approved vehicle
specifications for new, standard, full-size urban transit buses (of
current or advanced design) shall provide for a bus design which permits
the addition of a wheelchair accessibility option and shall require an
assurance from each bidder that it offers a wheelchair accessibility
option for its buses. The term ''wheelchair accessibility option''
means a level change mechanism (e.g., lift or ramp), sufficient
clearances to permit a wheelchair user to reach a securement location,
and at least one wheelchair securement device.
(d) Priority seating signs. In order to maximize the safety of
elderly and handicapped persons, each vehicle shall contain clearly
legible sign(s) which indicate that seats in the front of the vehicle
are priority seats for elderly and handicapped persons, and which
encourage other passengers to make such seats available to elderly and
handicapped persons who wish to use them.
(e) Interior handrails and stanchions. (1) Handrails and stanchions
shall be provided in the entranceway to the vehicle in a configuration
which allows elderly and handicapped persons to grasp such assists from
outside the vehicle while starting to board, and to continue using such
assists throughout the boarding and fare collection processes. The
configuration of the passenger assist system shall include a rail across
the front of the interior of the vehicle which shall serve both as an
assist and as a barrier to reduce the possibility of passengers
sustaining injuries on the fare collection device or windshield in the
event of sudden deceleration. The rail shall be located to allow
passengers to lean against it for security while paying fares.
(2) Overhead handrail(s) shall be provided which shall be continuous
except for a gap at the rear doorway.
(3) Handrails and stanchions shall be sufficient to permit safe
on-board circulation, seating and standing assistance, and unboarding by
elderly and handicapped persons.
(f) Floor and step surfaces. (1) All floors and steps shall have
slip-resistant surfaces.
(2) All step edges shall have a band of bright contrasting color(s)
running the full width of the step.
(g) Lighting. (1) Any stepwell immediately adjacent to the driver
shall have, when the door is open, at least 2 foot-candles of
illumination measured on the step tread.
(2) Other stepwells shall have, at all times, at least 2 foot-candles
of illumination measured on the step tread.
(3) The vehicle doorways shall have outside light(s) which provide at
least 1 foot-candle of illumination on the street surface for a distance
of 3 feet from all points on the bottom step tread edge. Such light(s)
shall be located below window level and shielded to protect the eyes of
entering and exiting passengers.
(h) Fare collection. The farebox shall be located as far forward as
practicable and shall not obstruct traffic in the vestibule.
(i) Destination and route signs. Each vehicle shall have illuminated
signs on the front and boarding side of the vehicle.
(41 FR 18239, Apr. 30, 1976, as amended at 42 FR 48340, Sept. 23,
1977; 43 FR 41989, Sept. 19, 1978; 44 FR 47344, Aug. 13, 1979)
49 CFR 609.17Rapid rail vehicles.
(a) The requirements of this section apply to all new rapid rail
vehicles for which an UMTA grantee issues, on or after May 31, 1976, a
formal procurement solicitation containing vehicle specifications
approved by UMTA.
(b) Doorways. (1) Passenger doorways on vehicle sides shall have
clear openings at least 32 inches wide when open.
(2) The international accessibility symbol shall be displayed on the
exterior of each vehicle operating on a wheelchair accessible rapid rail
system.
(3) Audible warning signals shall be provided to alert elderly and
handicapped persons of closing doors.
(4) Where the vehicle will operate in a wheelchair accessible
station, the design of vehicles shall be coordinated with the boarding
platform design in order to minimize the gap between the vehicle doorway
and the platform and to permit safe passage by wheelchair users and
other elderly and handicapped persons.
(c) Priority seating signs. In order to maximize the safety of
elderly and handicapped persons, each vehicle shall contain clearly
legible sign(s) which indicate that certain seats are priority seats for
elderly and handicapped persons, and which encourage other passengers to
make such seats available to elderly and handicapped persons who wish to
use them.
(d) Interior handrails and stanchions. (1) Handrails and stanchions
shall be sufficient to permit safe boarding, onboard circulation,
seating and standing assistance, and unboarding by elderly and
handicapped persons.
(2) Handrails, stanchions, and seats shall be located so as to allow
a wheelchair user to enter the vehicle and position the wheelchair in a
location which does not obstruct the movement of other passengers.
(e) Floor surfaces. All floors shall have slip-resistant surfaces.
49 CFR 609.19Light rail vehicles.
(a) The requirements of this section apply to all new light rail
vehicles for which an UMTA grantee issues, on or after May 31, 1976, a
formal procurement solicitation containing vehicle specifications
approved by UMTA.
(b) Doorways. (1) Passenger doorways on vehicle sides shall have
clear openings at least 32 inches wide when open.
(2) The international accessibility symbol shall be displayed on the
exterior of each vehicle operating on a wheelchair accessible light rail
system.
(3) Audible warning signals shall be provided to alert elderly and
handicapped persons of closing doors.
(4) The design of level-entry vehicles shall be coordinated with the
boarding platform design in order to minimize the gap between the
vehicle doorway and the platform and to permit safe passage by
wheelchair users and other elderly and handicapped persons.
(c) Priority seating signs. In order to maximize the safety of
elderly and handicapped persons, each vehicle shall contain clearly
legible sign(s) which indicate that certain seats are priority seats for
elderly and handicapped persons, and which encourage other passengers to
make such seats available to elderly and handicapped persons who wish to
use them.
(d) Interior handrails and stanchions. (1) On vehicles which require
use of steps in the boarding process, handrails and stanchions shall be
provided in the entranceway to the vehicle in a configuration which
allows elderly and handicapped persons to grasp such assists from
outside the vehicle while starting to board, and to continue using such
assists throughout the boarding process.
(2) On level-entry vehicles, handrails, stanchions, and seats shall
be located so as to allow a wheelchair user to enter the vehicle and
position the wheelchair in a location which does not obstruct the
movement of other passengers.
(3) On all vehicles, handrails and stanchions shall be sufficient to
permit safe boarding, on-board circulation, seating and standing
assistance, and unboarding by elderly and handicapped persons.
(e) Floor and step surfaces. (1) All floors and steps shall have
slip-resistant surfaces.
(2) Any step edges shall have a band of bright contrasting color(s)
running the full width of the step.
(f) Lighting in step-entry vehicles. (1) Any stepwell immediately
adjacent to the driver shall have, when the door is open, at least 2
footcandles of illumination measured on the step tread.
(2) Other stepwells shall have, at all times, at least 2 footcandles
of illumination measured on the step tread.
(3) The vehicle doorways shall have outside lights which provide at
least 1 footcandle of illumination on the street surface for a distance
of 3 feet from all points on the bottom step tread edge. Such lights
shall be located below window level and shielded to protect the eyes of
entering and exiting passengers.
49 CFR 609.21Other vehicles.
Requirements for vehicles not covered by 609.15, 609.17, or 609.19
will be determined by UMTA on a case-by-case basis as part of the
project approval process.
49 CFR 609.23Reduced fare.
Applicants for financial assistance under section 5 of the Urban Mass
Transportation Act of 1964, as amended (49 U.S.C. 1604), must, as a
condition to receiving such assistance, give satisfactory assurances, in
such manner and form as may be required by the Urban Mass Transportation
Administrator and in accordance with such terms and conditions as the
Urban Mass Transportation Administrator may prescribe, that the rates
charged elderly and handicapped persons during non-peak hours for
transportation utilizing or involving the facilities and equipment of
the project financed with assistance under this section will not exceed
one-half of the rates generally applicable to other persons at peak
hours, whether the operation of such facilities and equipment is by the
applicant or is by another entity under lease or otherwise.
49 CFR 609.25Waiver.
The requirements set forth in this part may be modified or waived on
a case-by-case basis upon application to the Urban Mass Transportation
Administrator if the Administrator determines that such modification or
waiver is clearly necessary and is consistent with the intent of the
laws cited under ''Authority.'' However, a modification or waiver of
609.13(a) for a building covered by Pub. L. 90-480 will also require
the approval of the Administrator of General Services. Any request for
modification or waiver should be presented for comment at the public
hearing required prior to submission of a project application to UMTA.
In the event that the waiver is not presented at the hearing, the Urban
Mass Transportation Administrator may require a new public hearing if he
finds that the requested waiver would have a substantial effect on the
accessibility of the facility or equipment to elderly and handicapped
persons.
49 CFR 609.25 PART 613 -- PLANNING ASSISTANCE AND STANDARDS
49 CFR 609.25 Subpart A -- Urban Transportation Planning
Sec.
613.100 Urban transportation planning.
49 CFR 609.25 Subpart B -- Transportation Improvement Program
613.200 Transportation improvement program.
49 CFR 609.25 Subpart C -- Coordination of Federal and Federally
Assisted Programs and Projects
613.300 Coordination of Federal and federally assisted programs and
projects.
49 CFR 609.25 Subpart A -- Urban Transportation Planning
Authority: 23 U.S.C. 104(f)(3), 134 and 315; secs. 3, 5, 8, 9, and
9A of the Urban Mass Transportation Act of 1964, as amended (49 U.S.C.
1602, 1604, 1607, 1607a and 1607a-1); secs. 174 and 176 of the Clean
Air Act (42 U.S.C. 7504 and 7506); and 49 CFR 1.48(b) and 1.51.
49 CFR 613.100Urban transportation planning.
The urban transportation planning regulations implementing 23 U.S.C.
134 and section 8 of the Urban Mass Transportation Act of 1964, as
amended (49 U.S.C. 1607), which require comprehensive planning of
transportation improvements which are set forth in 23 CFR Part 450,
Subpart A, are incorporated into this subpart.
(48 FR 30342, June 30, 1983)
49 CFR 613.100 Subpart B -- Transportation Improvement Program
Authority: 23 U.S.C. 105, 134(a), and 135(b); secs. 3, 5, and 8(c)
of the Urban Mass Transportation Act of 1964, as amended (49 U.S.C.
1602, 1604, and 1607(c)); secs. 174, and 176 of the Clean Air Act (42
U.S.C. 7504, 7506); and 49 CFR 1.48(b) and 1.51.
49 CFR 613.200Transportation improvement program.
The transportation improvement program regulations establishing
guidelines for the development, content, and processing of a
cooperatively developed transportation improvement program in urbanized
areas which are set forth in 23 CFR Part 450, Subpart B are incorporated
into this subpart.
(48 FR 30342, June 30, 1983)
49 CFR 613.200 Subpart C -- Coordination of Federal and Federally
Assisted Programs and Projects
Authority: Pub. L. 89-754, 80 Stat. 1262, 42 U.S.C. 3334; Pub. L.
90-577, 82 Stat. 1104, 42 U.S.C. 4233; Pub. L. 91-190, 83 Stat. 852,
42 U.S.C. 4332; Pub. L. 88-352, 78 Stat. 252, 42 U.S.C. 2000; OMB
Circular A-95; 23 U.S.C. 104 (f)(3), 105, 134, 307, 315, 324; 49 CFR
1.48 (b) and 1.51(f); 49 CFR 21.7(a); The Urban Mass Transportation
Act of 1964, as amended (49 U.S.C. 1602, 1603, 1604, 1605, 1607(a), and
1612.
49 CFR 613.300Coordination of Federal and federally assisted programs
and projects.
The coordination of Federal and federally assisted programs and
projects implementing OMB revised Circular No. A-95, which are set
forth in 23 CFR Part 420, Subpart C, are incorporated into this subpart.
(41 FR 33443, Aug. 9, 1976)
49 CFR 613.300 PART 622 -- ENVIRONMENTAL IMPACT AND RELATED PROCEDURES
49 CFR 613.300 Subpart A -- Environmental Procedures
Sec.
622.101 Cross-reference to procedures.
49 CFR 613.300 Subpart B -- (Reserved)
49 CFR 613.300 Subpart C -- Requirements for Energy Assessments
622.301 Buildings.
49 CFR 613.300 Subpart A -- Environmental Procedures
Authority: 42 U.S.C. 4321 et seq. ; 49 U.S.C. 1601 et seq.; 49 CFR
1.51.
49 CFR 622.101Cross-reference to procedures.
The procedures for complying with the National Environmental Policy
Act of 1969, as amended (42 U.S.C. 4321 et seq.), and related statutes,
regulations, and orders are set forth in Part 771 of Title 23 of the
Code of Federal Regulations.
(52 FR 32660, Aug. 28, 1987)
49 CFR 622.101 Subpart B -- (Reserved)
49 CFR 622.101 Subpart C -- Requirements for Energy Assessments
Authority: Sec. 403(b), Pub. L. 95-620; E.O. 12185.
49 CFR 622.301Buildings.
(a) UMTA assistance for the construction, reconstruction, or
modification of buildings for which applications are submitted to UMTA
after October 1, 1980, will be approved only after the completion of an
energy assessment. An energy assessment shall consist of an analysis of
the total energy requirements of a building, within the scope of the
proposed construction activity and at a level of detail appropriate to
that scope, which considers:
(1) Overall design of the facility or modification, and alternative
designs;
(2) Materials and techniques used in construction or rehabilitation;
(3) Special or innovative conservation features that may be used;
(4) Fuel requirements for heating, cooling, and operations essential
to the function of the structure, projected over the life of the
facility and including projected costs of this fuel; and
(5) Kind of energy to be used, including:
(i) Consideration of opportunities for using fuels other than
petroleum and natural gas, and
(ii) Consideration of using alternative, renewable energy sources.
(b) Compliance with the requirements of paragraph (a) of this section
shall be documented as part of the Environmental Assessment or
Environmental Impact Statement for projects which are subject to a
requirement for one. Projects for which there is no environmental
assessment or EIS shall document compliance by submission of appropriate
material with the application for UMTA assistance for actual
construction.
(c) The cost of undertaking and documenting an energy assessment may
be eligible for UMTA participation if the requirements of Federal
Management Circular 74-4 (A-87) are met.
(d) This requirement shall not apply to projects for which the final
project application or environmental assessment have been submitted to
UMTA prior to October 1, 1980.
(45 FR 58038, Aug. 29, 1980)
49 CFR 622.301 PART 623 -- AIR QUALITY CONFORMITY AND PRIORITY
PROCEDURES FOR USE IN FEDERAL-AID HIGHWAY AND FEDERALLY FUNDED TRANSIT
PROGRAMS
Authority: 42 U.S.C. 4332, 7401 and 7506; 49 U.S.C. 1601 et seq.;
49 CFR 1.51.
49 CFR 623.101 Cross-reference to procedures.
The procedures for complying with the Clean Air Act Amendments of
1977 (Pub. L. 95-95, 91 Stat. 685) and related statutes, regulations,
and orders are set forth in 23 CFR Part 770.
(46 FR 8429, Jan. 26, 1981)
49 CFR 623.101 PART 630 -- UNIFORM SYSTEM OF ACCOUNTS AND RECORDS AND
REPORTING SYSTEM
Sec.
630.1 Purpose.
630.2 Scope.
630.3 Definitions.
630.4 Requirements.
630.5 Failure to report data.
630.6 Late and incomplete reports.
630.7 Inaccurate data.
630.8 Negative certification findings.
630.9 Waiver of reporting requirements.
630.10 Data adjustments.
630.11 Display of OMB control numbers.
Appendix A to Part 630 -- Overview and Explanation of the Urban Mass
Transportation Industry Uniform System of Accounts and Records and
Reporting System
Authority: Sec. 111, Pub. L. 93-503, 88 Stat. 1573 (49 U.S.C.
1611); secs. 303(a) and 304(c), Pub. L. 97-424, 96 Stat. 2141 (49
U.S.C. 1607); and 49 CFR 1.51.
Source: 52 FR 36186, Sept. 25, 1987, unless otherwise noted.
Effective Date Note: The 1988 reporting year covers local transit
agencies fiscal years ending on or between January 1, 1988 and December
31, 1988. (See 52 FR 36186, Sept. 25, 1987, which applies to all
Section 15 reporting years beginning with 1988.)
49 CFR 630.1Purpose.
The purposes of this part are to prescribe the requirements and
procedures necessary for compliance with the Uniform System of Accounts
and Records and the Reporting System which are mandated by section 15 of
the Urban Mass Transportation Act of 1964 (UMT Act), as amended, 49
U.S.C. 1611, and to set forth the procedures for addressing a reporting
agency's failure to comply with these requirements.
49 CFR 630.2Scope.
These regulations apply to all applicants and beneficiaries of
Federal financial assistance under section 9 of the UMT Act (49 U.S.C.
1604 and 1607).
49 CFR 630.3Definitions.
(a) Except as otherwise provided, terms defined in the Urban Mass
Transportation Act of 1964, as amended (49 U.S.C. 1601 et seq.), are
used in this part as so defined.
(b) Terms defined in the current edition of the Urban Mass
Transportation Industry Uniform System of Accounts and Records and
Reporting System are used in this part as so defined.
(c) For purposes of this part:
'Administrator means the Urban Mass Transportation Administrator or
the Administrator's designee.
Applicant means an applicant for assistance under section 9 of the
UMT Act.
Assistance means Federal financial assistance for the acquisition,
construction, or operation of public mass transportation services.
Beneficiary means any organization operating and delivering urban
transit services that receives benefits directly from assistance under
section 9 of the UMT Act.
Chief Executive Officer means the principal executive in charge of
and responsible for the transit or reporting agency.
Current Edition of the Urban Mass Transportation Industry Uniform
System of Accounts and Records and Reporting System means the most
recently issued edition of the Reference Volumes, as modified by any
Circulars or other written modifications, about which the reporting
agency has received reasonable notice. For the Reference Volumes,
''reasonable notice'' is given for the applicable report if the most
recent edition is mailed to the reporting agency at least 120 days
before the agency's reporting deadline. For Circulars and other written
modifications, ''reasonable notice'' is given if the reporting agency is
mailed the modifications at least 30 days before a reporting deadline.
However, UMTA reserves the right to waive these notice requirements in
unique cases that require immediate implementation (such as a change in
the statute).
Days means calendar days.
Deadhead miles means the miles a vehicle travels when out of service,
i.e., returning to the garage, changing routes, etc., or when there is
no reasonable expectation of carrying revenue passengers. The total
miles traveled by revenue vehicles consist of miles traveled when in
revenue service and these deadhead miles.
Mass Transportation Agency or transit agency means an agency
authorized to transport people by bus, rail, or other conveyance, either
publicly or privately owned, and which provides to the public general or
special service (but not including school, charter, or sightseeing
service) on a regular and continuing, scheduled or unscheduled, basis.
Transit agencies are classified according to the mode of transit service
operated. A multi-mode transit agency is one operating two or more
modes, as such modes are defined in the current edition of the Urban
Mass Transportation Industry Uniform System of Accounts and Records and
Reporting System.
Metropolitan Planning Organization means the organization designated
by the Governor as being responsible, together with the State, for
carrying out the provisions of 23 U.S.C. 134 (Federal-Aid Highway
Planning Requirements) and capable of meeting the requirements of 49
U.S.C. 1607(a) (Urban Mass Transportation Planning Requirements). This
organization is the forum for cooperative decisionmaking by principal
elected officials of general purpose local government.
Reference Volume(s) means the current edition of the Urban Mass
Transportation Industry Uniform System of Accounts and Records, which is
composed of Volume I -- General Description; Volume II -- Uniform
System of Accounts and Records; and Reporting Manual and Sample Forms
(All Reporting Levels). These Volumes are subject to periodic revision.
Beneficiaries and applicants are responsible for ensuring that they are
using the current edition of the Reference Volumes.
Reporting agency means the agency required to submit a report under
section 15.
The UMT Act means the Urban Transportation Act of 1964, as amended.
(49 U.S.C. 1601 et seq.)
Vehicle revenue miles means the miles a vehicle travels when in
revenue service. A transit vehicle is in revenue service only when the
vehicle is available to the public and there is reasonable expectation
of carrying passengers that either directly pay fares, are subsidized by
public policy, or provide payment through some contract arrangement.
49 CFR 630.4 Requirements.
(a) Uniform System of Accounts and Records. Each applicant for and
direct beneficiary of Federal financial assistance under the UMT Act
must comply with the applicable requirements of the section 15 Uniform
System of Accounts and Records, as set forth in the current edition of
the ''Urban Mass Transportation Industry Uniform System of Accounts and
Records and Reporting System,'' Circulars, and other reference
documentation.
(b) Reporting System. Each applicant for and direct beneficiary of
Federal financial assistance under the UMT Act must comply with the
applicable requirements of the section 15 Reporting System, as set forth
in the current edition of the ''Urban Mass Transportation Industry
Uniform System of Accounts and Records and Reporting System,''
Circulars, and other reference documentation.
(c) Copies. Copies of the referenced documents are available from
the Urban Mass Transportation Administration, Office of Grants
Management, Audit Reviews and Analysis Division (UGM-13), 400 7th
Street, SW., Room 9315, Washington, DC 20590. These materials are
subject to periodic revision. Revisions of these documents will be
mailed to all persons required to comply, and a Notice of any
significant change in these materials will be published in the Federal
Register.
49 CFR 630.5 Failure to report data.
(a) Declaration of ineligibility. Failure to report data in
accordance with this part and the current edition of the Urban Mass
Transportation Industry Uniform System of Accounts and Records and
Reporting System will result in the Administrator declaring the
reporting agency ineligible to receive directly or indirectly (e.g., a
public agency receiving UMTA funds through another public agency rather
than directly from UMTA) any section 9 grants during an entire Federal
fiscal year. This shall be the fiscal year for which the section 9
apportionment is based, in part, on data from the prior section 15
reporting year for which the agency failed to submit a report. This
ineligibility applies to all reporting agencies without regard to the
size of the urbanized area served by the reporting agency.
(b) Notification of ineligibility. A reporting agency which fails to
report data in accordance with this part shall receive written
notification from the Administrator of its ineligibility to receive any
section 9 grants in the particular fiscal year.
(c) Status of ineligibility declaration. Notification to a reporting
agency of its ineligibility for section 9 grants will constitute a final
UMTA action.
49 CFR 630.6Late and incomplete reports.
(a) A report is to be received by UMTA not later than the 120th day
following the last day of the reporting agency's fiscal year.
(1) There is an automatic 15 day grace period immediately following
the 120 days after the reporting agency's fiscal year in which UMTA will
accept receipt of a Section 15 Report without the report being
considered late.
(2) Failure to submit the required report by the date due or last day
of the grace period will be treated under 630.5 as failure to report
data.
(3) An extension of 30 days after the due date provided for in
630.6(a) may be requested by a reporting agency. UMTA shall consider
such a request only if it is received at least 15 days in advance of the
original due date. UMTA shall grant one 30-day extension upon a showing
of good cause. Administrative convenience of the reporting agency does
not constitute good cause.
(4) A second 30-day extension after the due date provided for in
630.6(a) will be granted at the Administrator's discretion only where
unforseeable circumstances beyond the reporting agency's control have
made it impossible to meet the due date. No second extensions will be
granted if they would delay the apportionment of formula grants to other
grantees.
(b) Incomplete reports. Omissions other than missing auditors'
section 9 data certifications and financial certifications.
(1) Submission of a report which does not contain all of the required
reporting forms, data, or Chief Executive Officer certification for
services directly operated by the reporting agency in substantial
conformance with the definitions, procedures, and format requirements
set out in the Section 15 Uniform System of Accounts and Records and
Reporting System shall be treated under 630.5 as failure to report
data.
(2) The Administrator may, at the Administrator's discretion, treat
an incomplete report as defined in 630.6(b)(i) as a request for up to a
thirty day extension. The extension will be effective on the date of
UMTA's written notification letter to the reporting agency that the
report is incomplete. Failure to adequately respond to the issues in
UMTA's notification letter within the time frame specified will be
treated under 630.5 as failure to report data.
(3) Submission of a Report with incomplete data or missing forms for
services provided under contract to the reporting agency by private or
public carriers shall not be treated under 630.5 as failure to report
data.
(4) Submission of a Report which does not contain the statement from
the Metropolitan Planning Organization (MPO) or a late or incomplete MPO
statement shall not be treated as failure to report data under 630.5.
(c) Incomplete Reports -- Auditor Certification. (1) Submission of
an otherwise complete Report that does not contain an independent
auditor's certification of the data used to compute section 9
apportionments and of the financial data, if required, but that contains
the required certification by the Chief Executive Officer and commitment
to obtain the required auditor's certification(s) in a timely manner,
will result in the Administrator's including the data in the calculation
of the urbanized area's section 9 apportionment but withholding any new
grants to the reporting agency until after proper certification(s) has
(have) been received and accepted by the Administrator. Reporting
agencies should submit reports on time, even if the certifications are
not completed or if local activities are underway to resolve auditor
disputes of the data reported.
(2) If as a result of the auditor's certification(s) the data are
changed or disputed, UMTA shall make necessary adjustments in a future
year's apportionment.
49 CFR 630.7 Inaccurate data.
(a) Vehicle Revenue Miles. (1) A transit agency's vehicle revenue
mile data may be rebuttably presumed to be erroneous if the independent
auditor's section 9 data certification is not submitted or if the
independent auditor's section 9 data certification questions (without a
negative certification finding) the reliability of these data. In such
cases, statistical checks to validate these data will be performed for
each mode to determine if the data vary by a significant amount on the
high side from the previous year's national data set for that mode. The
previous year's statistical ranges will be determined by the
Administrator for each transit mode for which a Section 15 Report is
required to be filed.
(2) If the portion of a reporting agency's total vehicle miles which
are considered in revenue service varies significantly on the high side
from an analysis of the previous year's data, the Administrator will
send written notice to the agency's Chief Executive Officer, notifying
the Officer of that fact, and that:
(i) The transit agency's submission has triggered a rebuttable
presumption of error and has prompted a request for additional
documentation to rebut the presumption;
(ii) The Chief Executive Officer is invited to submit, within 15 days
of receipt of the notice, further documentation in support of the
vehicle revenue mile data initially submitted. Such documentation:
(A) Must include a re-certification or attestation of accuracy,
signed by the Chief Executive Officer, in order to receive
consideration; and
(B) May include, for example: Route maps; locations of garages
and/or layover points; locations of maintenance facilities; and
ridership data covering distances from the garage to the end of the
line.
(3) If the Administrator receives additional documentation and
re-certification from the Chief Executive Officer within the 15 day time
limit, the Administrator will review the documentation and make a
determination as to whether the reporting agency has adequately
justified the data.
(i) If the Administrator is satisfied that the documentation supports
the vehicle revenue mile data, the Administrator will accept the report
as submitted and so notify the agency in writing.
(ii) If the Administrator determines that the documentation supports
a vehicle revenue mile figure different from that submitted by the
reporter, the Administrator will notify the reporter's Chief Executive
Officer in a certified letter of the figure the Administrator deems
appropriate and will invite the reporting agency to accept the
determination.
(4) The Chief Executive Officer will have 15 days from the date of
receiving the Administrator's letter to resolve with the Administrator a
final figure for vehicle revenue miles. Lacking agreement on a new
figure, UMTA will use the figure in the Administrator's letter for
section 9 formula purposes.
(i) The figures used for section 9 purposes will also be used in the
processing and publishing of the Section 15 Annual Report.
(ii) The reporting agency may request that this item be given special
attention in the next triennial review of the agency. Should an
adjustment be warranted based on that review, this will be accommodated
in a future year section 9 apportionment to the extent feasible.
(iii) The use of the vehicle revenue mile figure in the
Administrator's letter will constitute a final UMTA action.
(b) Failure to respond to data validation questions. UMTA either
directly or through a contractor will review each Section 15 Report to
verify the reasonableness of the data submitted. If any of the data
does not appear reasonable, UMTA or its contractor will notify the
reporting agency of this fact and request justification to document the
accuracy of the questioned data. Failure of a reporting agency to make
a good faith response to this request will be treated under 630.5 as
failure to report data.
49 CFR 630.8 Negative certification findings.
UMTA will enter a zero for use in computing the section 9
apportionment for any questionable data item(s) in a reporting agency's
Section 15 Report if the independent auditor's section 9 data
certification for that Report indicates that any of the data do not
appear accurate or have not been collected and reported in accordance
with UMTA's definitions and/or confidence and precision levels, or
expresses any other negative finding, such as the lack of adequate
documentation or a reliable recordkeeping system.
49 CFR 630.9 Waiver of reporting requirements.
(a) Request for waivers of reporting requirements must be received 60
days before the due date in order to receive consideration.
(b) The Administrator may, at the Administrator's discretion,
consider a waiver request or grant a waiver on the Administrator's own
initiative not received 60 days in advance if good cause is shown by the
requesting party.
(c) Waivers of one or more sections of the reporting requirements may
be granted at the discretion of the Administrator on a showing that the
party seeking the waiver cannot furnish the data required without
unreasonable expense and inconvenience.
49 CFR 630.10 Data adjustments.
Errors in the data used in making the apportionment may be discovered
after any particular year's apportionment is completed. If so, UMTA
shall make adjustments to correct these errors in a subsequent year's
apportionment to the extent feasible.
49 CFR 630.11 Display of OMB control numbers.
All of the information collection requests in this part have been
approved by the Office of Management and Budget under control number
2132-0008.
49 CFR 630.11 Pt. 630, App. A
49 CFR 630.11 Appendix A to Part 630 -- Overview and Explanation of the
Urban Mass Transportation Industry Uniform System of Accounts and
Records and Reporting System
Section 15 of the Urban Mass Transportation Act of 1964, as amended
(UMT Act), provides for establishment of two information-gathering
analytic systems: A Uniform System of Accounts and Records, and a
Reporting System for the collection and dissemination of public mass
transportation financial and operating data by uniform categories. The
purpose of these two systems is to provide information on which to base
public transportation planning and public sector investment decisions.
The Section 15 program is administered by the Urban Mass Transportation
Administration (UMTA).
The Uniform System of Accounts and Records consists of:
Various categories of accounts and records for classifying financial
and operating data;
Precise definitions as to what data elements are to be included in
these categories; and
Definitions of practices for systematic collection and recording of
such information.
While a specific accounting system is recommended for this
recordkeeping, it is possible to make a translation from most existing
accounting systems to comply with the Section 15 Reporting System, which
consists of forms and procedures:
For transmitting data from transit agencies to UMTA;
For editing and storing the data; and
For UMTA to report information to various groups.
Under the terms of UMT Act section 15, all applicants for and
beneficiaries of Federal assistance under section 9 of the Act (i.e.,
under the formula grant programs) must comply with the Reporting System
and the Uniform System of Accounts and Records in order to be eligible
for Federal grants. It should be noted that separate and complete
Section 15 Reports must be submitted by or for each purchased
transportation service provider that operates 50 or more revenue
vehicles for the purchased service during the maximum service period.
This appendix presents a general introduction to the structure and
operation of the two systems. It is not a detailed set of instructions
for completion of a Section 15 Report establishment of a System of
Accounts and Records. Persons in need of more information should refer
to the current edition of the Urban Mass Transportation Industry Uniform
System of Accounts and Records and Reporting System, available from:
Urban Mass Transportation Administration, Office of Grants
Management, Audit Review & Analysis Division (UGM-13), 400 Seventh
Street SW., Room 9315, Washington, DC 20590, (202) 366-1610
The current edition of the Urban Mass Transportation Industry Uniform
System of Accounts and Records and Reporting System is composed of:
Volume I -- General Description (Jan. 10, 1977)
Volume II -- Uniform System of Accounts and Records (Jan. 10, 1977)
Reporting Manual and Sample Forms (All Reporting Levels) (April 1987)
UMTA periodically updates these reference documents or supplements
them to revise or clarify section 15 definitions and reporting forms and
instructions. Section 630.4 makes clear that reporting agencies must
use the most recent edition of the reference documents and reporting
forms to comply with the section 15 requirements. UMTA therefore urges
local officials to check with UMTA before completing a Section 15 Report
to avoid unnecessary effors and delays.
The unique characteristics of certain transportation modes require
UMTA to tailor certain information collection and recording requirements
and reporting forms to such modes. Until the 1987 report year, there
were specific reduced reporting requirements for commuter rail systems
and vanpool services.
Thus, reporting agencies that operated commuter rail systems or
vanpool services complied with the applicable requirements contained in
the reference volumes and special supplementary publications. Copies of
these documents are available from UMTA.
UMTA, in close cooperation with the transit industry, developed both
systems to be adaptable to the varying sizes of transit agencies. The
systems also provide for the varying levels of recordkeeping specificity
and complexity that are necessary to accommodate variations in size,
local laws, and modes of transport. All transit agencies covered by the
section 15 reporting and recordkeeping requirements must maintain at
least a minimum level of detail in their Section 15 Reports and Accounts
and Records Systems. This minimal level is designated R (or Required).
The Uniform Systems set out three additional, and progressively more
detailed, levels of reporting and keeping records on revenue and expense
data. The most detailed of these levels indicates the subcategories of
data that should be aggregated to record each object class or expense
function at the other levels and thus serves to define the more
aggregated data. The definitions for the required data are consistent
with and summarized from those for the more extensive voluntary data.
Reporting agencies voluntarily may adopt these levels (or modify them to
suit local needs). The three voluntary reporting and recordkeeping
levels are designated Level C (least detailed), Level B (next most
detailed) and Level A (most detailed).
The Uniform System of Accounts and Records consists of a financial
accounting and operational recordkeeping system designed for mass
transportation manager and planners. Its uniformity permits more
thorough and accurate comparisons and analyses of different transit
agencies' operating costs and efficiencies than if each had a unique
recordkeeping and accounting system. The system establishes various
categories of accounts and records for classifying mass transportation
operating and financial data, and includes precise definitions of
transportation terminology to ensure that all users share a common
understanding of how to use and interpret the data collected.
Beneficiaries of and applicants for Federal assistance are not
required to use the Uniform System of Accounts and Records in keeping
their own records. If an applicant or beneficiary chooses not to use
the System, however, it must nevertheless be able to translate its
accounts and records system to the accounts prescribed in the System.
The accounting system that the reporter uses must permit preparation of
financial and operating data that conforms to the Uniform System
directly from its records at the end of the fiscal year, and must be
consistent with the following:
(i) The data must have been developed using the accrual basis of
accounting. Those transit systems that use cash-basis accounting, in
whole or in part, will have to make work sheet adjustments in their
account books to record the data on the accrual basis.
(ii) Reporting agencies must follow or be able to directly translate
their system to the accounting treatment specified in the publication
''Urban Mass Transportation Industry Uniform System of Accounts and
Records and Reporting System.''
(iii) The reporting agency's accounting categories (chart of
accounts) must be correctly related, via a clear audit trail, to the
accounting categories prescribed in the Uniform System of Accounts and
Records and Reporting System.
In the Section 15 System, operating expenses incurred by the transit
system are classified by mode. The expenses of each mode are recorded
in two dimensions:
(i) The type of expenditure (expense object class); and
(ii) The function or activity performed.
The expense object classes are typical of those of most transit
accounting systems. Table 1 presents the expense object classes
required under section 15. Table 2 is a more detailed list which
includes recommended expense object classes that have been developed to
assist reporting agencies in implementing the section 15 requirements.
Discussion about the remaining tables appears before each table.
501. Labor
01 Operators' Salaries and Wages
02 Other Salaries and Wages
502. Fringe Benefits
503. Services
504. Materials and Supplies
01 Fuel and Lubricants
02 Tires and Tubes
99 Other Materials and Supplies
505. Utilities
506. Casualty and Liability Costs
507. Taxes
508. Purchased Transportation
01 Less Than 50 Vehicles
02 50 or More Vehicles
509. Miscellaneous Expense
510. Expense Transfers
511. Interest Expenses
512. Leases and Rentals
513. Depreciation
13 Amortization of Intangibles
514. Purchase Lease Payments
515. Related Parties Lease Agreement
516. Other Reconciling Items
501. Labor /1/
01 Operators' Salaries and Wages /1/
02 Other Salaries and Wages /1/
502. Fringe Benefits /1/
01 FICA or Railroad Retirement
02 Pension Plans (including long-term disability insurance)
03 Hospital, Medical and Surgical Plans
04 Dental Plans
05 Life Insurance Plans
06 Short-Term Disability Insurance Plans
07 Unemployment insurance
08 Workmen's Compensation Insurance or Federal Employees Liability
Act Contributions
09 Sick Leave
10 Holiday (including all premiums paid for working on holidays)
11 Vacation
12 Other Paid Absence (bereavement pay, military pay, jury duty pay,
etc.)
13 Uniform and Work Clothing Allowances
14 Other Fringe Benefits
15 Distribution of Fringe Benefits
503. Services /1/
01 Management Service Fees
02 Advertising Fees
03 Professional and Technical Services
04 Temporary Help
05 Contract Maintenance Services
06 Custodial Services
07 Security Services
99 Other Services
504. Materials and Supplies /1/
01 Fuel and Lubricants /1/
02 Tires and Tubes /1/
99 Other Materials and Supplies /1/
505. Utilities /1/
01 Propulsion Power
02 Utilities Other Than Propulsion Power
506. Casualty and Liability Costs /1/
01 Premiums for Physical Damage Insurance
02 Recoveries of Physical Damage Losses
03 Premiums for Public Liability and Property Damage Insurance
04 Payouts for Uninsured Public Liability and Property Damage
Settlements
05 Provision for Uninsured Public Liability and Property Damage
Settlements
06 Payouts for Insured Public Liability and Property Damage
Settlements
07 Recoveries of Public Liability and Property Damage Settlements
08 Premiums for Other Corporate Insurances
09 Other Corporate Losses
10 Recoveries of Other Corporate Losses
507. Taxes /1/
01 Federal Income Tax
02 State Income Tax
03 Property Tax
04 Vehicle Licensing and Registration Fees
05 Fuel and Lubricant Taxes
06 Electric Power Taxes
99 Other Taxes
508. Purchased Transportation /1/
01 Less Than 50 Vehicles /1/
02 50 or More Vehicles /1/
509. Miscellaneous Expense /1/
01 Dues and Subscriptions
02 Travel and Meetings
03 Bridge, Tunnel and Highway Tolls
04 Entertainment Expense
05 Charitable Donations
06 Fines and Penalties
07 Bad Debt Expense
08 Advertising/Promotion Media
99 Other Miscellaneous Expense
510. Expense Transfers /1/
01 Function Reclassifications
02 Expense Reclassifications
03 Capitalization of Nonoperating Costs
511. Interest Expenses /1/
01 Interest on Long-Term Debt Obligations (net of interest
capitalized)
02 Interest on Short-Term Debt Obligations
512. Leases and Rentals /1/
01 Transit Way and Transit Way Structures and Equipment
02 Passenger Stations
03 Passenger Parking Facilities
04 Passenger Revenue Vehicles
05 Service Vehicles
06 Operating Yards or Stations
07 Engine Houses, Car Shops and Garages
08 Power Generation and Distribution Facilities
09 Revenue Vehicles Movement Control Facilities
10 Data Processing Facilities
11 Revenue Collection and Processing Facilities
12 Other General Administration Facilities
513. Depreciation /1/
01 Transit Way and Transit Way Structures and Equipment
02 Passenger Stations
03 Passenger Parking Facilities
04 Passenger Revenue Vehicles
05 Service Vehicles
06 Operating Yards or Stations
07 Engine Houses, Car Shops and Garages
08 Power Generation and Distribution Facilities
09 Revenue Vehicle Movement Control Facilities
10 Data Processing Facilities
11 Revenue Collection and Processing Facilities
12 Other General Administration Facilities
13 Amortization of Intangibles
514. Purchase Lease Payments /1/
515. Related Parties Lease Agreement /1/
516. Other Reconciling Items /1/
Within each object class, the Uniform System categorizes expenditures
by four basic functions: Vehicle operations, vehicle maintenance,
non-vehicle maintenance, and general administration. UMTA has developed
the four standard functional classifications for uniformity and to
enhance the usefulness of the data collected under section 15. They may
differ significantly from the classifications formerly used by transit
operators (indeed, they have changed since the inception of the Section
15 System), but it is hoped that use of these classifications will, over
time, yield useful results.
The four functional classifications are used for recordkeeping and
reporting of R- and C-level data. Levels B and A use progressively more
detailed breakdowns of each function. Table 3 shows the three levels of
functional classifications and how they relate to each other.
Table 4 presents the revenue object classes required under section
15. Table 5 is a more detailed list which includes recommended revenue
object classes that have been developed to assist reporting agencies in
implementing the section 15 requirements.
401. Passenger Fares for Transit Service
402. Special Transit Fares
403. School Bus Service Revenues
404. Freight Tariffs
405. Charter Service Revenues
406. Auxiliary Transportation Revenues
407. Nontransportation Revenues
408. Taxes Levied Directly by Transit System
409. Local Cash Grants and Reimbursements
410. Local Special Fare Assistance
411. State Cash Grants and Reimbursements
412. State Special Fare Assistance
413. Federal Cash Grants and Reimbursements
430. Contributed Services
440. Subsidy From Other Sectors of Operations
401. Passenger Fares for Transit Service /1/
01 Full Adult Fares
02 Senior Citizen Fares
03 Student Fares
04 Child Fares
05 Handicapped Rider Fares
06 Park and Ride -- Parking Revenues Only
99 Other Primary Ride Fares
402. Special Transit Fares /1/
01 Contract Fares for Postmen
02 Contract Fares for Policemen
03 Special Route Guarantees
04 Other Special Contract Transit Fares -- State and Local Government
05 Other Special Contract Transit Fares -- Other Sources
07 Non-Contract Special Service Fares
403. School Bus Service Revenues /1/
01 Passenger Fares from School Bus Service
404. Freight Tariffs /1/
01 Hauling Freight
405. Charter Service Revenues /1/
01 Passenger Fares from Charter Service
406. Auxiliary Transportation Revenues /1/
01 Station Concessions
02 Vehicle Concessions
03 Advertising Services
04 Automotive Vehicle Ferriage
99 Other Auxiliary Transportation Revenues
407. Nontransportation Revenues /1/
01 Sales of Maintenance Services
02 Rental of Revenue Vehicles
03 Rental of Buildings and Other Property
04 Investment Income
05 Parking Lot Revenue
99 Other Nontransportation Revenues
408. Taxes Levied Directly by Transit System /1/
01 Property Tax Revenue
02 Sales Tax Revenue
03 Income Tax Revenue
04 Payroll Tax Revenue
05 Utility Tax Revenue
99 Other Tax Revenue
409. Local Cash Grants and Reimbursements /1/
01 General Operating Assistance
02 Special Demonstration Project Assistance -- Local Projects
03 Special Demonstration Project Assistance -- Local Share for State
Projects
04 Special Demonstration Project Assistance -- Local Share for UMTA
Projects
05 Reimbursement of Taxes Paid
06 Reimbursement of Interest Paid
07 Reimbursement of Transit System Maintenance Costs
08 Reimbursement for Snow Removal Costs
09 Reimbursement of Security Costs
99 Other Financial Assistance
410. Local Special Assistance /1/
01 Handicapped Citizen Fare Assistance
02 Senior Citizen Fare Assistance
03 Student Fare Assistance
99 Other Special Fare Assistance
411. State Cash Grants and Reimbursements /1/
01 General Operating Assistance
03 Special Demonstration Projects Assistance -- State Projects
04 Special Demonstration Project Assistance -- State Share for UMTA
Projects
05 Reimbursement of Taxes Paid
06 Reimbursement of Interest Paid
07 Reimbursement of Transit System Maintenance Costs
09 Reimbursement of Security Costs
99 Other Financial Assistance
412. State Special Fare Assistance /1/
01 Handicapped Citizen Fare Assistance
02 Senior Citizen Fare Assistance
03 Student Fare Assistance
99 Other Special Fare Assistance
413. Federal Cash Grants and Reimbursements /1/
01 General Operating Assistance
04 Special Demonstration Project Assistance
99 Other Financial Assistance
430. Contributed Services /1/
01 State and Local Government
02 Contra Account for Expense
440. Subsidy From Other Sectors of Operations /1/
01 Subsidy from Utility Rates
02 Subsidy from Bridge and Tunnel Tolls
99 Other Subsidies
Table 6 presents the classification for assets, liabilities and
capital accounts required under section 15. Table 7 is a more detailed
list which includes recommended balance sheet accounts that have been
developed to assist reporting agencies in implementing the Section 15
requirements.
101. Cash and Cash Items
102. Receivables
103. Materials and Supplies Inventory
104. Other Current Assets
105. Work in Progress
111. Tangible Transit Operating Property
03 Accumulated Depreciation
112. Tangible Property Other Than for Transit Operations
02 Accumulated Depreciation
121. Intangible Assets
06 Accumulated Amortization
131. Investments
141. Special Funds
151. Other Assets
201. Trade Payables
202. Accrued Payroll Liabilities
203. Accrued Tax Liabilities
204. Short-term Debt
205. Other Current Liabilities
211. Advances Payable
221. Long-Term Debt
231. Estimated Liabilities
241. Deferred Credits
301. Public (Governmental) Entity Ownership
302. Private Corporation Ownership
303. Private Noncorporate Ownership
304. Grants, Donations and Other Paid-In Capital
305. Accumulated Earnings (Losses)
101. Cash and Cash items /1/
01 Cash
02 Working (Imprest) Funds
03 Special Deposits, Interest
04 Special Deposits, Dividends
05 Special Deposits, Other
06 Temporary Cash Investments
102. Receivables /1/
01 Accounts Receivable
02 Notes Receivable
03 Interest and Dividends Receivable
04 Receivables from Associated Companies
05 Receivable Subscriptions to Capital Stock
06 Receivables for Capital Grants
07 Receivables for Operating Assistance
08 Other Receivables
09 Reserve for Uncollectible Accounts
103. Materials and Supplies Inventory /1/
104. Other Current Assets /1/
105. Work in Progress /1/
01 Unbilled Work for Others
02 Capital Projects
111. Tangible Transit Operating Property /1/
01 Property Cost
02 Leased-Out Property Cost
03 Accumulated Depreciation /1/
112. Tangible Property Other Than for Transit Operations /1/
01 Property Cost
02 Accumulated Depreciation /1/
121. Intangible Assets /1/
01 Organization Costs
02 Franchises
03 Patents
04 Goodwill
05 Other Intangible Assets
06 Accumulated Amortization /1/
131. Investments /1/
01 Investments and Advances, Associated Companies
02 Other Investments and Advances
03 Reserve for Revaluation of Investments
141. Special Funds /1/
01 Sinking Funds
02 Capital Asset Funds
03 Insurance Reserve Funds
04 Pension Funds
05 Other Special Funds
151. Other Assets /1/
01 Prepayments
02 Miscellaneous Other Assets
201. Trade Payables /1/
01 Accounts Payable
02 Payables to Associated Companies
202. Accrued Payroll Liabilities /1/
203. Accrued Tax Liabilities /1/
204. Short-Term Debt /1/
01 Notes Payable
02 Matured Equipment and Long-Term Obligations
03 Unmatured Equipment and Long-Term Obligations, Current Portion
04 Matured Interest Payable
05 Accrued Interest Payable
06 Current Pension Liabilities
205. Other Current Liabilities /1/
01 Unredeemed Fares
02 C.O.D.s Unremitted
03 Dividents Declared and Payable
04 Short-Term Construction Liabilities
05 Miscellaneous Other Current Liabilities
211. Advances Payable /1/
01 Advances Payable to Associated Companies
02 Other Advances Payable
221. Long-Term Debt /1/
01 Equipment Obligations
02 Bonds
03 Receivers' and Trustees' Securities
04 Long-Term Construction Liabilities
05 Other Long-Term Obligations
06 Unamortized Debt Discount and Expense
07 Unamortized Premium on Debt
08 Reacquired and Nominally Issued Long-Term Obligations
231. Estimated Liabilities /1/
01 Long-Term Pension Liabilities
02 Uninsured Public Liability and Property Damage Losses
03 Other Estimated Liabilities
241. Deferred Credits /1/
301. Public (Governmental) Entity Ownership /1/
302. Private Corporation Ownership /1/
01 Preferred Capital Stock
02 Common Capital Stock
03 Premiums and Assessments on Capital Stock
04 Discount on Capital Stock
05 Commission and Expense on Capital Stock
06 Capital Stock Subscribed
07 Reacquired Securities
08 Nominally Issued Securities
303. Private Noncorporate Ownership /1/
01 Sole Proprietorship Capital
02 Parnership Capital
304. Grants, Donations and Other Paid-In Capital /1/
01 Federal Government Capital Grants
02 State Government Capital Grants
03 Local Government Capital Grants
04 Nongovernmental Donations and Other Paid-in Capital
305. Accumulated Earnings (Losses) /1/
01 Accumulated Earnings (Losses)
02 Dividend Appropriations
03 Restricted Accumulated Earnings
The Uniform System of Accounts and Records also includes collecting
and recording of certain operating data elements. The required
operating data elements are listed in Table 8.
Basic Information
Transit System Identification
Contractual Relationship Identification
Vehicles (for Directly Operated and Purchased Transportation
Services) Operated in and Available for Maximum Service by Mode, Vehicle
Type, and Ownership Identification
Supplementary Information
Summary of Statistics Used for the section 9 Apportionment by Mode,
Fixed Guideway and Nonfixed Guideway Operations, Type of Service, and
Urbanized Area
Service Periods
Revenue Vehicles Maintenance Performance and Energy Consumption
Roadcalls for Mechanical Failure
Roadcalls for Other Reasons
Labor Hours for Inspection and Maintenance
Number of Light Maintenance Facilities
Energy Consumption /1/
Transit Way Mileage
Fixed Guideway Classifications for Rail and Nonrail Modes
Directional Route Miles
Miles of Track
Number of Crossings
Number of Stations
Employee Equivalents
Operating and Capital Employee Equivalents for Labor Classifications
Service Supplied
Number of Vehicles, Trains, and Passenger Cars in Operation
Total Actual Vehicle, and Passenger Car Revenue Miles
Total Scheduled Vehicle, and Passenger Car Revenue Miles
Total Actual Vehicle, Train, and Passenger Car Revenue Miles
Miles of Charter and School Bus Service
Total Actual Vehicle, Train, and Passenger Car Revenue Hours
Total Actual Vehicle, Train, and Passenger Car Hours
Hours of Charter and School Bus Service
Service Consumed
Unlinked Passenger Trips
Passenger Miles (These data must meet prescribed precision and
confidence
levels only every three years, beginning with the 1987 reporting
year,
for reporting agencies that serve urbanized areas of less than
500,000
population, or reporting agencies that directly operate 50 of fewer
revenue vehicles for all modes in maximum service, or purchased
transportation service, i.e., private or public carrier providing
transit service under contract to a public agency, except those
purchased
transportation services submitting separate Section 15 Reports)
Service Personnel Classifications
Service Operated and Nonoperated (Days) Classifications
Revenue Vehicle Inventory
The definitions for the above expense object classes, functions,
revenue object classes, balance sheet object classes, and operating date
elements are contained in the Reference Volumes.
(1) The Section 15 Reporting System consists of forms and procedures
for transmitting data from transit agencies to UMTA. All beneficiaries
of Federal financial assistance must submit the required forms and
information in order to allow UMTA to: (1) Store and generate data and
information on the Nation's mass transportation systems; and (2) (for
urbanized areas of 200,000 or more inhabitants) calculate the
apportionment allocations for the section 9 formula grant program.
Agencies submitting Section 15 Reports may only submit data for transit
services which they directly operate and purchase under contract from
public agencies and/or private carriers. Separate and complete Section
15 Reports must be submitted by or for each purchased transportation
service provider that operates 50 or more revenue vehicles for the
purchased service during the maximum service period. The reporting
requirements include the following major segments, which are based on
information assembled through the Uniform System of Accounts and
Records:
1. Balance sheet
2. Revenue report
3. Expense report
4. Nonfinancial operating data reports
5. Miscellaneous auxiliary questionnaires and subsidiary schedules
6. Data certifications
7. Metropolitan Planning Organization statement
(2) The following Table 9 lists all reporting forms required to be
filed (R-Level) by all reporting agencies:
Transit System Identification Schedule
Contractual Relationship Identification Schedule
Maximum Service Vehicles Summary Schedule -- Directly Operated
Service
Maximum Service Vehicles Summary Schedule -- Purchased Transportation
Supplemental Information Schedule
Section 9 Statistics Summary
Balance Sheet Summary Schedule
Capital Subsidiary Schedule -- Sources of Public Capital Assistance
Revenue Summary Schedule
Revenue Subsidiary Schedule -- Sources of Public Assistance
Expenses Classified by Function
Operators Wages Subsidiary Schedule /1/
Fringe Benefits Subsidiary Schedule /1/
Pension Plan Questionnaire /1/
Transit System Service Period Schedule
Revenue Vehicle Maintenance Performance and Energy Consumption
Schedule
Transit Way Mileage Schedule
Transit System Employee Equivalent Schedule
Transit System Accidents Schedule
Transit System Service Supplied, Service Consumed, Service Personnel,
and Service Operated Schedule /2/
Revenue Vehicle Inventory Schedule
(3) The Section 15 Reporting System includes several data
certification requirements:
Reporting agencies must submit with their Section 15 Report a letter
or report signed by an independent public accountant or other
responsible independent entity such as a State audit agency. This
statement must attest to the conformity, in all material respects, of
the financial data reporting forms in the Section 15 Report with the
Uniform System of Accounts and Records and Reporting System. The letter
or report shall also state whether any of the reporting forms do not
conform to the section 15 requirements, and describe the discrepancies.
A reporting agency need not submit the above financial data
certification if it meets the criteria in either Condition I or
Condition II below.
Condition I. The financial data certification requirement is waived
until further notice for those reporting agencies that have adopted the
Uniform System of Accounts and Records, and have previously submitted a
Section 15 Report compiled using the Uniform System of Accounts and
Records and certified by an independent auditor. Instead, the CEO shall
annually certify that the accounting system from which the Section 15
Report is derived follows the accounting system prescribed by the
Section 15 Uniform System of Accounts and Records.
Condition II. The financial data certification requirement is waived
until further notice for those reporting agencies that (1) use an
internal accounting system other than the accounting system prescribed
by the Uniform System of Accounts and Records, (2) use the accrual basis
of accounting, (3) directly translate their system and accounting
categories, via a clear audit trail, to the accounting treatment and
categories specified by the Section 15 Uniform System of Accounts and
Records, and (4) have previously submitted a Section 15 Report which was
compiled using the same internal accounting system and translation to
the Uniform System of Accounts and Records and which was certified by an
independent auditor. Instead, the CEO shall annually certify that each
of the above four criteria have been met.
UMTA reserves the right to periodically require independent financial
data certifications from all section 15 reporting agencies on an as
needed basis for reasons such as finding numerous reporting inaccuracies
or as the result of implementing substantial changes to the Section 15
Uniform System of Accounts and Records and Reporting System.
A suggested form of a financial data certification letter or report
follows:
''In connection with our regular examination of the financial
statements of XXXX, for the year ended XXXX, on which we have reported
separately under date of XXXX, we have also reviewed the reporting forms
listed below and included in the XXXX report for the year ended XXXX,
required under section 15 of the Urban Mass Transportation Act, for
conformity in all material respects with the requirements of the Urban
Mass Transportation Administration as set forth in its applicable
Uniform System of Accounts and Records and Reporting System. Our review
for this purpose included such tests of the accounting records and such
other auditing procedures as we considered necessary in the
circumstances. We did not make a detailed examination such as would be
required to determine that each transaction has been recorded in
accordance with the Uniform System of Accounts and Records.
Based on our review, in our opinion, the accompanying reporting forms
identified above (except as noted below) conform in all material
respects with the accounting requirements of the Urban Mass
Transportation Administration as set forth in its applicable Uniform
System of Accounts and Records and Reporting System.''
(b) Section 9 Data Certification
Certification of the data used to apportion section 9 funds is
required for Section 15 reports covering 50 or more vehicles operated in
maximum service by all modes that are in or serve urbanized areas with
populations of 200,000 or more. All section 9 data (directly operated
as well as purchased service) in the report will be certified. This
section 9 data certification must be signed by an independent auditor.
The data used to apportion section 9 funds are: directional route
miles, vehicle revenue miles, passenger miles, and operating cost. The
certification should discuss the following for each item to be used in
the section 9 formula allocation:
-- Verification that there is a system in place and maintained
for recording data in accordance with section 15 definitions. Verify
that the correct data are being measured and that there are no
systematic errors.
-- Verification that there is a system in place to record data on
a continuing basis and that the data gethering is an ongoing effort.
-- Verification that source documents are available to support
the reported data and are maintained for UMTA review and audit for a
minimum of 3 years following UMTA's receipt of the Section 15 Report.
The data must be fully documented and securely stored.
-- Verification that there is a system of internal controls to
assure the accuracy of the data collection process and recording system
and that reported documents are not altered. Verify that documents are
reviewed and signed by a supervisor as required.
-- Verification that the data collection methods are those
suggested by UMTA, or have been approved by UMTA and/or a statistical
expert as being equivalent in assuring quality and precision. Confirm
the collection methods documented are being followed.
-- Verification that the deadhead miles, computed by taking the
difference between the reported ''total actual vehicle miles'' data and
the reported ''total actual vehicle revenue miles'' data, appear to be
accurate.
-- Documentation of an analytic review of the reported data to
confirm that data are consistent with prior reporting periods and other
facts known about agency operations.
-- Documentation of the list of specific documents examined and
tests performed.
In addition, the section 9 certification should describe (1) the
procedures for determining the above attestations and (2) how revenues
were handled for purchased transportation, i.e., no revenues were
retained by the contractor or that all revenues retained by the
contractor were reported on Form 006.
The above financial and section 9 data certifications must be made by
an independent auditor. UMTA will determine independence by considering
the criteria for independence as described in the Standards For Audit of
Governmental Organizations, Programs, Activities, and Functions,
developed by the Comptroller General.
The CEO of each reporting agency is required to submit a
certification with each annual Section 15 Report. The certification
must attest:
-- To the accuracy of all data contained in the Section 15
Report;
-- That all data submitted in the Section 15 Report are in accord
with section 15 definitions;
-- If applicable, that the reporting agency's accounting system
used to derive all data submitted in the Section 15 Report is the
Section 15 Uniform System of Accounts and Records and that a Section 15
Report using this system was certified by an independent auditor in a
previous report year; and
-- If applicable, the fact that the reporting agency's internal
accounting system is other than the Uniform System of Accounts and
Records, and that its: (i) Accounting system uses the accrual basis of
accounting, (ii) accounting system is directly translated, via a clear
audit trail, to the accounting treatment and categories specified by the
Section 15 Uniform System of Accounts and Records, and (iii) accounting
system and direct translation to the Uniform System of Accounts and
Records are the same as those certified by an independent auditor in a
previous reporting year.
A suggested form of a CEO Section 15 certification statement follows:
''I hereby certify to the following concerning the financial and
non-financial/operating data submitted in the (name of agency's) Section
15 Report for its fiscal year ending XXXX:
1. The financial and non-financial/operating data (a) are accurate
and truthful records of the financial transactions and operations of the
(name of agency) and (b) conform, in all material respects, with the
accounting and definitional requirements of the Urban Mass
Transportation Administration's (UMTA) Uniform System of Accounts and
Records and Reporting System.
2. The verifications below pertain to each data item to be used in
the section 9 formula allocation. (These data include directional route
miles, vehicle revenue miles, passenger miles and operating costs.)
Discuss the following for each data item:
a. Verification that there is a system in place for recording data in
accordnce with UMTA definitions. Verify that the correct data are being
measured (e.g., vehicle revenue miles as opposed to total vehicle miles)
and that there are no systematic errors (i.e., all data are recorded).
b. Verification that there is a system to record data on a continuing
basis and that data gathering is an ongoing effort.
c. Verification that source documents are available to support the
reported data and are maintained for a minimum of three years. The data
must be fully documented and securely stored.
d. Verification that there is a system of internal controls to assure
the accuracy of the data collection process and recording system and
that reported documents are not altered. Verify that documents are
reviewed and signed by a supervisor as required.
e. Verification that the data collection methods are those suggested
by UMTA or equivalent. Verify that UMTA standards for precision and
accuracy are satisfied in that the sampling technique has either been
approved by UMTA or in advance of the UMTA approval by a statistical
expert serving the agency. Confirm the collection methods documented
are being followed.
f. Verification that the data are accurate. Documentation of an
analytic review of the reported data to confirm that data are consistent
with prior reporting periods and other facts known about agency
operations. /1/
3. The accounting system from which this Section 15 Report is derived
follows the accounting system prescribed by the Section 15 Uniform
System of Accounts and Records. The (name of agency) has adopted the
Uniform System of Accounts and Records and has previously submitted a
Section 15 Report for its fiscal year ending XXXX which was compiled
using the Uniform System of Accounts and Records and which contained an
independent auditor's section 15 financial data certification signed by
(name of independent auditor) and dated XXXX. /2/
4. The (name of agency)'s internal accounting system is other than
the accounting system prescribed by the Uniform System of Accounts and
Records but uses the accrual basis of accounting and is directly
translated, via a clear audit trail, to the accounting treatment and
categories specified by the Section 15 Uniform System of Accounts and
Records. The (name of agency) has previously submitted a Section 15
Report for its fiscal year ending XXXX which was compiled using the same
internal accounting system and translation to the Uniform System of
Accounts and Records and which contained an independent auditor's
Section 15 financial data certification signed by (name of independent
auditor) and dated XXXX /2/
Signed:
Date:
(4) All reporting agencies must submit with their annual Section 15
Report a statement from their local Metropolitan Planning Organizations
providing the agencies' operational service area square miles and
operational service area populations. Rational planning procedures must
be used to determine the operational service area and these procedures
shall be described in the statement.
/1/ Denotes required object classes.
/1/ Denotes required object classes.
/1/ Denotes required object classes.
/1/ Denotes requires object classes.
/1/ Reporting agencies with 25 or fewer revenue vehicles for all
modes directly operated in maximum service are not required to submit
this Form.
/2/ Reporting agencies that serve urbanized areas of less than
500,000 population, or reporting agencies in any size urbanized area
that directly operate 50 or fewer revenue vehicles for all modes in
maximum service, or purchased transportation services (i.e., private or
public carriers providing transit service under contract to a public
agency) except those purchased transportation services submitting
separate Section 15 Reports are required to collect Service Consumed
data for passenger miles using statistically valid sampling procedures
meeting prescribed precision and confidence levels every third year,
beginning with the 1987 reporting year.
/1/ Paragraph 2 is applicable only for reporting agencies that are in
or serve urbanized areas with populations of 200,000 or more.
/2/ Paragraph 3 or 4 may be included for reporting agencies which
meet the applicable criteria and in lieu of an independent auditor's
financial data certification.
49 CFR 630.11 PART 633 -- PROJECT MANAGEMENT OVERSIGHT
Sec.
49 CFR 630.11 Subpart A -- General Provisions
633.1 Purpose.
633.3 Scope.
633.5 Definitions.
49 CFR 630.11 Subpart B -- Project Management Oversight Services
633.11 Covered projects.
633.13 Initiation of PMO services.
633.15 Access to information.
633.17 PMO contractor eligibility.
633.19 Financing the PMO program.
49 CFR 630.11 Subpart C -- Project Management Plans
633.21 Basic requirement.
633.23 UMTA review of PMP.
633.25 Contents of a project management plan.
633.27 Implementation of a project management plan.
633.29 PMP waivers.
Authority: 49 U.S.C. 1601 et. seq., 1619.
Source: 54 FR 36711, Sept. 1, 1989, unless otherwise noted.
49 CFR 630.11 Subpart A -- General Provisions
49 CFR 633.1 Purpose.
This part implements section 324 of the Surface Transportation and
Uniform Relocation Assistance Act of 1987 (Pub. L. 100-17), which added
section 23 to the UMT Act. The part provides for a two-part program for
major capital projects receiving assistance from the agency. First,
Subpart B discusses project management oversight, designed primarily to
aid UMTA in its role of ensuring successful implementation of
federally-funded projects. Second, Subpart C discusses the project
management plan (PMP) required of all major capital projects. The PMP
is designed to enhance the recipient's planning and implementation
efforts and to assist UMTA's grant application analysis efforts.
49 CFR 633.3Scope.
This rule applies to a recipient of Federal financial assistance
undertaking a major capital project using funds made available under:
(a) Sections 3, 9, or 18 of the Urban Mass Transportation Act of
1964, as amended;
(b) 23 U.S.C. 103(e)(4); or
(c) Section 14(b) of the National Capital Transportation Amendments
of 1979 (93 Stat. 1320, Pub. L. 96-184).
49 CFR 633.5Definitions.
As used in this part:
Administrator means the Administrator of the Urban Mass
Transportation Administration or the Administrator's designee.
Days means calendar days.
Fixed guideway means any public transportation facility which
utilizes and occupies a separate right-of-way or rails. This includes,
but is not limited to, rapid rail, light rail, commuter rail, automated
guideway transit, people movers, and exclusive facilities for buses and
other high occupancy vehicles.
Full funding agreement means a written agreement between UMTA and a
recipient that establishes a financial ceiling with respect to the
Government's participation in a project; sets forth the scope of a
project; and sets forth the mutual understanding, terms, and conditions
relating to the cosntruction and management of a project.
Major capital project means a project that:
(1) Involves the construction of a new fixed guideway or extension of
an existing fixed guideway;
(2) Involves the rehabilitation or modernization of an existing fixed
guideway with a total project cost in excess of $100 million; or
(3) The Administrator determines is a major capital project because
the project management oversight program will benefit specifically the
agency or the recipient. Typically, this means a project that:
(i) Generally is expected to have a total project cost in excess of
$100 million or more to construct;
(ii) Is not exclusively for the routine acquisition, maintenance, or
rehabilitation of vehicles or other rolling stock;
(iii) Involves new technology;
(iv) Is of a unique nature for the recipient; or
(v) Involves a recipient whose past experience indicates to the
agency the appropriateness of the extension of this program.
Project management oversight means the monitoring of a major capital
project's progress to determine whether a project is on time, within
budget, in conformance with design criteria, constructed to approved
plans and specifications and is efficiently and effectively implemented.
Project management plan means a written document prepared by a
recipient that explicitly defines all tasks necessary to implement a
major capital project.
Recipient means a direct recipient of Federal financial assistance
from UMTA.
UMT Act means the Urban Mass Transportation Act of 1964, as amended.
UMTA means the Urban Mass Transportation Administration.
49 CFR 633.5 Subpart B -- Project Management Oversight Services
49 CFR 633.11Covered projects.
The Administrator may contract for project management oversight
services when the following two conditions apply:
(a) The recipient is using funds made available under section 3, 9,
or 18 of the Urban Mass Transportation Act of 1964, as amended; 23
U.S.C. 103(e)(4); or section 14(b) of the National Capital
Transportation Amendments of 1979; and
(b) The project is a ''major capital project''.
49 CFR 633.13 Initiation of PMO services.
PMO services will be initiated as soon as it is practicable, once the
agency determines this part applies. In most cases, this means that PMO
will begin during the preliminary engineering phase of the project.
However, consistent with other provisions in this part, the
Administrator may determine that a project is a ''major capital
project'' at any point during its implementation. Should this occur,
PMO will begin as soon as practicable after this agency determination.
49 CFR 633.15 Access to information.
A recipient of UMTA funds for a major capital project shall provide
the Administrator and the PMO contractor chosen under this part access
to its records and construction sites, as reasonably may be required.
49 CFR 633.17 PMO contractor eligibility.
(a) Any person or entity may provide project management oversight
services in connection with a major capital project, with the following
exceptions:
(1) An entity may not provide PMO services for its own project; and
(2) An entity may not provide PMO services for a project if there
exists a conflict of interest.
(b) In choosing private sector persons or entities to provide project
management oversight services, UMTA uses the procurement requirements in
the government-wide procurement regulations, found at 48 CFR CH I.
49 CFR 633.19 Financing the PMO program.
(a) UMTA is authorized to expend up to 1/2 of 1 percent of the funds
made available each fiscal year under sections 3, 9, or 18 of the UMT
Act, 23 U.S.C. 103(e)(4), or section 14(b) of the National Capital
Transportation Amendments of 1979 (93 Stat. 1320) to contract with any
person or entity to provide a project management oversight service in
connection with a major capital project as defined in this part.
(b) A contract entered into between UMTA and a person or entity for
project management oversight services under this part will provide for
the payment by UMTA of 100 percent of the cost of carrying out the
contract.
49 CFR 633.19 Subpart C -- Project Management Plans
49 CFR 633.21 Basic requirement.
(a) If a project meets the definition of major capital project, the
recipient shall submit a project management plan prepared in accordance
with 633.25 of this part, as a condition of Federal financial
assistance. As a general rule, the PMP must be submitted during the
grant review process and is part of UMTA's grant application review.
This section applies if:
(1) The project fails under one of the automatic major capital
investment project categories ( 633.5(1) or (2) of this part); or
(2) UMTA makes a determination that a project is a major capital
project, consistent with the definition of major capital project in
633.5. This determination normally will be made during the grant review
process. However, UMTA may make such determination after grant
approval.
(b)(1) UMTA will notify the recipient when it must submit the PMP.
Normally, UMTA will notify the recipient sometime during the grant
review process. If UMTA determines the project is major under its
discretionary authority after the grant has been approved, UMTA will
inform the recipient of its determination as soon as possible.
(2) Once UMTA has notified the recipient that it must submit a plan,
the recipient will have a minimum of 90 days to submit the plan.
49 CFR 633.23UMTA review of PMP.
Within 60 days of receipt of a project management plan, the
Administrator will notify the recipient that:
(a) The plan is approved;
(b) The plan is disapproved, including the reasons for the
disapproval;
(c) The plan will require modification, as specified, before
approval; or
(d) The Administrator has not yet completed review of the plan, and
state when it will be reviewed.
49 CFR 633.25Contents of a project management plan.
At a minimum, a recipient's project management plan shall include --
(a) A description of adequate recipient staff organization, complete
with well-defined reporting relationships, statements of functional
responsibilities, job descriptions, and job qualifications;
(b) A budget covering the project management organization,
appropriate consultants, property acquisition, utility relocation,
systems demonstration staff, audits, and such miscellaneous costs as the
recipient may be prepared to justify;
(c) A construction schedule;
(d) A document control procedure and recordkeeping system;
(e) A change order procedure which includes a documented, systematic
approach to the handling of construction change orders;
(f) A description of organizational structures, management skills,
and staffing levels required throughout the construction phase;
(g) Quality control and quality assurance programs which define
functions, procedures, and responsibilities for construction and for
system installation and integration of system components;
(h) Material testing policies and procedures;
(i) Plan for internal reporting requirements including cost and
schedule control procedures; and
(j) Criteria and procedures to be used for testing the operational
system or its major components;
49 CFR 633.27Implementation of a project management plan.
(a) Upon approval of a project management plan by the Administrator
the recipient shall begin implementing the plan.
(b) If a recipient must modify an approved project management plan,
the recipient shall submit the proposed changes to the Administrator
along with an explanation of the need for the changes.
(c) A recipient shall submit periodic updates of the project
management plan to the Administrator. Such updates shall include, but
not be limited to:
(1) Project budget;
(2) Project schedule;
(3) Financing, both capital and operating;
(4) Ridership estimates, including operating plan; and
(5) Where applicable, the status of local efforts to enhance
ridership when estimates are contingent, in part, upon the success of
such efforts.
(d) A recipient shall submit current data on a major capital
project's budget and schedule to the Administrator on a monthly basis.
49 CFR 633.29PMP waivers.
A waiver will be considered upon initiation by the grantee or by the
agency itself. The Administrator may, on a case-by-case basis, waive:
(a) Any of the PMP elements in 633.25 of this part if the
Administrator determines the element is not necessary for a particular
plan; or
(b) The requirement of having a new project management plan submitted
for a major capital project if a recipient seeks to manage the major
capital project under a previously-approved project management plan.
49 CFR 633.29 PART 635 -- SECTION 5 -- FORMULA GRANT URBAN MASS TRANSIT PROGRAM -- REQUIREMENTS
49 CFR 633.29 Subpart A -- Public Hearing Requirements for Fare Changes
and Substantial Service Changes
Sec.
635.1 Purpose.
635.2 Definitions.
635.3 Assurances.
635.7 When hearing is required.
635.9 Hearing requirements.
635.11 Sanctions.
Appendix A -- Format for Assurance of Compliance with Section 5(I)(3)
Authority: 49 U.S.C. 1604(i)(3) (sec. 5(i)(3) of the Urban Mass
Transportation Act of 1964, as amended); 49 CFR 1.51.
Source: 45 FR 26300, Apr. 17, 1980, unless otherwise noted.
49 CFR 633.29 Subpart A -- Public Hearing Requirements for Fare Changes and Substantial Service Changes
49 CFR 635.1Purpose.
(a) Section 5(i)(3) of the Urban Mass Transportation Act of 1964, as
amended (hereinafter referred to as the Act), requires that recipients
of section 5 funds must make ''assurances satisfactory to the Secretary
that any public mass transportation system receiving financial
assistance under such project will not change any fare and will not
substantially change any service except: (1) After having held public
hearings or having afforded an adequate opportunity for such hearings,
after adequate public notice, (2) after having given proper
consideration to views and comments expressed in such hearings, and (3)
after having given consideration to the effect on energy conservation,
and the economic, environmental, and social impact of the change in such
fare or such service.''
(b) This subpart sets out the regulations implementing the statutory
requirement that a public hearing be held for changes in fares and
substantial changes in service.
49 CFR 635.2Definitions.
As used in this subpart:
(a) Recipient means a Governor or entity designated as a recipient
under section 5(b) of the Urban Mass Transportation Act of 1964, as
amended. The recipient undertakes the legal responsibility for carrying
out section 5 projects directly by lease, by contract, or otherwise.
(b) A transit route is a route over which a transit vehicle travels
which is specifically labelled or numbered for the purpose of picking up
or discharging passengers at regularly scheduled stops and intervals.
(c) A transit route mile is a distance of one statute mile along a
route regularly travelled by transit vehicles while available for the
general public to carry passengers. The length of a route is the round
trip distance traversed in traveling completely over the route and
returning to the starting point to begin another circuit of the route.
If a route is only defined in one direction, then this one-directional
distance is the route length.
(d) A transit revenue vehicle mile is a distance of one statute mile
travelled while a transit vehicle is available to the general public to
carry passengers.
(e) Ridership means the number of unlinked revenue passenger trips
carried. An unlinked passenger trip does not include any transfers. (A
single trip by a transit user involving three vehicles and using two
transfers is three unlinked passenger trips.)
(f) A service change is any addition or deletion resulting in the
physical realignment of a transit route, or a change in the type or
frequency of service provided in a specific, regularly scheduled transit
route.
(g) Experimental service change is an addition of service to an
existing transit route, or the establishment of a new transit route.
49 CFR 635.3Assurances.
(a) Each recipient of section 5 funds must execute and submit the
assurance in Appendix A of this subpart. This assurance must be
executed and submitted even though the recipient has previously
submitted an assurance prior to May 17, 1980. The new assurance will
replace any previously submitted assurance.
(b) The assurance may be incorporated in the one-time submission of
standard assurances required under UMTA Circular C 9050.1 (section 5
operating grants) or UMTA Circular C 9100.1 (section 5 capital grants).
(c) Each recipient must abide by the terms and conditions stated in
the assurance, until the recipient either submits a certification under
section 9(e)(3)(H) of the Act or is in an area that no longer is an
urbanized area.
(45 FR 26300, Apr. 17, 1980, as amended at 51 FR 36403, Oct. 10,
1986)
49 CFR 635.7When hearing is required.
(a) Except as provided elsewhere in this section, a hearing required
by section 5(i)(3) of the Act must be held when:
(1) There is a change in any fare;
(2) There is any change in service of:
(i) 25 percent or more of the number of transit route miles of a
route; or
(ii) 25 percent or more of the number of transit revenue vehicle
miles of a route computed on a daily basis for the day of the week for
which the change is made; or
(3) A new transit route is established.
(b) Reduced or free promotional fares which are instituted on a daily
basis or periodically within a period of 180 days are exempt from the
public hearing requirement.
(c) If a number of changes on a route in an operator's fiscal year
add up to the percentages in paragraph (a) of this section, a hearing
must be held prior to the last change.
(d) Headway adjustments of up to 5 minutes during peak hour service,
and up to 15 minutes during non-peak hour service are exempt from the
public hearing requirements.
(e) Standard seasonal variations are exempt from the public hearing
requirement unless the number, timing or type of standard seasonal
variations change.
(f) In an emergency situation, a service change may be implemented
immediately without a public hearing being held. A public hearing on
the emergency change must be held if the emergency change is to be in
effect for more than 180 days and if the change meets the test of
paragraph (a) (2) or (3). Examples of emergency service changes include
but are not limited to those made because of a power failure for a rail
or fixed guideway system, the collapse of a bridge over which bus routes
pass, major road or rail construction, or inadequate supplies of fuel.
(g) Experimental service changes may be instituted for 180 days or
less without a public hearing being held. The public hearing on an
experimental service change is required if the experimental service
change remains in effect for more than 180 days and if the change meets
the tests of paragraph (a) (2) or (3). The hearing may be held prior to
the institution of, or during the period of the experimental service
change and will satisfy the requirement for a final public hearing if
the hearing notice required by 635.9 states that the experiment may
become permanent at the end of the experimental period. If a hearing is
not held prior to or during the period of the experimental service
change, the service that existed prior to the change must be
reinstituted at the end of 180 days and a public hearing held in
accordance with 635.9 before the experimental service may be continued.
(46 FR 5477, Jan. 19, 1981)
49 CFR 635.9 Hearing requirements.
(a) Prior to the institution of a fare change or to a service change
that falls within the levels established in 635.7, each recipient shall
ensure that a notice of intent to hold the public hearing is published
in a newspaper of general circulation in the urbanized area. The notice
must also be published in newspapers oriented to specific groups or
neighborhoods that may be affected.
(b) The notice must be published at less 30 days prior to the
hearing. If local or state law requires the publication of a notice
less than 30 days prior to a hearing, this requirement may be
substituted for the 30 day requirement.
(c) The notice must contain: (1) A description of the contemplated
service changes, or the fare change, as appropriate, and (2) the time
and place of the hearing. If a hearing required by 635.7(b) is held,
the notice must describe the last change being contemplated, and the
prior changes that were made.
(d) The public hearing requirement of section 5(i)(3) of the Act may
be satisfied if a fare change or substantial change in service is
addressed at a public hearing which is mandated by local or state law or
is addressed at an open meeting of a city council or a transit authority
board of directors at which public comment is accepted. The
requirements of paragraphs (a) to (c) of this section must be followed
for the hearing.
(e) If a fare change or substantial service change is mandated by the
Interstate Commerce Commission, a public utility commission or
equivalent, a state legislature or other public legislative body, the
public hearing requirement of section 5(i)(3) of the Act may be
satisfied if the public is afforded the opportunity to appear before
these bodies to present their views. The procedures and requirements
for appearance before these bodies may be followed; however, the
requirements of paragraph (a) to (c) of this section must be followed
for such a hearing. The recipient must appear before these bodies to
present its views concerning the proposed fare or service change.
49 CFR 635.11Sanctions.
(a) If a fare change or substantial service change is instituted
without the requirements of section 5(i)(3) of the Act being met, the
recipient has breached the grant agreement.
(b) When a recipient has breached an agreement because of
noncompliance with section 5(i)(3) of the Act, the UMTA Administrator
may impose one or more of the following sanctions:
(1) Require that the fare in place prior to the fare change be
reinstituted or that the service change be cancelled:
(i) Until there is compliance with section 5(i)(3); or
(ii) For a period of time equal to the period between the fare change
or service change and the date of compliance.
(2) Deny approval of the following fiscal year's section 5
application until there is compliance with section 5(i)(3).
(3) Suspend all payments under all active section 5 grants until
there is compliance with section 5(i)(3). Under this sanction, the
recipient will not suffer a loss of funds but will be unable to receive
UMTA section 5 funds from the date of notification until the date of
compliance. Funding after that time can cover the period during which
payments were suspended.
(4) Declare all costs incurred during the period of noncompliance
with section 5(i)(3) ineligible for section 5 assistance.
49 CFR 635.11 Pt. 635, App. A
49 CFR 635.11 Appendix A -- Format for Assurance of Compliance With
section 5(I)(3)
The recipient of section 5 funds hereby certifies that for any public
mass transportation system receiving financial assistance under this
project no fare changes or substantial changes in service as defined in
49 CFR 635.7 have been adopted since May 17, 1980, and assures that no
fare changes or substantial changes in service as defined in 49 CFR
635.7 will be instituted, except:
(a) After a public hearing is held or an opportunity for such hearing
is afforded, after adequate public notice;
(b) After proper consideration to views and comments expressed in
such hearing is given; and
(c) After consideration to the effect on energy conservation, and the
economic, environmental, and social impact of the change in such fare or
such service is given.
Date:
Signed:
Title:
Organization:
Editorial Note: At 55 FR 2526, Jan. 25, 1990, part 653 was
suspended until further notice.
49 CFR 635.11 PART 653 -- CONTROL OF DRUG USE IN MASS TRANSPORTATION OPERATIONS (SUSPENDED)
49 CFR 635.11 Subpart A -- General
Sec.
653.1 Purpose.
653.3 Scope.
653.5 Definitions.
653.7 Requirement to establish an anti-drug program.
653.9 Required elements of an anti-drug program.
49 CFR 635.11 Subpart B -- Drug Testing
653.11 Pre-employment testing.
653.13 Reasonable cause testing.
653.15 Post-accident testing.
653.17 Random testing.
653.19 Return to duty testing.
653.21 Testing procedures.
653.23 Qualified laboratories.
653.25 Laboratory analysis.
653.27 Medical review officer.
653.29 Retests.
49 CFR 635.11 Subpart C -- Administrative
653.31 Recordkeeping and reporting.
653.33 Release of information.
653.35 Certification of compliance.
653.37 Temporary waivers.
Authority: Urban Mass Transporation Act of 1964, as amended (49
U.S.C. 1601 et seq.); 23 U.S.C. 103(e)(4); and 49 CFR 1.51.
Source: 53 FR 47174, Nov. 21, 1988, unless otherwise noted.
49 CFR 635.11 Subpart A -- General
49 CFR 653.1 Purpose.
(a) This part requires a recipient of Federal financial assistance to
have an anti-drug program that is designed to detect the use of
prohibited drugs by sensitive safety employees and to deter sensitive
safety employees from using prohibited drugs.
(b) As part of reasonable cause drug testing program established
pursuant to this part, employers may test for drugs in addition to those
specified in this part only with approval granted by UMTA under 49 CFR
Part 40 and for substances for which the Department of Health and Human
Services has established an approved testing protocol and positive
threshold.
49 CFR 653.3 Scope.
This part applies to --
(a) a recipient of Federal financial assistance under sections 3, 9,
or 18 of the Urban Mass Transportation Act of 1964, as amended; and
(b) a recipient of Federal financial assistance under section
103(e)(4) of Title 23 of the United States Code.
49 CFR 653.5 Definitions.
As used in this part --
(a) Accident means an occurrence associated with the operation of a
revenue service vehicle, whether or not such vehicle is in revenue
service, if --
(1) An individual dies or must be taken to a medical treatment
facility;
(2) The occurrence results in property damage that is estimated to be
more than $5,000; or
(3) The occurrence must be reported to the Federal Highway
Administration, the Federal Railroad Administration, or the Coast Guard.
(b) Administrator means the Administrator of the Urban Mass
Transportation Administration or his or her designee.
(c) Anti-drug program means an anti-drug program required by this
part.
(d) Chain-of-custody procedures means those procedures set out in 49
CFR Part 40 concerning the handling of a urine sample.
(e) Pass a drug test means that a medical review officer has
determined, in accordance with 49 CFR Part 40, that the results of a
drug test administered under this part --
(1) Showed no evidence or insufficient evidence of a prohibited drug
or drug metabolite;
(2) Showed evidence of a prohibited drug or drug metabolite but there
was a legitimate medical explanation for the result;
(3) Were scientifically insufficient to warrant further action; or
(4) Were suspect because of irregularities in the administration of
the test or observation of chain of custody procedures.
(f) Prohibited drug means the following substances specified in
Schedule I or Schedule II of the Controlled Substances Act, 21 U.S.C.
801 et. seq. and published at 21 CFR 1308.11 and 21 CFR 1308.12:
marijuana; cocaine; opiates; phencyclidine (PCP); and amphetamines.
(g) Recipient means a direct recipient of Federal financial
assistance from UMTA.
(h) Revenue service vehicle means a bus, van, car, rail car,
locomotive, trolley car, trolley bus, ferry boat, or vehicle used on a
fixed guideway or incline plane used to transport passengers.
(i) Sensitive safety function means any duty related to the safe
operation of mass transportation service by a recipient, including:
(1) Operation of a revenue service vehicle, whether or not such
vehicle is in revenue service;
(2) Controlling dispatch or movement of a revenue service vehicle;
(3) Maintaining revenue service vehicles or equipment used in revenue
service; or
(4) Supervising an employee who performs a function listed in
paragraphs (i)(1) through (3) of this section.
(j) Small operator means a recipient of section 18 funds or a
recipient of UMTA funds in an urbanized area of less than 200,000 in
population.
(k) UMTA means the Urban Mass Transportation Administration.
49 CFR 653.7 Requirement to establish an anti-drug program.
A recipient shall certify to UMTA, in accordance with section 653.35
of this part, that it or any operator providing mass transportation
services for it with Federal financial assistance has established and
implemented an anti-drug program as prescribed by this part.
49 CFR 653.9 Required elements of an anti-drug program.
(a) An anti-drug program shall contain the following:
(1) A policy statement on drug use in the workplace, adopted by the
governing body of the recipient or operator, which states that --
(i) An employee may not perform a sensitive safety function while
that employee has a prohibited drug in his or her system;
(ii) If an employee performing a sensitive safety function refuses to
take a drug test authorized under this part or is tested for drugs under
this part and does not pass the drug test, that employee shall be
relieved of his or her sensitive safety duties immediately; and
(iii) An employee who refuses to take a drug test authorized under
this part or does not pass a drug test administered under this part may
not return to a sensitive safety function until the employee has passed
a return to duty drug test required under this part.
(2) An employee education and training program for all employees who
perform sensitive safety functions. The education component shall
include display and distribution of: informational material; a
community service hot-line telephone number for employee assistance if
available; and the recipient's policy regarding drug use in the
workplace. The training component for sensitive safety employees shall
include information on the effects and consequences of drug use on
personal health, safety and the work environment, and the manifestations
and behavioral cues that may indicate drug use and abuse. Supervisory
employees shall receive at least 60 minutes of additional training on
the physical, behavioral, and performance indicators of probable drug
use if they will be determining when an employee is subject to drug
testing based on reasonable cause under this part.
(3) A drug testing program as prescribed in Subpart B of this part
which includes testing before employment, when there is reasonable
cause, after an accident, on a random basis, and before returning to
duty after refusing to take a drug test or not passing a drug test.
49 CFR 653.9 Subpart B -- Drug Testing
49 CFR 653.11Pre-employment testing.
(a) An individual may not be hired to perform a sensitive safety
function unless the individual passes a drug test administered under
this section.
(b) An employee who does not perform a sensitive safety function may
not be assigned to perform a sensitive safety function until the
employee passes a drug test administered under this section.
(c) A pre-employment drug test required by this section may be
administered only after the person to be tested is informed that the
urine sample being collected will be tested for evidence of --
(1) Marijuana;
(2) Cocaine;
(3) Opiates;
(4) Phencyclidine (PCP); and
(5) Amphetamines.
49 CFR 653.13Reasonable cause testing.
(a) An employee who performs a sensitive safety function and who is
reasonably suspected of using a prohibited drug must be administered a
drug test under this section.
(b) (1) Except as provided in paragraph (b)(2) of this section, an
employee is reasonably suspected of using a prohibited drug when two
supervisors who are trained in the detection of drug use under 653.9(2)
articulate and can substantiate specific behavioral, performance or
contemporaneous physical indicators of probable drug use.
(2) An employee of a small operator is reasonably suspected of using
a prohibited drug when a supervisor who is trained in the detection of
drug use under 653.9(a)(2) articulates and can substantiate specific
behavioral, performance or contemporaneous physical indicators of
probable drug use.
49 CFR 653.15Post-accident testing.
(a) An employee who performed a sensitive safety function that either
contributed to an accident, or cannot be completely discounted as a
contributing factor to an accident, must be administered a drug test
under this section.
(b) A decision not to administer a drug test under this section shall
be made by an individual, designated by the recipient or operator, who
was not involved in the accident. The determination shall be based on
the best information available at the time.
(c) The urine sample for a post-accident drug test required by this
section shall be collected as soon as possible but not later than 32
hours after the accident.
49 CFR 653.17Random testing.
(a) An employee who performs a sensitive safety function shall be
subject to drug testing on an unannounced and random basis.
(b) Except as provided in paragraph (e) of this section, a recipient
must administer a number of drug tests under this section equal to 50
percent of all employees who perform sensitive safety functions each
calendar year.
(c) Each employee who performs a sensitive safety function shall be
in a pool from which random selection is made. Each employee in the
pool shall have an equal chance of selection and shall remain in the
pool, even after the employee has been tested.
(d) An employee shall be selected for drug testing on a random basis
by using a scientifically valid random number generation method.
(e) During the first 12 months following the institution of random
drug testing under this section, a recipient or operator shall meet the
following conditions.
(1) The random drug testing is spread reasonably through the 12-month
period;
(2) The last test collection during the year is conducted at an
annualized rate of 50 percent; and
(3) The total number of tests administered during the 12 months is
equal to at least 25 percent of all employees who perform sensitive
safety functions.
49 CFR 653.19Return to duty testing.
(a) An employee who refuses to take or does not pass a drug test
administered under this part may not return to a sensitive safety
function until the employee passes a drug test administered under this
section and the medical review officer has determined that the employee
may return to duty.
(b) An employee who must be tested under this section may be
administered an unannounced drug test for up to 60 months after the
employee returns to a sensitive safety function.
49 CFR 653.21Testing procedures.
An anti-drug program shall ensure that the administration of a drug
test under this part is consistent with 49 CFR Part 40.
49 CFR 653.23 Qualified laboratories.
An anti-drug program may use a drug testing laboratory site only if
the laboratory site --
(a) Is certified by the Department of Health and Human Services to do
drug testing for Federal agencies under the 'Scientific and Technical
Guidelines for Drug Testing Programs' issued by the Alcohol, Drug Abuse
and Mental Health Administration on April 11, 1988; and
(b) Will permit unannounced inspections, including the examination of
all records, at any time, by the recipient or operator, or the
Administrator.
49 CFR 653.25 Laboratory analysis.
(a) A laboratory analyzing urine samples for an anti-drug program
shall test for evidence of --
(1) Marijuana;
(2) Cocaine;
(3) Opiates;
(4) Phencyclidine (PCP); and
(5) Amphetamines.
(b) The laboratory shall follow the chain of custody and testing
procedures set out in 49 CFR Part 40.
(c) If a urine sample yields a positive result on confirmation, the
laboratory shall retain the remainder of the sample in properly secured,
long-term, frozen storage for at least 365 days, as required by 49 CFR
Part 40. Within this 365-day period, the employee or representative of
the employee, the recipient or operator, medical review officer or the
Administrator may request that the laboratory retain the sample for an
additional period. If, with the 365-day period, the laboratory has not
received a proper written request to retain the sample for a further
reasonable period specified in the request, the sample may be discarded
following the end of the 365-day period.
(d) The laboratory shall report each confirmed positive test and the
level found in the sample to the medical review officer for the
anti-drug program.
49 CFR 653.27 Medical review officer.
(a) An anti-drug program shall have available the services of a
designated medical review officer who is a licensed physician with
knowledge of substance abuse disorders and appropriate medical training
to interpret and evaluate an individual's positive test result together
with his or her individual medical history and any other relevant
biomedical information.
(b) The medical review officer for an anti-drug program shall --
(1) Receive the results of all drug tests from the laboratory;
(2) Verify that the laboratory report and assessment of all drug test
results are reasonable;
(3) Determine whether an individual passes a drug test;
(4) Report each test that does not pass to the individual whom the
recipient or operator has designated to receive the results; and
(5) Determine whether an employee who refused to take or did not pass
a drug test administered under this part may return to duty.
(c) When reviewing each confirmed positive test result under this
section, the medical review officer may review the individual's medical
history, including any medical records and biomedical information
provided, in determining whether there is a legitimate medical
explanation for the result, including the use of a legally prescribed
medication.
(d) A medical review officer may request the laboratory to analyze
the original urine sample again in order to verify the accuracy of the
test result reported to the medical review officer.
49 CFR 653.29 Retests.
(a) An employee who does not pass a drug test administered under this
part may request that the original urine sample be analyzed again.
(b) An employee requesting a retest under this section must submit a
written request within 60 days of the employee's receipt of the test
result. The employee may specify retesting by the original laboratory
site or by a second laboratory site that is certified to perform drug
tests by the Department of Health and Human Services. The originating
laboratory must follow chain-of-custody procedures when transferring the
sample.
(c) An employee making a request for a retest under this section may
be required to advance the cost of the additional analysis and all costs
associated with the transfer of the specimen to another laboratory,
including shipping and handling. If the retest results in the employee
passing the drug test, the recipient or operator shall reimburse any
costs collected in advance.
(d) In a retest under this section some analytes may deteriorate
during storage. The detected levels of the drug below the detection
limits established in 49 CFR Part 40, but equal to or greater than the
established sensitivity of the assay, shall, as technically appropriate,
be reported and considered corroborative of the original positive
results.
49 CFR 653.29 Subpart C -- Administrative
49 CFR 653.31 Recordkeeping and reporting.
(a) An anti-drug program shall include the collection, reporting, and
retention of information as required by this section.
(b) Each recipient or operator is responsible for maintaining all
records related to the administration and results of the drug testing
program for its applicants and employees. A recipient or operator shall
retain all records related to the collection process and the reports of
individuals not passing a drug test for at least five years. The
recipient or operator shall retain the reports of individuals passing a
drug test for at least one year.
(c) The medical review officer shall maintain individual test
results. The medical review officer shall keep the reports of
individual test results that do not pass a drug test for at least five
years. The medical review officer shall keep the reports of individual
test results that pass a drug test for at least one year.
(d) A recipient or operator shall permit the Administrator to examine
records related to the administration and results of drug testing under
this part.
(e) A recipient must submit a semi-annual report to the Administrator
no later than February 15 and August 15 of each year. The semi-annual
report due August 15 must summarize the information listed in paragraph
(c) of this section for the anti-drug program of the recipient and its
operators from January 1 to June 30 of that year. The semi-annual
report due February 15 must summarize the information listed in
paragraph (c) of this section for the anti-drug program of the recipient
and its operators from July 1 to December 31 of the prior year.
(f) A semi-annual report under this section must include the
following information for each mode of transportation provided by the
recipient:
(1) The total number of drug tests administered;
(2) The number of drug tests administered in each occupational
category (e.g., vehicle operator);
(3) The number of drug tests administered in each testing category
(i.e., pre-employment, post-accident, reasonable cause, random, and
return to duty);
(4) The number of post-accident drug tests administered in each
accident category (i.e., fatal, personal injury, or property damage);
(5) For post-accident tests, the number of hours between the accident
and the collection of a urine specimen;
(6) The total number of individuals who did not pass a drug test;
(7) The number of individuals who did not pass a drug test by
occupational category (e.g., vehicle operator);
(8) The number of individuals who did not pass a drug test by testing
category (e.g., reasonable cause);
(9) The number of individuals who did not pass a post-accident drug
test by accident category (e.g., fatal);
(10) The disposition of each individual who did not pass a drug test;
(11) The number of drug tests submitted to the laboratory that showed
evidence of one or more prohibited drugs or drug metabolites in the
immunoassay screen in a sufficient quantity to warrant a confirmatory
test;
(12) The total number of drug tests submitted to the laboratory that
showed evidence of one or more prohibited drugs or drug metabolites in
the confirmatory test in a sufficient quantity to be reported as
positive to the medical review officer; and
(13) The number of drug tests submitted to the laboratory that showed
evidence of one or more prohibited drugs or drug metabolites in the
confirmatory test in a sufficient quantity to be reported as positive by
category (i.e., marijuana, cocaine, opiate, PCP, or amphetamine).
(g) A recipient's first semi-annual report under this section shall
cover the period from the first of the month in which the recipient or
operator began drug testing under an anti-drug program to June 30 to
December 31 of the same year, whichever is appropriate.
49 CFR 653.33 Release of information.
(a) Except as provided in this subpart, no test result or other
information from an anti-drug program may be released.
(b) The test result of an individual who was administered a drug test
under this part may be released to a third party only if the individual
tested signs a specific authorization for the release of the results to
an identified person.
(c) Nothing in this section shall prohibit a recipient or operator
from allowing an individual who is administered a drug test under this
part to receive the results of his or her drug test.
49 CFR 653.35 Certification of compliance.
(a) (1) Except as provided in paragraph (a)(2) of this section, a
recipient shall submit the first certification required by 653.7 of
this part to UMTA no later than 12 months after the effective date of
this part and annually thereafter.
(2) A small operator shall submit the first certification required by
653.7 of this part to UMTA no later than 24 months after the effective
date of this part, and annually thereafter.
(b) (1) Except as provided in paragraphs (b) (2) and (3) of this
section, the text of the certification required by 653.7 of this part
shall be as follows:
I, (name), (title), certify that (name of recipient) and all
operators providing mass transportation service for (name of recipient)
with Federal financial assistance has established and implemented an
anti-drug program in accordance with the terms of 49 CFR Part 653.
(2) The text of the certification of a recipient that provides
commuter rail transportation service regulated by the Federal Railroad
Administration shall be as follows:
I, (name), (title), certify that (name of recipient) and all
operators providing mass transportation service for (name of recipient)
with Federal financial assistance has an anti-drug program that meets
the requirements of the Federal Railroad Administration's regulations
for employees regulated by the Federal Railroad Administration, and has
established and implemented an anti-drug program in accordance with the
terms of 49 CFR Part 653 for all other employees who perform sensitive
safety functions.
(3) The text of the certification of a recipient that provides
waterborne transportation service regulated by the United States Coast
Guard shall be as follows:
I, (name), (title), certify that (name of recipient) and all
operators providing mass transportation service for (name of recipient)
with Federal financial assistance has an anti-drug program that meets
the requirements of the United States Coast Guard regulations for
employees regulated by the United States Coast Guard, and has
established and implemented an anti-drug program in accordance with the
terms of 49 CFR Part 653 for all other employees who perform sensitive
safety functions.
49 CFR 653.37Temporary waivers.
(a) A recipient that is unable to comply with all or a portion of
this part because of a conflicting state or local law in effect on the
effective date of this part may request from the Administrator a
temporary waiver from compliance with the affected provision.
(b) A request for a temporary waiver under paragraph (a) shall be
submitted to UMTA, Office of the Chief Counsel, 400 Seventh Street SW.,
Washington, DC 20590, and shall include --
(1) An opinion of counsel regarding the conflict between this part
and the law or agreement and the legal impediment to full compliance
with this part;
(2) A statement by the recipient of any action being taken to remove
the legal impediment; and
(3) A statement of when the recipient expects to be able to come into
full compliance with this part.
(c) A temporary waiver granted under this section shall include:
(1) A statement of which provision of this part is being waived; and
(2) A date when the waiver expires, which shall be no later than
December 31, 1989.
(d) (1) A recipient shall submit its first certification of
compliance with the provisions of this part which are not included in a
temporary waiver to UMTA within the time period required by 653.35 of
this part.
(2) A recipient shall submit its first certification of compliance
with the provision of this part which is included in a temporary waiver
to UMTA no later than 12 months after the expiration date of the waiver,
or the date required by 653.35 of this part, whichever is later.
49 CFR 653.37 PART 660 -- BUY AMERICA REQUIREMENTS
49 CFR 653.37 Subpart A -- General
Sec.
660.10 Purpose.
660.11 Applicability.
660.13 Definitions.
49 CFR 653.37 Subpart B -- Implementation
660.20 Purpose.
660.21 Grantee responsibility.
660.22 Determination of origin.
49 CFR 653.37 Subpart C -- Waivers
660.30 Purpose.
660.31 Application for waiver.
660.32 Types of waivers.
660.33 Relationship of waivers to bid process.
660.34 Effect of waiver.
49 CFR 653.37 Subpart D -- Enforcement
660.40 Purpose.
660.41 Initiation.
660.42 Investigation.
660.43 Failure to comply with certification.
660.44 Sanctions.
660.45 Rights of third parties.
Authority: Sec. 401, Pub. L. 95-599 (92 Stat. 2689); 49 CFR 1.51.
Source: 43 FR 57145, Dec. 6, 1978, unless otherwise noted.
49 CFR 653.37 Subpart A -- General
49 CFR 660.10 Purpose.
The purpose of this subpart is to define the terms and procedures
guiding the application of section 401, ''Buy America'', of the Surface
Transportation Assistance Act of 1978, Pub. L. 95-599.
49 CFR 660.11 Applicability.
(a) These regulations apply to all federally-assisted procurements
under grants, loans, and cooperative agreements made pursuant to the
Urban Mass Transportation Act of 1964, as amended, and sections 103(e)4
and 142 of title 23 U.S.C., for equipment and construction of facilities
in which a third party contract exceeds $500,000 and is financed by
funds administered by UMTA that have been obligated after November 6,
1978.
(a-1) The regulations in this part do not apply to any
federally-assisted procurement governed by the regulations in Part 661
of this subchapter.
(b) Only domestic end products may be procured with assistance
provided by UMTA unless the Administrator waives the application of
these requirements as set forth in Subpart C of this part.
(c) Because a domestic preference requirement, rather than an
absolute ''Buy America'' requirement, has been established, materials of
foreign origin may be considered for UMTA-assisted procurements.
(d) ''Buy America'' requirements do not apply to the procurement of
services.
(e) A determination of the origin of end products to be procured must
be made as set out in 660.22 of this part.
(f) The location where components and end products are manufactured,
mined, or produced is critical in determining their origin. The
nationality of suppliers or the employees of these suppliers does not
affect the origin of end products or components.
(g) UMTA will not participate in procurements in which a competitive
advantage is given to State or local bidders or to bidders that agree to
use State or local products.
(49 U.S.C. 1602, note (Sec. 401, Pub. L. 95-599; 92 Stat. 2689); 41
U.S.C. 10a, 10c, and 10d; 49 CFR 1.51).
(43 FR 57145, Dec. 6, 1978, as amended at 46 FR 5813, Jan. 19, 1981;
48 FR 41564, Sept. 15, 1983)
49 CFR 660.13 Definitions.
As used in this part:
(a) Act means the Surface Transportation Assistance Act of 1978 (Pub.
L. 95-599).
(b) Administrator means the Administrator of the Urban Mass
Transportation Administration (UMTA).
(c) Component means any article, material, or supply, whether
manufactured or unmanufactured, directly incorporated into an end
product at the point of final assembly. An item used in the
construction process as an aid to construction which remains at the
construction site but serves no purpose in the completed end product is
not a component.
(d) Domestic end product means an unmanufactured end product that has
been mined or produced in the United States, or a manufactured end
product determined to be domestic under 660.22 of this part.
(e) End product means an article, material or supply, whether
manufactured or unmanufactured, that is to be acquired by the grantee,
with financial assistance derived from UMTA, and that is to be delivered
to the grantee, as specified by the third party contract. In
construction projects, the deliverable of the construction contract is
the end product. Materials delivered to the jobsite and incorporated
directly into the construction end-product are components.
(f) Foreign end product means an end product other than a domestic
end product.
(g) Grantee means any entity that is a recipient of UMTA grants or
loans under the Urban Mass Transportation Act of 1964, as amended, or
under section 103(e)4 or section 142 of Title 23, United States Code.
(h) Overall project contract means each individual third party
contract for a discrete portion of the overall project.
(i) United States means the several States, the Commonwealth of
Puerto Rico, the District of Columbia, Guam, American Samoa, the Virgin
Islands, and the Commonwealth of Northern Mariana Islands.
(49 U.S.C. 1602, note (sec. 401, Pub. L. 95-599; 92 Stat. 2689); 41
U.S.C. 10a, 10c, and 10d; 49 CFR 1.51)
(43 FR 57145, Dec. 6, 1978, as amended at 46 FR 5813, Jan. 19, 1981)
49 CFR 660.13 Subpart B -- Implementation
49 CFR 660.20 Purpose.
The purpose of this subpart is to prescribe the implementation of
section 401 of the Act.
49 CFR 660.21Grantee responsibility.
(a) The grantee shall adhere to the Buy America clause set forth in
its grant agreement with UMTA. The clause directly affects any third
party contract utilizing funds obligated by UMTA after November 6, 1978.
These requirements do not apply to any third party contract financed
without UMTA funds or to any procurement or construction third party
contract not exceeding $500,000. The Buy America clause will be
included in any grant or loan agreement entered into by UMTA that
exceeds $500,000.
(b) The grantee shall include in its bid specifications for
procurement of equipment and construction of facilities within the scope
of these regulations an appropriate notice of the Buy America provision.
Such specifications shall require, as a condition of responsiveness,
that the bidder or offeror submit with the bid a completed Buy America
certificate, as set forth below:
The bidder or offeror hereby certifies that each end product, except
the end products listed below, is a domestic end product, as defined in
49 CFR 660.13(d); and that components of unknown origin have been
considered to have been mined, produced, or manufactured outside the
United States.
Excluded end products (show country of origin for each excluded end
product):
(c) The grantee shall include in its bid specifications a statement
that a waiver from the Buy America provision will be sought if the
grounds for a waiver exist.
(49 U.S.C. 1602, note (sec. 401, Pub. L. 95-599; 92 Stat. 2689); 41
U.S.C. 10a, 10c, and 10d; 49 CFR 1.51).
(43 FR 57145, Dec. 6, 1978, as amended at 46 FR 5813, Jan. 19, 1981)
49 CFR 660.22 Determination of origin.
(a) In order for a manufactured end product to be considered a
domestic end product -- (1) the cost of the domestic components must
exceed 50 percent of the cost of all its components; and (2) the final
assembly of the components to form the end product must take place in
the United States.
(b) In determining the origin of components, each component must be
treated as either entirely domestic or entirely foreign, based on the
place where the component is mined, produced, or manufactured.
Components of unknown origin must be treated as foreign. The origin of
subcomponents of components is immaterial.
(c) Transportation costs to the place of incorporation into the end
product and, in the case of foreign components, applicable duties, must
be included in determining component cost under paragraph (a) of this
section.
(d) The cost of a component is the price that a bidder or offeror
must pay to a subcontractor or supplier for components. If the
component is manufactured by the bidder or offeror, the cost of the
component is the cost of labor and materials incorporated into the
component and an allowance for profit and administrative and overhead
costs attributable to that component under normal accounting principles.
(49 U.S.C. 1602, note (sec. 401, Pub. L. 95-599; 92 Stat. 2689); 41
U.S.C. 10a, 10c, and 10d; 49 CFR 1.51)
(43 FR 57145, Dec. 6, 1978, as amended at 46 FR 5814, Jan. 19, 1981)
49 CFR 660.22 Subpart C -- Waivers
49 CFR 660.30 Purpose.
The purpose of this subpart is to describe the procedure for
obtaining waivers to section 401 of the Act, the types of statutory
waivers that exist, when in the bid process waivers can be issued, and
the effect of the waiver on bidding procedures.
49 CFR 660.31 Application for waiver.
(a) A bidder who seeks to establish grounds for any waiver described
in 660.32 must seek the waiver, in a timely manner, through the
grantee.
(b) In the case of third party contracts, only a grantee may request
a waiver. The request must be in writing, include facts and
justification to support the granting of the waiver, and be submitted to
the Administrator through the Regional Administrator.
(c) A waiver may be granted by the Administrator on his own
initiative.
(d) Each request for a waiver and UMTA's action on the request are
available for public inspection under the provisions of 49 CFR Part 601,
Subpart C.
(49 U.S.C. 1602, note (sec. 401, Pub. L. 95-599; 92 Stat. 2689); 41
U.S.C. 10a, 10c, and 10d; 49 CFR 1.51)
(43 FR 57145, Dec. 6, 1978, as amended at 46 FR 5814, Jan. 19, 1981)
49 CFR 660.32 Types of waivers.
(a) Section 401(b) of the Act provides for four instances wherein a
waiver of the ''Buy America'' provision may be granted. A waiver of the
''Buy America'' provisions will be granted if:
(1) Their application would be inconsistent with the public interest;
(2) In the case of acquisition of rolling stock, their application
would result in unreasonable cost (after granting appropriate price
adjustments to domestic products based on that portion of project cost
likely to be returned to the United States and to the States in the form
of tax revenues);
(3) Supplies of the class or kind to be used in the manufacture of
articles, materials, supplies are not mined, produced, or manufactured
in the United States in sufficient and reasonably available quantities
and of a satisfactory quality; or
(4) Inclusion of domestic material will increase the cost of the
overall project contract by more than 10 per centum.
(b) In determining whether the waiver described in paragraph (a)(1)
of this section will be granted, the Administrator considers all
appropriate factors including, but not limited to, the cost, ''red
tape'', and delay that would be imposed if the provision were not
waived. The Administrator will issue a written determination setting
forth the reasons for the granting or denial of the waiver.
(c) In determining whether the waiver described in paragraph (a)(2)
of this section will be granted, only taxes paid by the bidder will be
considered.
(d) A domestic end product will be presumed unavailable if no
responsive and responsible domestic bid has been received and a waiver
will be granted by UMTA.
(e) In determining whether the waiver in paragraph (a)(4) of this
section will be granted in cases where the apparent low bid offers
foreign end products, the lowest responsive and responsible bid offering
foreign end products will be multiplied by 1.1. If this number is less
than the lowest responsive and responsible bid offering all domestic end
products (including end products considered domestic under the provision
of 660.34(b)) then the waiver will be granted.
(f) The statutory waiver provisions of section 401 of the Act are
separate and distinct from each other. End products and components of
end products may be granted different waivers.
(49 U.S.C. 1602, note (sec. 401, Pub. L. 95-599; 92 Stat. 2689); 41
U.S.C. 10a, 10c, and 10d; 49 CFR 1.51)
(43 FR 57145, Dec. 6, 1978, as amended at 46 FR 5814, Jan. 19, 1981)
49 CFR 660.33Relationship of waivers to bid process.
(a) Waivers may be issued that apply to broad classes of grants or
particular types of end products, materials or supplies. A compilation
of these waivers is listed in Appendix A.
(b) Waivers may be issued for a particular contract at any time based
on information available to UMTA.
(49 U.S.C. 1602, note (sec. 401, Pub. L. 95-599; 92 Stat. 2689); 41
U.S.C. 10a, 10c, and 10d; 49 CFR 1.51)
(43 FR 57145, Dec. 6, 1978, as amended at 46 FR 5814, Jan. 19, 1981)
(a) The provision has been waived for all operating assistance grants
under sections 5, 17 and 18 of the UMT Act, and for any operation
assistance portions of grants under section 6 of the UMT Act.
(b) All waivers published in 41 CFR 12-6.105 which established
excepted articles, materials, and supplies for the Buy American Act of
1933, (41 U.S.C. 10a-d) as the waivers may be amended from time to time,
are incorporated by reference.
(c) The provision is waived for foreign sourced spare parts whose
total cost is 10% or less of the overall project contract cost.
(49 U.S.C. 1602, note (sec. 401, Pub. L. 95-599; 92 Stat. 2689); 41
U.S.C. 10a, 10c, and 10d; 49 CFR 1.51)
(43 FR 57145, Dec. 6, 1978, as amended at 46 FR 5814, Jan. 19, 1981)
49 CFR 660.34 Effect of waiver.
(a) If a waiver has been granted for an entire grant from UMTA or for
an overall project contract planned to be advertised by a grantee, the
bid process may proceed without any requirement that bidders make the
certification required by 660.21.
(b) If a waiver or waivers do not encompass all of the articles,
materials, and supplies scheduled to be delivered or constructed under
the contract, then the computation of the domestic component required
under 660.21 and 660.22 shall treat as domestic the articles,
materials, and supplies for which waivers have been given.
49 CFR 660.34 Subpart D -- Enforcement
49 CFR 660.40 Purpose.
The purpose of this subpart is to describe the procedures that will
be used by UMTA to enforce the provision of section 401 of the Act.
This subpart also defines the rights of third parties.
49 CFR 660.41 Initiation.
(a) It is presumed that a bidder who has submitted the certification
required by 660.21 of this part is complying with the Buy America
provision. A false certification is a criminal act in violation of 18
U.S.C. 1001.
(b) Any party may petition UMTA to investigate the compliance of a
successful bidder with the bidder's certification. If UMTA determines
that evidence indicates that the presumption of paragraph (a) of this
section has been overcome, UMTA will require the grantee to initiate an
investigation as described in 660.42.
49 CFR 660.42 Investigation.
When an investigation is initiated under 660.41(b), the grantee
shall require the successful bidder to document its compliance with its
Buy America certification. The successful bidder has the burden of
proof to establish to the grantee and to UMTA that it is in compliance
with its certification and this part.
49 CFR 660.43Failure to comply with certification.
If a successful bidder fails to demonstrate that it is in compliance
with its certification or this part, it will be required to substitute
sufficient domestic materials, articles, and supplies to meet the terms
of the original certification without revision of the original contract
terms. Failure to comply will be a breach of contract and will be
actionable under the terms of the contract and state law.
49 CFR 660.44 Sanctions.
A willful refusal to comply with certification by a successful bidder
may lead to the initiation of debarment proceedings under 29 CFR 5.6.
49 CFR 660.45 Rights of third parties.
The sole right of any third party under the Buy America provision is
to petition UMTA under the provisions of 600.41(b). No third party has
any additional right, at law or equity, for any remedy including, but
not limited to, injunctions, damages, or cancellation of the Federal
grant or contracts of the public body.
49 CFR 660.45 PART 661 -- BUY AMERICA REQUIREMENTS -- SURFACE
TRANSPORTATION ASSISTANCE ACT OF 1982, AS AMENDED
Sec.
661.1 Applicability.
661.3 Definitions.
661.5 General requirements for steel and manufactured products.
661.6 Certification requirement for procurement of steel or
manufactured products.
661.7 Waivers.
661.9 Application for waivers.
661.10 Determination of qualification under section 337(a)(2)(B) of
the STURAA.
661.11 Rolling stock procurement.
661.12 Certification requirement for procurement of buses, other
rolling stock and associated equipment.
661.13 Grantee responsibility.
661.15 Investigation procedures.
661.17 Failure to comply with certification.
661.19 Sanctions.
661.20 Rights of third parties.
661.21 State Buy America provisions.
Authority: Sec. 165, Pub. L. 97-424, as amended by Sec. 337, Pub.
L. 100-17 (49 U.S.C. 1602 note); 49 CFR 1.51.
Source: 56 FR 932, Jan. 9, 1991, unless otherwise noted.
49 CFR 661.1 Applicability.
Unless otherwise noted, this part applies to all federally assisted
procurements using funds authorized by the Urban Mass Transportation Act
of 1964, as amended; 23 U.S.C. 103(e)(4); and section 14 of the
National Capital Transportation Act of 1969, as amended.
49 CFR 661.3 Definitions.
As used in this part:
Act means the Surface Transportation Assistance Act of 1982 (Pub. L.
97-424), as amended by section 337 of the Surface Transportation and
Uniform Relocation Assistance of 1987 (Pub. L. 100-17).
Administrator means the Administrator of UMTA, or designee.
Grantee means any entity that is a recipient of UMTA funds.
Manufacutured product means an item produced as a result of
manufacturing process.
Manufacturing process means the application of processes to alter the
form or function of materials or of elements of the product in a manner
adding value and transforming those materials or elements so that they
represent a new end product functionally different from that which would
result from mere assembly of the elements or materials.
Rolling stock means transit vehicles such as buses, vans, cars,
railcars, locomotives, trolley cars and buses, and ferry boats, as well
as vehicles used for support services.
STURAA means the Surface Transportation and Uniform Relocation
Assistance Act of 1987 (Pub. L. No. 100-17).
UMTA means the Urban Mass Transportation Administration.
United States means the several States, the Commonwealth of Puerto
Rico, the District of Columbia, Guam, American Samoa, the Virgin
Islands, and the Commonwealth of the Northern Mariana Islands.
49 CFR 661.5 General requirements for steel and manufactured products.
(a) Except as provided in 661.7 and 661.11 of this part, no funds
may be obligated by UMTA for a grantee project unless all steel and
manufactured products used in the project are produced in the United
States.
(b) All steel manufacturing processes must take place in the United
States, except metallurgical processes involving refinement of steel
additives.
(c) The steel requirements apply to all steel items including, but
not limited to, structural steel, running rail and contact rail.
(d) For a manufactured product to be considered produced in the
United States:
(1) All of the manufacturing processes for the product must take
place in the United States; and
(2) All items or material used in the product must be of United
States origin.
49 CFR 661.6 Certification requirement for procurement of steel or
manufactured products.
If steel or manufactured products (as defined in 661.3 and 661.5 of
this part) are being procured, the appropriate certificate as set forth
below shall be completed and submitted by each bidder in accordance with
the requirement contained in 661.13(b) of this part.
The bidder hereby certifies that it will comply with the requirements
of section 165(a) of the Surface Transportation Assistance Act of 1982,
as amended, and the applicable regulations in 49 CFR part 661.
Date
Signature
Company Name
Title
The bidder hereby certifies that it cannot comply with the
requirements of section 165(a) of the Surface Transportation Assistance
Act of 1982, as amended, but it may qualify for an exception to the
requirement pursuant to section 165 (b)(2) or (b)(4) of the Surface
Transportation Assistance Act of 1982 and regulations in 49 CFR 661.7.
Date
Signature
Company Name
Title
49 CFR 661.7Waivers.
(a) Section 165(b) of the Act provides that the general requirements
of section 165(a) shall not apply in four specific instances. This
section sets out the conditions for the three statutory waivers based on
public interest, non-availability, and price-differential. Section
661.11 of this part sets out the conditions for the fourth statutory
waiver governing the procurement of rolling stock and associated
equipment.
(b) Under the provision of section 165(b)(1) of the Act, the
Administrator may waive the general requirements of section 165(a) if
the Administrator finds that their application would be inconsistent
with the public interest. In determining whether the conditions exist
to grant this public interest waiver, the Administrator will consider
all appropriate factors on a case-by-case basis, unless a general
exception is specifically set out in this part.
(c) Under the provision of section 165(b)(2) of the Act, the
Administrator may waive the general requirements of section 165(a) if
the Administrator finds that the materials for which a waiver is
requested are not produced in the United States in sufficient and
reasonably available quantities and of a satisfactory quality.
(1) It will be presumed that the conditions exist to grant this
non-availability waiver if no responsive and responsible bid is received
offering an item produced in the United States.
(2) In the case of a sole source procurement, the Administrator will
grant this non-availability waiver only if the grantee provides
sufficient information which indicates that the item to be procured is
only available from a single source or that the item to be procured is
not produced in sufficient and reasonably available quantities of a
satisfactory quality in the United States.
(d) Under the provision of section 165(b)(4) of the Act, the
Administrator may waive the general requirements of section 165(a) if
the Administrator finds that the inclusion of a domestic item or
domestic material will increase the cost of the contract between the
grantee and its supplier of that item or material by more than 25
percent. The Administrator will grant this price-differential waiver if
the amount of the lowest responsive and responsible bid offering the
item or material that is not produced in the United States multiplied by
1.25 is less than the amount of the lowest responsive and responsible
bid offering the item or material produced in the United States.
(e) The four statutory waivers of section 165(b) of the Act as set
out in this part shall be treated as being separate and distinct from
each other.
(f) The waivers described in paragraphs (b) and (c) of this section
may be granted for a component or subcomponent in the case of the
procurement of the items governed by section 165(b)(3) of the Act
(requirements for rolling stock). If a waiver is granted for a
component or a subcomponent, that component or subcomponent will be
considered to be of domestic origin for the purposes of 661.11 of this
part.
(g) The waivers described in paragraphs (b) and (c) of this section
may be granted for a specific item or material that is used in the
production of a manufactured product that is governed by the
requirements of 661.5(d) of this part. If such a waiver is granted to
such a specific item or material, that item or material will be treated
as being of domestic origin.
(a) All waivers published in 48 CFR 25.108 which establish excepted
articles, materials, and supplies for the Buy American Act of 1933 (41
U.S.C. 10a-d), as the waivers may be amended from time to time, apply to
this part under the provisions of 661.7 (b) and (c).
(b) Under the provisions of 661.7(b) of this part, 15 passenger vans
produced by Chrysler Corporation are exempt from the requirement that
final assembly of the vans take place in the United States (49 FR 13944,
April 9, 1984).
(c) Under the provisions of 661.7(b) of this part, 15 Passenger
Wagons produced by Chrysler Corporation are exempt from the requirement
that final assembly of the wagons take place in the United States
(letter to Chrysler Corporation dated May 13, 1987.)
(d) Under the provisions of 661.7 (b) and (c) of this part,
microcomputer equipment, including software, of foreign origin can be
procured by grantees (50 FR 18760, May 2, 1985 and 51 FR 36126, October
8, 1986).
49 CFR 661.9Application for waivers.
(a) This section sets out the application procedures for obtaining
all waivers, except those general exceptions set forth in this part for
which individual applications are unnecessary and those covered by
section 165(b)(3) of the Act. The procedures for obtaining an exception
covered by section 165(b)(3) are set forth in 661.11 of this part.
(b) A bidder who seeks to establish grounds for an exception must
seek the exception, in a timely manner, through the grantee.
(c) Except as provided in paragraph (d) of this section, only a
grantee may request a waiver. The request must be in writing, include
facts and justification to support the waiver, and be submitted to the
Administrator through the appropriate Regional Office.
(d) UMTA will consider a request for a waiver from a potential bidder
or supplier only if the waiver is being sought under 661.7 (f) or (g)
of this part.
(e) The Administrator will issue a written determination setting
forth the reasons for granting or denying the exception request. Each
request for an exception, and UMTA's action on the request, are
available for public inspection under the provisions of 49 CFR part 601,
subpart C.
49 CFR 661.10Determination of qualification under section 337(a)(2)(B)
of the STURAA.
(a) A supplier or contractor that qualifies under the provisions of
section 337(a)(2)(B) because it had supplied an item that complied with
the provisions of section 165(b)(3) of the Surface Transportation
Assistance Act of 1982 or under section 401 of the Surface
Transportation Assistance Act of 1978 must certify to this qualification
when its bid or offer is submitted. Such certification must accompany
the certification set forth in 661.12 of this part.
(b) A supplier or contractor that qualifies as a successor in
interest or assignee under the provisions of section 337(a)(2)(b) of the
STURAA is one to which has been transferred the substantial assets, such
as contracts and work in progress, designs and technology, and
manufacturing plants and staff, of a previously existing company. The
mere acquisition of an established trade name by an existing business
enterprise does not qualify as a successor in interest. A supplier or
contractor adoption of a new corporate name while maintaining continuity
in ownership and assets qualifies the supplier or contractor as a
successor in interest.
(c) Any supplier or contractor wishing to claim that it is a
successor in interest or assignee under the provisions of paragraph (b)
of this section must provide UMTA with sufficient documentation to
support its claim. If UMTA determines that a supplier or contractor
does qualify as a successor in interest or assignee, UMTA will publish
notice of this determination in the Federal Register.
49 CFR 661.11Rolling stock procurement.
(a) The provisions of 661.5 of this part do not apply to the
procurement of buses and other rolling stock (including train control,
communication, and traction power equipment), if the cost of components
which are produced in the United States is more than 50 percent of the
cost of all of the components and final assembly takes place in the
United States.
(b) Except as provided in paragraph (c) of this section, the domestic
content requirement is 55% for contracts entered into after October 1,
1989, and is 60% for contracts entered into after October 1, 1991.
(c) The domestic content requirement will be 60% for contracts
entered into after April 1, 1992, with any supplier or contractor or any
successor in interest or assignee, as determined under the provisions of
661.10 of this part, which complied with the requirements of section
165(b)(3) of the Surface Transportation Assistance Act of 1982 or
section 401 of the Surface Transportation Assistance Act of 1978 before
April 2, 1987.
(d) The increased domestic content requirements in paragraphs (b) and
(c) of this section also apply to the domestic content requirements for
the components set forth in paragraphs (i), (k), and (n) of this
section.
(e) A component is any article, material, or supply, whether
manufactured or unmanufactured, that is directly incorporated into an
end product at the final assembly location.
(f) A component may be manufactured at the final assembly location if
the manufacturing process to produce the component is a separate and
distinct activity from the final assembly of the end product.
(g) A component is considered to be manufactured if there are
sufficient activities taking place to advance the value or improve the
condition of the subcomponents of that component; that is, if the
subcomponents have been substantially transformed or merged into a new
and functionally different article.
(h) Except as provided in paragraph (m) of this section, a
subcomponent is any article, material, or supply, whether manufactured
or unmanufactured, that is one step removed from a component (as defined
in paragraph (e) of this section) in the manufacturing process and that
is incorporated directly into a component.
(i) For a component to be of domestic origin, more than 50 percent of
the subcomponents of that component, by cost, must be of domestic origin
and the manufacture of the component must take place in the United
States. If, under the terms of this part, a component is determined to
be of domestic origin, its entire cost may be utilized in calculating
the cost of domestic content of an end product.
(j) A subcomponent is of domestic origin if it is manufactured in the
United States.
(k) If a subcomponent manufactured in the United States is exported
for inclusion in a component that is manufactured outside of the United
States and it receives tariff exemptions under the procedures set forth
in 19 CFR 10.11-10.24, the subcomponent retains its domestic identity
and can be included in the calculation of the domestic content of an end
product even if a such a subcomponent represents less than 50% of the
cost of a particular component.
(l) If a subcomponent manufactured in the United States is exported
for inclusion in a component manufactured outside of the United States
and it does not receive tariff exemption under the procedures set forth
in 19 CFR 10.11-10.24, the subcomponent loses its domestic identity and
cannot be included in the calculation of the domestic content of an end
product.
(m) Raw materials produced in the United States and then exported for
incorporation into a component are not considered to be a subcomponent
for the purposes of calculating domestic content. The value of such raw
materials is to be included in the cost of the foreign component.
(n) If a component is manufactured in the United States but contains
less than 50% domestic subcomponents, by cost, the cost of the domestic
subcomponents and the cost of manufacturing the component may be
included in the calculation of the domestic content of the end product.
(o) For purposes of this section, except as provided in paragraph (q)
of this section:
(1) The cost of a component or a subcomponent is the price that a
bidder or offeror must pay to a subcontractor or supplier for that
component or subcomponent. Transportation costs to the final assembly
location must be included in calculating the cost of a component.
Applicable duties must be included in determining the cost of foreign
components and subcomponents.
(2) If a component or subcomponent is manufactured by the bidder or
offeror, the cost of the component is the cost of labor and materials
incorporated into the component or subcomponent, an allowance for
profit, and the administrative and overhead costs attributable to that
component or subcomponent under normal accounting principles.
(p) The cost of a component of foreign origin is set at the time the
bidder or offeror executes the appropriate Buy America certificate.
(q) The cost of a subcomponent which retains its domestic identity
consistent with paragraph (l) of this section shall be the cost of the
subcomponent when last purchased, f.o.b. United States port of
exportation or point of border crossing as set out in the invoice and
entry papers, or, if no purchase was made, the value of the subcomponent
at the time of its shipment for exportation, f.o.b. United States port
of exportation or point of border crossing, as set out in the invoice
and entry papers.
(r) In accordance with section 165(c) of the Act, labor costs
involved in final assembly shall not be included in calculating
component costs.
(s) The actual cost, not the bid price, of a component is to be
considered in calculating domestic content.
(t) Final assembly is the creation of the end product from individual
elements brought together for that purpose through application of
manufacturing processes. If a system is being procured as the end
product by the grantee, the installation of the system qualifies as
final assembly.
(u) An end product means any item subject to section 165(b)(3) of the
Act, that is to be acquired by a grantee, as specified in the overall
project contract.
(v) Train control equipment includes, but is not limited to, the
following equipment:
(1) Mimic board in central control.
(2) Dispathers console.
(3) Local control panels.
(4) Station (way side) block control relay cabinets.
(5) Terminal dispatcher machines.
(6) Cable/cable trays.
(7) Switch machines.
(8) Way side signals.
(9) Impedance bonds.
(10) Relay rack bungalows.
(11) Central computer control.
(12) Brake equipment.
(13) Brake systems.
(w) Communication equipment includes, but is not limited to, the
following equipment:
(1) Radios.
(2) Space station transmitter and receivers.
(3) Vehicular and hand-held radios.
(4) PABX telephone switching equipment.
(5) PABX telephone instruments.
(6) Public address amplifiers.
(7) Public address speakers.
(8) Cable transmission system cable.
(9) Cable transmission system multiplex equipment.
(10) Communication console at central control.
(11) Uninterruptible power supply inverters/rectifiers.
(12) Uninterruptible power supply batteries.
(13) Data transmission system central processors.
(14) Data transmission system remote terminals.
(15) Line printers for data transmission system.
(16) Communication system monitor test panel.
(17) Security console at central control.
(x) Traction power equipment includes, but is not limited to, the
following:
(1) Primary AC switch gear.
(2) Primary AC transformers (rectifier).
(3) DC switch gear.
(4) Traction power console and CRT display system at central control.
(5) Bus ducts with buses (AC and DC).
(6) Batteries.
(7) Traction power rectifier assemblies.
(8) Distribution panels (AC and DC).
(9) Facility step-down transformers.
(10) Motor control centers (facility use only).
(11) Battery chargers.
(12) Supervisory control panel.
(13) Annunciator panels.
(14) Low voltage facility distribution switch board.
(15) DC connect switches.
(16) Negative bus boxes.
(17) Power rail insulators.
(18) Power cables (AC and DC).
(19) Cable trays.
(20) Instrumentation for traction power equipment.
(21) Connectors, tensioners, and insulators for overhead power wire
systems.
(22) Negative drainage boards.
(23) Inverters.
(24) Traction motors.
(25) Propulsion gear boxes.
(26) Third rail pick-up equipment.
(27) Pantographs.
(y) The power or third rail is not considered traction power
equipment and is thus subject to the requirements of section 165(a) of
the Act and the requirements of 661.5 of this part.
(z) A bidder on a contract for an item covered by section 165(b)(3)
of the Act who will comply with section 165(b)(3) and regulations in
this section is not required to follow the application for waiver
procedures set out in 661.9 of this part. In lieu of these procedures,
the bidder must submit the appropriate certificate required by 661.12
of this part.
(a) The provisions of 661.11 of this part do not apply when foreign
sourced spare parts for buses and other rolling stock (including train
control, communication, and traction power equipment) whose total cost
is 10 percent or less of the overall project contract cost are being
procured as part of the same contract for the major capital item.
The following is a list of items that typically would be considered
components of a bus. This list is not all-inclusive.
Engines, transmissions, front axle assemblies, rear axle assemblies,
drive shaft assemblies, front suspension assemblies, rear suspension
assemblies, air compressor and pneumatic systems, generator/alternator
and electrical systems, steering system assemblies, front and rear air
brake assembles, air conditioning compressor assemblies, air
conditioning evaporator/condenser assemblies, heating systems, passenger
seats, driver's seat assemblies, window assemblies, entrance and exit
door assemblies, door control systems, destination sign assemblies,
interior lighting assemblies, front and rear end cap assemblies, front
and rear bumper assemblies, specialty steel (structural steel tubing,
etc.), aluminum extrusions, aluminum, steel or fiberglass exterior
panels, and interior trim, flooring, and floor coverings.
The following is a list of items that typically would be considered
components of rail rolling stock. This list is not all-inclusive.
Car shells, main transformer, pantographs, traction motors,
propulsion gear boxes, interior linings, acceleration and braking
resistors, propulsion controls, low voltage auxiliary power supplies,
air conditioning equipment, air brake compressors, brake controls,
foundation brake equipment, articulation assemblies, train control
systems, window assemblies, communication equipment, lighting, seating,
doors, door actuators and controls, couplers and draft gear, trucks,
journal bearings, axles, diagnostic equipment, and third rail pick-up
equipment.
49 CFR 661.12 Certification requirement for procurement of buses, other
rolling stock and associated equipment.
If buses or other rolling stock (including train control,
communication, and traction power equipment) are being procured, the
appropriate certificate as set forth below shall be completed and
submitted by each bidder in accordance with the requirement contained in
661.13(b) of this part.
The bidder hereby certifies that it will comply with the requirements
of section 165(b)(3), of the Surface Transportation Assistance Act of
1982, as amended, and the regulations of 49 CFR 661.11.
Date
Signature
Company Name
Title
The bidder hereby certifies that it cannot comply with the
requirements of section 165(b)(3) of the Surface Transportation
Assistance Act of 1982, as amended, but may qualify for an exception to
the requirement consistent with section 165(b)(2) or (b)(4) of the
Surface Transportation Assistance Act, as amended, and regulations in 49
CFR 661.7.
Date
Signature
Company Name
Title
49 CFR 661.13 Grantee responsibility.
(a) The grantee shall adhere to the Buy America clause set forth in
its grant contract with UMTA.
(b) The grantee shall include in its bid specification for
procurement within the scope of these regulations an appropriate notice
of the Buy America provision. Such specifications shall require, as a
condition of responsiveness, that the bidder or offeror submit with the
bid a completed Buy America certificate in accordance with 661.6 or
661.12 of this part, as appropriate.
(c) Whether or not a bidder or offeror certifies that it will comply
with the applicable requirement, such bidder or offerer is bound by its
original certification and is not permitted to change its certification
after bid opening. A bidder or offeror that certifies that it will
comply with the applicable Buy America requirements is not eligible for
a waiver of those requirements.
49 CFR 661.15 Investigation procedures.
(a) It is presumed that a bidder who has submitted the required Buy
America certificate is complying with the Buy America provision. A
false certification is a criminal act in violation of 18 U.S.C. 1001.
(b) Any party may petition UMTA to investigate the compliance of a
successful bidder with the bidder's certification. That party (''the
petitioner'') must include in the petition a statement of the grounds of
the petition and any supporting documentation. If UMTA determines that
the information presented in the petition indicates that the presumption
in paragraph (a) of this section has been overcome, UMTA will initiate
an investigation.
(c) In appropriate circumstances, UMTA may determine on its own to
initiate an investigation without receiving a petition from a third
party.
(d) When UMTA determines under paragraph (b) or (c) of this section
to conduct an investigation, it requests that the grantee require the
successful bidder to document its compliance with its Buy America
certificate. The successful bidder has the burden of proof to establish
that it is in compliance. Documentation of compliance is based on the
specific circumstances of each investigation, and UMTA will specify the
documentation required in each case.
(e) The grantee shall reply to the request under paragraph (d) of
this section within 15 working days of the request. The investigated
party may correspond directly with UMTA during the course of
investigation, if it informs the grantee that it intends to do so, and
if the grantee agrees to such action in writing. The grantee must
inform UMTA, in writing, that the investigated party will respond
directly to UMTA. An investigated party may provide confidential or
proprietary information (see paragraph (l) of this section) directly to
UMTA while providing other information required to be submitted as part
of the investigation through the grantee.
(f) Any additional information requested or required by UMTA must be
submitted within 5 working days after the receipt of such request unless
specifically exempted by UMTA.
(g) The grantee's reply (or that of the bidder) will be transmitted
to the petitioner. The petitioner may submit comments on the reply to
UMTA within 10 working days after receipt of the reply. The grantee and
the low bidder will be furnished with a copy of the petitioner's
comments, and their comments must be received by UMTA within 5 working
days after receipt of the petitioner's comments.
(h) The failure of a party to comply with the time limits stated in
this section may result in resolution of the investigation without
consideration of untimely filed comments.
(i) During the course of an investigation, with appropriate
notification to affected parties, UMTA may conduct site visits of
manufacturing facilities and final assembly locations as it considers
appropriate.
(j) UMTA will, upon request, make available to any interested party
information bearing on the substance of the investigation which has been
submitted by the petitioner, interested parties or grantees, except to
the extent that withholding of information is permitted or required by
law or regulation.
(k) If a party submitting information considers that the information
submitted contains proprietary material which should be withheld, a
statement advising UMTA of this fact may be included, and the alleged
proprietary information must be identified wherever it appears. Any
comments on the information provided shall be submitted within a maximum
of ten days.
(l) For purposes of paragraph (j) of this section, confidential or
proprietary material is any material or data whose disclosure could
reasonably be expected to cause substantial competitive harm to the
party claiming that the material is confidential or proprietary.
(m) When a petition for investigation has been filed before award,
the grantee will not make an award before the resolution of the
investigation, unless the grantee determines that:
(1) The items to be procured are urgently required;
(2) Delivery of performance will be unduly delayed by failure to make
the award promptly; or
(3) Failure to make prompt award will otherwise cause undue harm to
the grantee or the Federal Government.
(n) In the event that the grantee determines that the award is to be
made during the pendency of an investigation, the grantee will notify
UMTA before to making such award. UMTA reserves the right not to
participate in the funding of any contract awarded during the pendency
of an investigation.
(o) Initial decisions by UMTA will be in written form.
Reconsideration of an initial decision of UMTA may be requested by any
party involved in an investigation. UMTA will only reconsider a
decision only if the party requesting reconsideration submits new
matters of fact or points of law that were not known or available to the
party during the investigation. A request for reconsideration of a
decision of UMTA shall be filed not later than ten (10) working days
after the initial written decision. A request for reconsideration will
be subject to the procedures in this section consistent with the need
for prompt resolution of the matter.
49 CFR 661.17Failure to comply with certification.
If a successful bidder fails to demonstrate that it is in compliance
with its certification, it will be required to take the necessary steps
in order to achieve compliance. If a bidder takes these necessary
steps, it will not be allowed to change its original bid price. If a
bidder does not take the necessary steps, it will not be awarded the
contract if the contract has not yet been awarded, and it is in breach
of contract if a contract has been awarded.
49 CFR 661.19Sanctions.
A willful refusal to comply with a certification by a successful
bidder may lead to the initiation of debarment or suspension proceedings
under part 29 of this title.
49 CFR 661.20Rights of third parties.
The sole right of any third party under the Buy America provision is
to petition UMTA under the provisions of 661.15 of this part. No third
party has any additional right, at law or equity, for any remedy
including, but not limited to, injunctions, damages, or cancellation of
the Federal grant or contracts of the grantee.
49 CFR 661.21State Buy America provisions.
(a) Except as provided in paragraph (b) of this section, any State
may impose more stringent Buy America or buy national requirements than
contained in section 165 of the Act and the regulations in this part.
(b) UMTA will not participate in contracts governed by the following:
(1) State Buy America or Buy National preference provisions which are
not as strict as the Federal requirements.
(2) State and local Buy National or Buy America preference provisions
which are not explicitly set out under State law. For example,
administrative interpretations of non-specific State legislation will
not control.
(3) State and local Buy Local preference provisions.
49 CFR 661.21 PART 663 -- PRE-AWARD AND POST-DELIVERY AUDITS OF ROLLING STOCK PURCHASES
49 CFR 661.21 Subpart A -- General
Sec.
663.1 Purpose.
663.3 Scope.
663.5 Definitions.
663.7 Certification of compliance to UMTA.
663.9 Audit limitations.
663.11 Audit financing.
663.13 Buy America requirements.
663.15 Compliance.
49 CFR 661.21 Subpart B -- Pre-Award Audits
663.21 Pre-award audit requirements.
663.23 Description of pre-award audit.
663.25 Pre-award Buy America certification.
663.27 Pre-award purchaser's requirements certification.
49 CFR 661.21 Subpart C -- Post-Delivery Audits
663.31 Post-delivery audit requirement.
663.33 Description of post-delivery audit.
663.35 Post-delivery Buy America certification.
663.37 Post-delivery purchaser's requirements certification.
663.39 Post-delivery audit review.
49 CFR 661.21 Subpart D -- Certification of Compliance With or
Inapplicability of Federal Motor Vehicle Safety Standards
663.41 Certification of compliance with Federal motor vehicle
standards.
663.43 Certification that Federal motor vehicle standards do not
apply.
Authority: 49 U.S.C. 1608(j); 23 U.S.C. 103(e)(4); Pub. L.
96-184, 93 Stat. 1320; Pub. L. 101-551, 104 Stat. 2733; 49 CFR 1.51.
Source: 56 FR 48395, Sept. 24, 1991, unless otherwise noted.
Effective Date Note: At 56 FR 48395, Sept. 24, 1991, part 663 was
added, effective October 24, 1991.
49 CFR 661.21 Subpart A -- General
49 CFR 663.1 Purpose.
This part implements section 12(j) of the Urban Mass Transportation
Act of 1964, as amended, which was added by section 319 of the 1987
Surface Transportation and Uniform Relocation Assistance Act (Pub. L.
100-17). Section 12(j) requires the Urban Mass Transportation
Administration, by delegation from the Secretary of Transportation, to
issue regulations requiring pre-award and post-delivery audits when a
recipient of Federal financial assistance purchases rolling stock with
funds made available under the Urban Mass Transportation Act, as
amended.
49 CFR 663.3 Scope.
This part applies to a recipient purchasing rolling stock to carry
passengers in revenue service with funds made available under sections
3, 9, 18, and 16(b)(2) of the Urban Mass Transportation Act, as amended;
23 U.S.C. 103(e)(4); and section 14 of the National Capital
Transportation Act of 1969, as amended.
49 CFR 663.5 Definitions.
As used in this part --
(a) Pre-award means that period in the procurement process before the
recipient enters into a formal contract with the supplier.
(b) Post-delivery means the time period in the procurement process
from when the rolling stock is delivered to the recipient until title to
the rolling stock is transferred to the recipient or the rolling stock
is put into revenue service, whichever is first.
(c) Recipient means a recipient of Federal financial assistance from
UMTA.
(d) Revenue service means operation of rolling stock for
transportation of fare-paying passengers as anticipated by the
recipient.
(e) Rolling stock means buses, vans, cars, railcars, locomotives,
trolley cars and buses, ferry boats, and vehicles used for guideways and
incline planes.
(f) Audit means a review resulting in a report containing the
necessary certifications of compliance with Buy America standards,
purchaser's requirements specifications, and, where appropriate, a
manufacturer's certification of compliance with or inapplicability of
the Federal Motor Vehicle Safety Standards, required by section 319 of
STURAA and this part.
(g) UMTA means the Urban Mass Transportation Administration.
49 CFR 663.7 Certification of compliance to UMTA.
A recipient purchasing revenue service rolling stock with funds
obligated by UMTA on or after October 24, 1991, must certify to UMTA
that it will conduct or cause to be conducted pre-award and
post-delivery audits as prescribed in this part. In addition, such a
recipient must maintain on file the certifications required under
subparts B, C, and D of this part.
49 CFR 663.9 Audit limitations.
(a) An audit under this part is limited to verifying compliance with
(1) Applicable Buy America requirements (section 165 of the Surface
Transportation Assistance Act of 1982, as amended,); and
(2) Solicitation specification requirements of the recipient.
(b) An audit under this part includes, where appropriate, a copy of a
manufacturer's self certification information that the vehicle complies
with Federal Motor Vehicle Safety Standards or a certification that such
standards are inapplicable.
(c) An audit conducted under this part is separate from the single
annual audit requirement established by Office of Management and Budget
Circular A-128, ''Audits of State and Local Governments,'' dated May 16,
1985.
49 CFR 663.11 Audit financing.
A recipient purchasing revenue rolling stock with UMTA funds may
charge the cost of activities required by this part to the grant which
UMTA made for such purchase.
49 CFR 663.13 Buy America requirements.
A Buy America certification under this part shall be issued in
addition to any certification which may be required by part 661 of this
title. Nothing in this part precludes UMTA from conducting a Buy
America investigation under part 661 of this title.
49 CFR 663.15 Compliance.
A recipient subject to this part shall comply with all applicable
requirements of this part. Such compliance is a condition of receiving
Federal financial assistance from UMTA. A recipient determined not to
be in compliance with this part will be subject to the immediate
suspension, withholding, or repayment of Federal financial assistance
from UMTA or other appropriate actions unless and until it comes into
compliance with this part.
49 CFR 663.15 Subpart B -- Pre-Award Audits
49 CFR 663.21 Pre-award audit requirements.
A recipient purchasing revenue service rolling stock with UMTA funds
must ensure that a pre-award audit under this part is complete before
the recipient enters into a formal contract for the purchase of such
rolling stock.
49 CFR 663.23 Description of pre-award audit.
A pre-award audit under this part includes --
(a) A Buy America certification as described in 663.25 of this part;
(b) A purchaser's requirements certification as described in 663.27
of this part; and
(c) where appropriate, a manufacturer's Federal Motor Vehicle Safety
certification information as described in 663.41 or 663.43 of this
part.
49 CFR 663.25 Pre-award Buy America certification.
For purposes of this part, a pre-award Buy America certification is a
certification that the recipient keeps on file that --
(a) There is a letter from UMTA which grants a waiver to the rolling
stock to be purchased from the Buy America requirements under section
165(b)(1), (b)(2), or (b)(4) of the Surface Transportation Assistance
Act of 1982, as amended; or
(b) The recipient is satisfied that the rolling stock to be purchased
meets the requirements of section 165(a) or (b)(3) of the Surface
Transportation Assistance Act of 1982, as amended, after having reviewed
itself or through an audit prepared by someone other than the
manufacturer or its agent documentation provided by the manufacturer
which lists --
(1) Component and subcomponent parts of the rolling stock to be
purchased identified by manufacturer of the parts, their country of
origin and costs; and
(2) The location of the final assembly point for the rolling stock,
including a description of the activities that will take place at the
final assembly point and the cost of final assembly.
49 CFR 663.27 Pre-award purchaser's requirements certification.
For purposes of this part, a pre-award purchaser's requirements
certification is a certification a recipient keeps on file that --
(a) The rolling stock the recipient is contracting for is the same
product described in the purchaser's solicitation specification; and
(b) The proposed manufacturer is a responsible manufacturer with the
capability to produce a vehicle that meets the recipient's specification
set forth in the recipient's solicitation.
49 CFR 663.27 Subpart C -- Post-Delivery Audits
49 CFR 663.31 Post-delivery audit requirements.
A recipient purchasing revenue service rolling stock with UMTA funds
must ensure that a post-delivery audit under this part is complete
before title to the rolling stock is transferred to the recipient.
49 CFR 663.33 Description of post-delivery audit.
A post-delivery audit under this part includes --
(a) A post-delivery Buy America certification as described in 663.35
of this part;
(b) A post-delivery purchaser's requirements certification as
described in 663.37 of this part; and
(c) When appropriate, a manufacturer's Federal Motor Vehicle Safety
Standard self-certification information as described in 663.41 or
663.43 of this part.
49 CFR 663.35 Post-delivery Buy America certification.
For purposes of this part, a post-delivery Buy America certification
is a certification that the recipient keeps on file that --
(a) There is a letter from UMTA which grants a waiver to the rolling
stock received from the Buy America requirements under sections 165
(b)(1), or (b)(4) of the Surface Transportation Assistance Act of 1982,
as amended; or
(b) The recipient is satisfied that the rolling stock received meets
the requirements of section 165 (a) or (b)(3) of the Surface
Transportation Assistance Act of 1982, as amended, after having reviewed
itself or by means of an audit prepared by someone other than the
manufacturer or its agent documentation provided by the manufacturer
which lists --
(1) Components and subcomponent parts of the rolling stock identified
by manufacturer of the parts, their country of origin and costs; and
(2) The actual location of the final assembly point for the rolling
stock including a description of the activities which took place at the
final assembly point and the cost of the final assembly.
49 CFR 663.37 Post-delivery purchaser's requirements certification.
For purposes of this part, a post-delivery purchaser's requirements
certification is a certification that the recipient keeps on file that
--
(a) except for procurements covered under paragraph (c) in this
section, a resident inspector (other than an agent or employee of the
manufacturer) was at the manufacturing site throughout the period of
manufacture of the rolling stock to be purchased and monitored and
completed a report on the manufacture of such rolling stock. Such a
report, at a minimum, shall --
(1) Provide accurate records of all vehicle construction activities;
and
(2) Address how the construction and operation of the vehicles
fulfills the contract specifications.
(b) After reviewing the report required under paragraph (a) of this
section, and visually inspecting and road testing the delivered
vehicles, the vehicles meet the contract specifications.
(c) for procurements of ten or fewer buses, or any number of primary
manufacturer standard production and unmodified vans, after visually
inspecting and road testing the vehicles, the vehicles meet the contract
specifications.
49 CFR 663.39 Post-delivery audit review.
(a) If a recipient cannot complete a post-delivery audit because the
recipient or its agent cannot certify Buy America compliance or that the
rolling stock meets the purchaser's requirements specified in the
contract, the rolling stock may be rejected and final acceptance by the
recipient will not be required. The recipient may exercise any legal
rights it has under the contract or at law.
(b) This provision does not preclude the recipient and manufacturer
from agreeing to a conditional acceptance of rolling stock pending
manufacturer's correction of deviations within a reasonable period of
time.
49 CFR 663.39 Subpart D -- Certification of Compliance With or Inapplicability of Federal Motor Vehicle Safety Standards
49 CFR 663.41 Certification of compliance with Federal motor vehicle
safety standards.
If a vehicle purchased under this part is subject to the Federal
Motor Vehicle Safety Standards issued by the National Highway Traffic
Safety Administration in part 571 of this title, a recipient shall keep
on file its certification that it received, both at the pre-award and
post-delivery stage, a copy of the manufacturer's self-certification
information that the vehicle complies with relevant Federal Motor
Vehicle Safety Standards.
49 CFR 663.43 Certification that Federal motor vehicle standards do not
apply.
(a) Except for rolling stock subject to paragraph (b) of this
section, if a vehicle purchased under this part is not subject to the
Federal Motor Vehicle Safety Standards issued by the National Highway
Traffic Safety Administration in part 571 of this title, the recipient
shall keep on file its certification that it received a statement to
that effect from the manufacturer.
(b) This subpart shall not apply to rolling stock that is not a motor
vehicle.
49 CFR 663.43 PART 670 -- TRANSFER OF COMMUTER SERVICES
Sec.
670.1 Purpose.
670.3 Applicability.
670.5 Definitions.
670.7 Eligibility.
670.9 Commuter service transition assistance.
670.11 Projects or activities for which transition assistance may be
expended.
670.13 Applications.
670.15 Waiver and modification.
670.17 Disbursement of commuter service transition assistance.
670.19 Record, audit and examination.
670.21 Effective date.
Appendix A -- (Reserved)
Appendix B -- Car Mile-Revenue Passenger Allocation -- Accounting
Management Control Data Processing System
Appendix C -- Certificate
Authority: Sec. 1139(b), Northeast Rail Service Act of 1981,
Subtitle E, Title XI, Pub. L. 97-35 (95 Stat. 652); regulations of the
Office of the Secretary of Transportation, 49 CFR 1.49 and 1.51.
Source: 47 FR 33969, Aug. 5, 1982, unless otherwise noted.
49 CFR 670.1Purpose.
The purpose of this part is to prescribe standards for the obligation
of funds authorized under section 1139(b) of the Northeast Rail Service
Act of 1981, Subtitle E of Title XI of Pub. L. 97-35, to ensure that
commuter rail services operated by the Consolidated Rail Corporation
under contract to commuter authorities are transferred either to those
commuter authorities for operation directly or to the Northeast Commuter
Services Corporation for operation on their behalf on or before January
1, 1983 and to ensure the equitable distribution of those funds.
49 CFR 670.3Applicability.
This part applies to applications for and disbursement of transition
funds under section 1139(b) of the Northeast Rail Service Act of 1981 to
facilitate the transfer of rail commuter services from Conrail to other
operators.
49 CFR 670.5Definitions.
As used in this part:
(a) Act means the Northeast Rail Service Act of 1981, Subtitle E,
Title XI, Pub. L. 97-35.
(b) Administrator means the Federal Railroad Administrator or his
delegate and the Urban Mass Transportation Administrator or his
delegate.
(c) Applicant means the Northeast Commuter Services Corporation or a
commuter authority that submits an application for Federal assistance
pursuant to this part.
(d) CDOT means the Connecticut Department of Transportation.
(e) Commuter authority means any State, local, or regional authority,
corporation, or other entity that provides commuter service, as defined
in section 1135(a)(4) of the Act, and for which Conrail was providing
commuter service under section 303(b)(2) or 304(e) of the Regional Rail
Reorganization Act of 1973, 45 U.S.C. 743(b)(2), 744(e), on August 13,
1981. Successors to these entities are also deemed to be commuter
authorities.
(f) Conrail means the Consolidated Rail Corporation.
(g) DelDOT means the Delaware Department of Transportation.
(h) MDOT means the Maryland Department of Transportation.
(i) MTA means the Metropolitan Transportation Authority.
(j) NJ Transit means the New Jersey Transit Corporation.
(k) NCSC means Northeast Commuter Serivces Corporation created under
section 501 of the Rail Passenger Service Act, 45 U.S.C. 581.
(l) SEPTA means the Southeastern Pennsylvania Transportation
Authority.
49 CFR 670.7 Eligibility.
NCSC and commuter authorities may apply to the Administrators under
670.9 of this part for such commuter service transition assistance as is
provided under this part.
49 CFR 670.9Commuter service transition assistance.
(a) Transition assistance allocated to MDOT, DelDOT, and NCSC. (1)
MDOT, DelDOT, and NCSC together shall be eligible to receive a total of
$5,000,000 in commuter transition assistance funds appropriated by
Congress under section 1139(b) of the Act as follows:
MDOT shall be eligible to receive up to $190,000;
DelDOT shall be eligible to receive up to $30,000;
NCSC shall be eligible to receive up to $4,780,000.
In addition, NCSC shall be eligible to receive any funds for which
DelDOT or MDOT is eligible but which are not distributed to those
commuter authorities.
(2) Commuter transition funds provided to NCSC shall be used to cover
general administrative expenses and the costs of services it provides in
common for all commuter authorities, such as the transfer of assets from
Conrail to the commuter authorities. With the approval of the
Administrator, NCSC may also expend funds allocated pursuant to this
paragraph (a) for the purposes outlined in paragraph (c)(1) of this
section.
(3) To the extent that NCSC does not require all the funds for which
it is eligible under this paragraph (a), such funds shall be reallocated
by, and in the discretion of, the Administrator among the commuter
authorities to reimburse transition expenses not otherwise funded
hereunder. Such reallocated funds shall be in addition to the funds
provided to the commuter authorities under paragraphs (a) (1) or (b) of
this section.
(b) Transition assistance allocated to MTA, CDOT, NJ Transit, and
SEPTA. (1) MTA, CDOT, NJ Transit, and SEPTA shall be eligible to
receive a total of $120,000,000 in commuter transition funds
appropriated by Congress under section 1139(b) of the Act as follows:
MTA and CDOT together shall be eligible to receive up to $59,000,000;
NJ Transit shall be eligible to receive up to $22,000,000;
SEPTA shall be eligible to receive up to $39,000,000.
(2) Except for the specific expense categories outlined in paragraph
(c) of this section, transition assistance funds made available under
this paragraph (b) shall be provided directly to the commuter
authorities.
(c) Direct commuter authority allocations to NCSC. Transition
assistance funds allocated under paragraph (b) shall be provided
directly to NCSC rather than to the appropriate commuter authorities for
the following categories of eligible expenses:
(1) Accounting management control data processing system. Up to $3
million of the funds allocated to SEPTA, MTA and CDOT shall be provided
directly to NCSC to cover the costs of development of the Accounting
Management Control Data Processing System to be used by these agencies.
The share of the costs of development of the system to be borne by each
agency shall be calculated on the basis of calendar year 1980 car mile
and revenue passenger data provided by Conrail to each agency. The
share for each agency shall be an amount equal to the sum of:
(i) Fifty percent of the cost of the development of the system
multiplied by the percentage that the number of car miles of commuter
service operated for the commuter authority by Conrail in 1980
represents of the total number of car miles operated for all three
commuter authorities (SEPTA, MTA and CDOT) by Conrail in 1980; and
(ii) Fifty percent of the cost of the development of the system
multiplied by the percentage that the number of revenue passengers
carried by Conrail for the commuter authority in 1980 represents of the
total number of revenue passengers for all three commuter services
(SEPTA, MTA and CDOT) operated by Conrail in 1980. The derivation of
each commuter authority's allocation is presented in Appendix B. In the
event NCSC does not require the full amount for development of the
system, the remaining funds shall be reallocated to SEPTA, MTA, and CDOT
in accordance with the formula described in this subsection.
(2) Labor negotiations. Up to $750,000 of the funds allocated to
SEPTA shall be provided directly to NCSC to cover the costs of the labor
negotiation effort to be conducted by NCSC on behalf of SEPTA. In the
event NCSC does not require the full amount allocated to it for this
purpose, the remaining funds shall be distributed to SEPTA.
(d) Applicants. NCSC shall be the applicant for transition
assistance for its general administrative expenses, for services it
provides for all commuter authorities, for development of the Accounting
Management Control Data Processing System, and for labor negotiations
conducted on behalf of SEPTA. Commuter authorities shall be the
applicants for all other transition assistance.
(e) Timing of Transition Assistance. Transition assistance funds
appropriated by Congress pursuant to section 1139(b) of the Act in the
1982 Department of Transportation and Related Agencies Appropriation Act
(Pub. L. 97-102) shall be made available for disbursement to applicants
as of February 4, 1982. Transition assistance funds appropriated by
Congress in the 1983 Department of Transportation and Related Agencies
Appropriation Act (Pub. L. 97-369) shall be made available for
disbursement to applicants as of December 18, 1982. All funds shall
remain available until October 1, 1986.
(47 FR 33969, Aug. 5, 1982, as amended at 48 FR 11273, Mar. 17, 1983)
49 CFR 670.11Projects or activities for which transition assistance may
be expended.
(a) Eligible Costs. Transition projects or activities which qualify
for Federal funding include the following, subject to the
Administrators' determination that such projects or activities are
directly related to the transfer of commuter operations:
(1) Planning and study costs incurred in deciding whether to provide
post-transfer service directly or through NCSC;
(2) Planning, labor consultant, and legal expenses incurred in
effecting the transfer of service from Conrail to other operators
including all activities undertaken by NCSC or commuter authorities to
implement provisions of the Northeast Rail Service Act of 1981;
(3) Planning and study costs incurred in making decisions about
post-transfer routes and levels of service;
(4) Purchase of necessary parts, fuel and other inventory, tools,
equipment, rolling stock, and facilities from Conrail and other
entities: Provided, that Federal funding may not be used for
acquisition of fixed facilities and rolling stock from Conrail, which
are required to be transferred without consideration under section
506(g) of the Rail Passenger Service Act, 45 U.S.C. 586(g);
(5) Costs incurred for additional staffing and working capital
required by NCSC or commuter authorities electing to undertake direct
operation: Provided, however, That funding for additional staffing for
commuter authorities shall be limited to transition staffing needs and
shall not include personnel operating costs currently incurred in the
normal course of business; and
(6) Start-up costs of NCSC or of commuter authorities operating their
own service, including costs of acquiring data processing, implementing
financial and operating systems, and financing transfer or replication
of operating plans and procedures.
(b) Other eligible expenses. The Administrators will consider
applications for transition assistance from NCSC or commuter authorities
for projects or activities not listed in paragraph (a) of this section
provided such projects or activities are directly related to the
transfer of commuter service from Conrail to other operators. However,
transition assistance will not be provided to cover the costs of capital
items and operating expenses unrelated to the transfer.
(c) Timing of expenditures. Eligible costs for NCSC and the commuter
authorities include expenses incurred from October 1, 1981.
49 CFR 670.13Applications.
(a) Applications for transition assistance funds. Each application
shall include, in the order indicated and identified by applicable
section numbers and letters corresponding to those used in this part,
the following information as to the applicant:
(1) Full and correct name and principal business address;
(2) Name, title, and address of the person to whom correspondence
regarding the application should be addressed;
(3) A detailed description of the projects or activities for which
assistance is sought, together with timetables which show estimated
completion dates for each such project or activity;
(4) The total amount of assistance requested with a funding level
justification for each project or activity;
(5) Evidence that the applicant has established, in accordance with
Attachment G to Office of Management and Budget Circular A-102, adequate
procedures for financial control, accounting, and performance
evaluation, in order to assure proper use of the Federal funds;
(6) An assurance by the applicant that it will use Federal funds
provided under the Act solely for the purposes for which assistance is
sought and in conformance with the limitations on the expenditures
allowed under the Act and applicable regulations;
(7) Two copies of a minority business enterprise plan prepared in
accordance with 49 CFR Part 23;
(8) Assurances that the applicant will comply with the following
Federal laws, policies, regulations, and pertinent directives:
(i) Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d et
seq.), and DOT regulations issued thereunder (49 CFR Part 21);
(ii) If construction is involved, Executive Order 11246 and
Department of Labor regulations issued thereunder (41 CFR Part 60);
(iii) Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794)
and DOT regulations issued thereunder (49 CFR Part 27);
(iv) DOT regulations governing the use of minority business
enterprises (49 CFR Part 23);
(v) 40 CFR Part 1520 which prohibits the use of financial assistance
for facilities on the Environmental Protection Agency's list of
violating facilities;
(9) An opinion of the applicant's legal counsel advising that (i)
counsel is familiar with (A) the applicant's corporate or other
organizational powers; (B) section 1139(b) of the Act; (C) the other
Acts referred to in these regulations; and (D) any regulations issued
to implement those Acts;
(ii) The applicant is authorized to make the application including
all certifications, assurances, and affirmations required;
(iii) The applicant has the requisite authority to carry out the
actions proposed in the application and to fulfill the obligations
created thereby; and
(iv) The applicant has the authority to enter into all of the legal
commitments referred to in paragraph (a)(8) of this section and that
these commitments are legal and binding upon the applicant and
enforceable in accordance with their terms;
(10) For purchases covered by 670.11(a)(4) executed copies of any
agreements between the applicant and Conrail or another entity; and
(11) Any other information the Administrators may deem necessary
concerning an application filed under this part.
(b) Subsequent applications for transition assistance funds. Each
subsequent application for transition assistance funds shall include the
information submitted in paragraph (a) of this section, except that any
information or material that has been submitted by an applicant need not
be resubmitted if the prior submission is identified and incorporated by
reference in the application. Where the prior submission is in need of
any changes, the changes may be submitted provided the prior submission
is identified and incorporated by reference. Any assurance,
certification, or affirmation previously made by the applicant, in
connection with a prior submission, must be reaffirmed by the applicant
when any identification and incorporation by reference of previously
submitted materials is made.
(c) Execution and filing of application. (1) Each application shall
bear the date of execution and be signed by the Chief Executive Officer
of the applicant. Each person required to execute the application will
execute a certificate in the form of Appendix C to this part.
(2) Each original application and certificate, and four copies
thereof, shall be filed with the Urban Mass Transportation
Administrator, Department of Transportation, 400 Seventh Street, SW.,
Washington, DC 20590. Each copy shall show the dates and signatures
that appear in the original and shall be complete in itself.
(47 FR 33969, Aug. 5, 1982, as amended at 48 FR 11274, Mar. 17, 1983)
49 CFR 670.15Waiver and modification.
The Administrators, upon good cause shown, may waive or modify any
requirement of this part not required by law or make any additional
requirements they deem necessary.
49 CFR 670.17Disbursement of commuter service transition assistance.
After receipt, review, and approval of an application meeting the
requirements of this part, the Administrators will enter into a grant
agreement with an applicant for the approved amount of transition
assistance. The terms and conditions of payment shall be set forth in
the grant agreement.
49 CFR 670.19Record, audit and examination.
(a) Each recipient of transition assistance under this part shall
keep such records as the Administrators shall prescribe, including
records which fully disclose the amount and disposition by such
recipient of the proceeds of such assistance, the total cost of the
project or undertaking in connection with which such assistance was
given or used, and such other records as will facilitate an effective
audit.
(b) Until the expiration of three years after the completion of the
project or undertaking referred to in paragraph (a) of this section, the
Administrators and the Comptroller General of the United States, or any
of their duly authorized representatives, shall have access for the
purpose of audit and examination to any books, documents, papers, and
records of such receipts which, in the opinion of the Administrators or
the Comptroller General, may be related or pertinent to such financial
assistance.
49 CFR 670.21Effective date.
This part is effective October 1, 1981.
49 CFR 670.21 Appendix A -- (Reserved)
49 CFR 670.21 Pt. 670, App. B
49 CFR 670.21 Appendix B -- Car Mile -- Revenue Passenger Allocation
Accounting Management Control Data Processing System
49 CFR 670.21 Pt. 670, App. C
49 CFR 670.21 Appendix C -- Certificate
The following is the form of the certificate to be executed by each
person signing an application: ---------- (Name of Person) certifies
that he is the Chief Executive Officer of ---------- (Name of
Applicant); that he is authorized to sign and file this application
with the Federal Railroad Administrator and the Urban Mass
Transportation Administrator; that he has carefully examined all of the
statements contained in the application; that he has knowledge of the
matters set forth therein and that all statements made and matters set
forth therein are true and correct to the best of his knowledge,
information and belief.
49 CFR 670.21 49 CFR Ch. VII (10-1-91 Edition)
49 CFR 670.21 Nat'l Railroad Passenger Corp. (AMTRAK)
49 CFR 670.21 CHAPTER VII -- NATIONAL RAILROAD PASSENGER CORPORATION
(AMTRAK)
Part
Page
700 Organization, functioning and available information
701 Freedom of Information Act regulations
49 CFR 670.21
49 CFR 670.21 49 CFR Ch. VII (10-1-91 Edition)
49 CFR 670.21 Nat'l Railroad Passenger Corp. (AMTRAK)
49 CFR 670.21 PART 700 -- ORGANIZATION, FUNCTIONING AND AVAILABLE
INFORMATION
Sec.
700.1 Purpose.
700.2 Organization and functioning of Amtrak.
700.3 Availability of documents, assistance, and information.
Authority: 5 U.S.C. 552(a) (1), (2).
Source: 49 FR 24378, June 13, 1984, unless otherwise noted.
49 CFR 700.1Purpose.
This part describes the organization and functioning of Amtrak and
the availability to the public of documents and information concerning
its policies, procedures and activities.
49 CFR 700.2Organization and functioning of Amtrak.
The creation of the National Railroad Passenger Corporation
(''Amtrak'') was authorized by the Rail Passenger Service Act, as
amended, 84 Stat. 1327, 45 U.S.C. 541 et seq. (''the Act''). The Act
requires that Amtrak be operated and managed as a for-profit
corporation, that it be incorporated under the District of Columbia
Business Corporation Act, and subject to the provisions of that statute
to the extent not inconsistent with the Act, and that it provide a
balanced transportation system by developing, operating, and improving
intercity rail passenger service. The Act also states that Amtrak will
not be an agency or establishment of the United States Government.
Amtrak thus is a corporation created by Congress to compete for the
transportation business of the intercity traveller, to the end that the
travelling public will have a choice of travel modes. The address of
its headquarters is 400 North Capitol Street, NW., Washington, DC 20001.
Telephone: (202) 383-3000.
(a) Board of Directors. Amtrak's major policies are established by
its board of directors. The nine members of the board are selected as
follows: The Secretary of Transportation serves as an ex-officio member
and Amtrak's President, ex-officio, is Chairman of the Board; three
members are appointed by the President of the United States and
confirmed by the Senate (representing labor, State Governors, and
business); two represent commuter authorities and are selected by the
President from lists drawn up by those authorities; and two are
selected by the Corporation's preferred stockholder, the Department of
Transportation.
(b) Officers and central management. Amtrak is managed by a
President and a Management Committee consisting of four Executive Vice
Presidents. Reporting to the Executive Vice Presidents are eleven vice
presidents representing sales, transportation marketing, planning and
development, computer services, labor relations, finance and treasurer,
personnel, passenger and operating services, government affairs,
operations and maintenance, engineering, and the General Counsel. Areas
handled as special matters with the authority of vice presidents, such
as corporate communications, safety, real estate, procurement, materials
management, police and security, contract administration, and internal
audit are supervised by assistant vice presidents and directors.
(c) Regional and field structure. The need for decentralization of
functions in the areas of passenger services and transportation
operations has led to the creation of Amtrak's regional and field
structure. Field offices are located in major cities such as Baltimore,
Philadelphia, New York, Albany, Boston, Chicago, Seattle and Los
Angeles. Pursuant to overall policies established at headquarters in
Washington, DC, these offices handle matters like the assignment and
scheduling of employees who work on board moving trains; purchase,
stowage and preparation of food for dining service; maintentance and
rehabilitation of rolling stock; and daily operating arrangements such
as the make-up of trains or the cleaning and repairing of cars on
trains.
(d) Route system. Amtrak's basic route system has been established
pursuant to statutory guidelines, and in some cases by specific
statutory directive. Out of a route system covering about 23,000
route-miles, Amtrak owns a right-of-way of about 2,600 track miles in
the Northeast Corridor (Washington-New York-Boston; New
Haven-Springfield; and Philadelphia-Harrisburg) and small segments of
track near Albany, New York, and Kalamazoo, Michigan. In the Northeast
Corridor Amtrak trains are run by operating crews consisting of Amtrak
employees. On other routes, Amtrak operates trains on the tracks of
about twenty different privately owned railroads and compensates the
railroad for the use of their facilities and for the services of their
employees, including engineers, conductors, and maintenance personnel.
Those private railroads are responsible for the conditions of the
roadbed and for coordinating the flow of traffic over their lines.
(e) Operations. Amtrak provides about 250 trains daily, serving
about 500 stations in over forty states. Amtrak owns most of its cars
and locomotives, some of its stations, and most of its repair
facilities. Its capital improvements and almost half of its operating
losses are supported principally through Federal financing, with some
State, regional and local financial support for some trains and
stations. Congress requires Amtrak, to earn revenues equivalent to at
least fifty percent of its operating costs, and it currently does so.
(f) Revenue production. The sale of tickets for transportation and
accommodations, Amtrak's principal source of revenue, is accomplished
through Amtrak ticket agents at stations, travel agencies, and five
central reservation offices which service a nationwide telephone
network. National Timetables contain basic information about routes,
stations, and services.
49 CFR 700.3Availability of documents, assistance, and information.
(a) A member of the public having need for assistance or information
concerning any of the matters described in 700.2 should address his or
her concerns in a letter or other written communication directed to the
appropriate vice president or to the Director of Corporate
Communications. Amtrak will bring such communications to the attention
of the appropriate official if they are misdirected in the first
instance. Formal requests for ''records'' under 5 U.S.C. 552(a)(3) of
the Freedom of Information Act are to be made in accordance with the
provisions of 49 CFR 701.4.
(b) The National Train Timetables described in 700.2(f) are widely
distributed in the continental United States and are available in major
cities in Europe, Canada and Mexico. When they are updated (usually in
April and October each year) each printing involves about 1,000,000
copies. They are ordinarily available at staffed Amtrak stations and
copies are usually kept on hand in the offices of about 9800 travel
agents who are authorized to sell Amtrak tickets. A person unable to
obtain a copy locally should request one from the Director of Corporate
Communications at the Washington, DC headquarters. The timetable
depicts the major Amtrak train routes on a map of the United States, and
most of the remainder of the booklet shows the schedules for specific
trains. Several pages are used to offer travel information dealing with
the availability of assistance to handicapped travellers, red cap
service, purchase of tickets on board, use of credit cards and personal
checks, handling of baggage, refunds for unused tickets and similar
matters.
(c) Also available to members of the public at most staffed Amtrak
stations, and usually maintained in the offices of travel agencies
authorized to sell Amtrak tickets, is a copy of the Reservations and
Ticketing Manual (RTM) which constitutes a compendium of information
governing Amtrak employees in furnishing transportation to the
travelling public. It contains substantial segments dedicated to the
following topics: Amtrak's computer system and its communication codes;
interline service agreements; passenger and baggage services;
customer relations functions; reservations policy and procedures;
acceptance of checks and credit cards; refunds; missed connection
policies; ticketing; accommodations; employee pass travel; location
maps for Amtrak stations; and intermodal state maps.
(d) A full statement of Amtrak's tariffs containing the fares for
point-to-point travel, regional plan travel and all relevant travel
conditions, such as excursions, discounts, family plans, accommodations,
etc., is contained in the privately published Official Railway Guide,
which is available by subscription from its publisher at 424 West 33rd
Street, New York, New York 10001. A copy of the guide can usually be
found at each staffed Amtrak station, and at the offices of travel
agents authorized to sell Amtrak tickets. Tariff changes which occur
between issues of the Guide are published and widely distributed by
Amtrak pending their publication in the next issue of the Guide.
(e) Each of the documents described in paragraphs (b) through (d) of
this section is available to the public for inspection during regular
business hours at the office of Amtrak's Freedom of Information Office
at its headquarters at 400 North Capitol Street, NW., Washington, DC
20001, and at the office of the Division Manager, Human Resources, in
New Haven, Philadelphia, Baltimore, New York, Los Angeles and Chicago.
Each document has its own index. Since each index is useful only in
connection with the document to which it pertains, and since requests
for indices are uncommon, Amtrak has determined that publication of its
indices as described in 5 U.S.C. 552(a)(2) would be unnecessary and
impracticable.
49 CFR 700.3 PART 701 -- FREEDOM OF INFORMATION ACT REGULATIONS
Sec.
701.1 Purpose.
701.2 Definitions.
701.3 Policy.
701.4 Availability of records on request.
701.5 Time limits.
701.6 Appeals from denials of records or setting of fees.
701.7 Fees.
701.8 Notification procedures for confidential commercial and
financial information.
Authority: 5 U.S.C. 552, as amended by sections 1801-1804 of the
Omnibus Anti-Drug Abuse Act of 1986 (Pub. L. 99-570) which contains the
Freedom of Information Reform Act of 1986 and sec. 306(g) of the Rail
Passenger Service Act (45 U.S.C. 546(g)).
Source: 47 FR 17822, Apr. 26, 1982, unless otherwise noted.
Redesignated at 49 FR 24378, June 13, 1984.
Editorial Note: For nomenclature changes to this part, see 49 FR
24378, June 13, 1984.
49 CFR 701.1Purpose.
This part prescribed the procedures by which records of the National
Railroad Passenger Corporation may be made available to the public
pursuant to section 306(g) of the Rail Passenger Service Act, 45 U.S.C.
546(g), and the Freedom of Information Act, 5 U.S.C. 552.
49 CFR 701.2Definitions.
Unless the context requires otherwise, the following apply in this
part:
(a) Masculine pronouns include the feminine gender.
(b) Definitions:
Corporation or Amtrak means the National Railroad Passenger
Corporation.
Includes means ''includes but is not limited to''.
President means the President of the Corporation or his delegee.
Record means any writing, drawing, map, recording, tape, film,
photograph, or other documentary material by which information is
preserved, but does not include library materials compiled for reference
purposes or objects of substantial intrinsic value.
(47 FR 17822, Apr. 26, 1982. Redesignated at 49 FR 24378, June 13,
1984 and amended at 52 FR 15321, Apr. 28, 1987)
49 CFR 701.3Policy.
(a) The National Railroad Passenger Corporation will make records
within the Corporation available to the public to the greatest
practicable extent in keeping with the spirit of the law. Therefore,
all records of the Corporation -- except those that the Corporation
specifically determines should not be disclosed either in the public
interest, for the protection of private rights, or for the efficient
conduct of public or corporate business, but only to the extent
withholding is permitted by law are declared to be available for public
inspection and copying as provided in these procedures. A record will
not be withheld from the public solely because its release might suggest
administrative error or embarrass an officer or employee of the
Corporation. Each officer and employee of the Corporation dealing with
record requests is directed to cooperate to the end of making records
available to the public promptly, consistent with this policy.
(b) A requested record of the Corporation may be withheld from
disclosure if it comes within one or more of the exemptions in 5 U.S.C.
552(b) or is otherwise exempted by law.
(c) In the event one or more of the exemptions applies to a record,
any reasonably segregable portion of the record will be made available
to the requesting person after deletion of the exempt portions.
(d) These procedures apply only to records in existence at the time
of a request. The Corporation has no obligation to create a record
solely for the purpose of making it available under the FOIA.
(47 FR 17822, Apr. 26, 1982. Redesignated at 49 FR 24378, June 13,
1984 and amended at 52 FR 15321, Apr. 28, 1987)
49 CFR 701.4Availability of records on request.
(a) Each person desiring access to a record or to have a copy of a
record pursuant to the Freedom of Information Act shall comply with the
following provisions:
(1) The request for the record shall be in writing.
(2) The request shall indicate that it is being made under the
Freedom of Information Act.
(3) The envelope in which the request is sent shall be prominently
marked with the symbol ''FOIA''.
(4) The request shall be addressed to the Freedom of Information
Officer, National Railroad Passenger Corporation, 400 North Capitol
Street, NW., Washington, DC 20001.
(b) If the requirements of paragraph (a) of this section are not met,
the ten (10) day time limit described in 701.5 will not begin to run
until the request has been identified by an employee of the Corporation
as a request under the Freedom of Information Act and has been received
by the Corporate Communications Department.
(c) Each request should describe the particular record or records
desired. To the extent practicable, the request should specify such
features as the subject matter of the record, the date when it was made,
the place where it was made and the person or office that made it.
Generally, a request will be acceptable if it identifies a record with
sufficient particularity to enable an employee of the Corporation to
locate the record with a reasonable amount of effort. If the
description is insufficient to permit location of a record, the Freedom
of Information Officer will notify the requester and indicate the
additional kinds of data which will facilitate the search.
(d) The submission of a FOIA request constitutes an agreement by the
requester to pay the fees specified in 701.7 unless the requester is
entitled to a fee waiver or specifies in the request a different amount
to which the Corporation agrees in writing.
(e) Searches will be made for requested records in order of receipt.
Each so-called 'continuing request' will be treated as a one-time
request.
(47 FR 17822, Apr. 26, 1982. Redesignated at 49 FR 24378, June 13,
1984 and amended at 52 FR 15321, Apr. 28, 1987)
49 CFR 701.5Time limits.
(a) An initial determination whether to release records requested
under this part shall be made within ten (10) days (excepting Saturdays,
Sundays, and legal public holidays) after the request is received,
except that this time limit may be extended by up to ten (10) working
days in accordance with paragraph (c) of this section. The person
making the request will be given prompt notice of any extension of time.
If a determination is made to release a requested record, the record
shall be made promptly available. If the determination is to decline to
disclose the record, the person making the request shall, at the same
time he is notified of such determination, be notified of:
(1) The reason for the determination; including citation of the
relevant exemption relied on for denial;
(2) The right of the requester to appeal the determination; and
(3) The name and title or position of each person responsible for
denial of the request.
(b) A determination with respect to an appeal made pursuant to 701.6
shall be made within twenty (20) days (excepting Saturdays, Sundays, and
legal public holidays) after receipt of such appeal, except that this
time limit may be extended by up to ten (10) working days in accordance
with paragraph (c) of this section. The person making the request will
be notified promptly if the time is extended.
(c) In unusual circumstances the time limits prescribed in this
section may be extended by written notice to the person making a request
setting forth the reasons for such extension and the date on which a
determination is expected to be dispatched. Such notice shall not
specify a date that would result in a cumulative extension of more than
ten (10) working days. As used in this subsection, ''unusual
circumstances'' means, but only to the extent reasonably necessary for
the proper processing of the particular request --
(1) The need to search for and collect the requested records from
field facilities or other establishments that are separate from the
office processing the request;
(2) The need to search for, collect, and appropriately examine a
voluminous amount of separate and distinct records which are demanded in
a single request; or
(3) The need for consultation, which shall be conducted with all
practicable speed, with another entity having a substantial interest in
the determination of the request or among two or more components of an
entity having substantial subject matter interest therein.
49 CFR 701.6Appeals from denials of records or setting of fees.
Each denial decision will set forth the reasons therefor and state
the appeal from that decision that is available to the requester. A
decision denying access to a document or setting fees may be appealed to
the President of the Corporation by filing with his office a written
notice of appeal, within thirty (30) days after the date of the denial,
specifying the relevant facts and the basis for appeal. If the
President denies the appeal, the denial shall set forth the reasons
therefor and notify the requester of the provision for judicial review
contained in 5 U.S.C. 552(a)(4)(B).
49 CFR 701.7 Fees.
(a) Categories of requesters. There are four categories of FOIA
requesters: commercial use requesters; representatives of news media;
educational and noncommercial scientific institutions; and all other
requesters. The time limits for processing requests shall begin upon
receipt of a proper request by the Freedom of Information Office which
reasonably describes the records sought and which identifies the
specific category of the requester. The Freedom of Information Reform
Act of 1986 prescribes specific levels of fees for each of these
categories.
(1) Commercial use requester. When records are requested for
commercial use, the fee policy of NRPC is to levy full allowable direct
costs for search, review for release, and duplication of records sought.
Commercial users are not entitled to two hours of free search time nor
100 free pages of reproduction of documents nor waiver or reduction of
fees based on an assertion that disclosure would be in the public
interest. Commercial use is defined as use that furthers the
commercial, trade or profit interests of the requester or person on
whose behalf the request is made. In determining whether a requester
falls within the commercial use category, NRPC shall first look to the
use to which a requester will put the documents requested. Where a
requester does not explain the use or where explanation is insufficient,
NRPC may draw reasonable inferences from the requester's identity and
charge fees accordingly.
(2) Representatives of the news media. When records are requested by
representatives of the news media, the fee policy of NRPC is to levy
reproduction charges only, excluding charges for the first 100 pages.
The term ''representatives of the news media'' refers to any person
actively gathering news for an entity that is organized and operated to
publish or broadcast news to the public. The term ''news'' means
information that is about current events or that would be of current
interest to the public. Examples of news media entities include
television or radio stations broadcasting to the public at large, and
publishers of periodicals (but only in those instances where they can
qualify as disseminators of ''news'') who make their products available
for purchase or subscription by the general public. These examples are
not intended to be all-inclusive. Moreover, as traditional methods of
news delivery evolve (e.g., electronic dissemination of newspapers
through telecommunications services), such alternative media would be
included in this category. ''Freelance'' journalists may be regarded as
working for a news organization if they can demonstrate a solid basis
for expecting publication through an organization, even though not
actually employed by that entity. To be eligible for inclusion in this
category, requesters must meet the criteria specified in this section,
and the request must not be made for commercial use as this term is
defined under paragraph (a)(1) of this section.
(3) Educational and noncommercial scientific institution requesters.
When records are requested by an educational or noncommercial scientific
institution whose purpose is scholarly or scientific research, the fee
policy of NRPC is to levy reproduction charges only, excluding charges
for the first 100 pages. Educational institution referes to a
preschool, a public or private elementary or secondary school, an
institution of graduate higher eduation, an institution of undergraduate
higher education, an institution of professional education and an
institution of vocational education, which operates a program or
programs of scholarly research. Noncommercial scientific institution
refers to an institution that is not operated on a commercial basis as
defined under paragraph (a)(1) of this section and which is operated
solely for the purpose of conducting scientific research, the results of
which are not intended to promote any particular product or industry.
To be eligible for inclusion in this category, requesters must show that
the request is being made under the auspices of a qualifying institution
and that the records are not sought for commercial use or to further an
individual goal, but are sought in furtherance of scholarly or
scientific research.
(4) All other requesters. For other requesters who do not come under
the purview of paragraphs (a)(1) through (a)(3) of this section, the fee
policy of NRPC is to levy full reasonable direct cost of search for and
duplication of records sought, except that the first 100 pages of
reproduction and the first two hours of search time shall be furnished
without charge.
(b) Aggregating requests. A requester may not file multiple requests
at the same time, each seeking portions of a document or documents, in
order to avoid payment of fees. When NRPC believes that a requester or,
on rare occasions, a group of requesters acting in concert, is
attempting to break a request down into a series or requests for the
purpose of evading the assessment of fees, NRPC may aggregate any such
requests and charge accordingly. Before aggregating requests from more
than one requester, NRPC must have a concrete basis on which to conclude
that the requesters are acting in concert and are acting specifically to
avoid payment of fees. In no case may NRPC aggregate multiple requests
on unrelated subjects from one requester.
(c) Waiver or reduction of fees. (1) NRPC may waive all fees or levy
a reduced fee when disclosure of the information is deemed to be in the
public interest because it is likely to contribute significantly to
public understanding of the operations or activities of NRPC and is not
primarily in the commercial interest of the requester.
(2) In determining whether disclosure is in the public interest, the
following factors may be considered:
(i) The relation of the records to the operations or activities of
the NRPC;
(ii) The informative value of the information to be disclosed;
(iii) Any contribution to an understanding of the subject by the
general public likely to result from disclosure;
(iv) The significance of that contribution to the public
understanding of the subject;
(v) The nature of the requester's personal interest, if any, in the
information requested; and
(vi) Whether the disclosure would be primarily in the requester's
commercial interest.
(3) In all cases, the burden shall be on the requester to present
evidence or information in support of a request for a waiver of fees.
(d) Advance payment. (1) When NRPC estimates or determines that
allowable charges that a requester may be required to pay are likely to
exceed $250, NRPC may require a requester to make an advance payment of
the entire fee before continuing to process the request.
(2) When a requester has previously failed to pay a fee in a timely
fashion (i.e., within 30 days of the date of the billing), NRPC may
require the requester to pay the full amount owed plus any applicable
interest as provided in paragraph (h) and make an advance payment of the
full amount of the estimated fee before the agency begins to process a
new request or a pending request from that requester.
(3) When NRPC acts under paragraph (d)(1) or (d)(2) of this section,
the administrative time limits prescribed in subsection (a)(6) of the
FOIA (i.e., 10 working days from the receipt of initial requests and 20
working days from receipt of appeals from initial denial plus
permissible extensions of these time limits) will begin only after NRPC
has received fee payments under paragraph (d)(1) or (d)(2) of this
section.
(e) Fee schedule. (1) Manual searches for records. NRPC will charge
$27 per hour for the salary and fringe benefits of personnel conducting
the search and review. NRPC may assess charges for time spent
searching, even if it fails to locate the records or if records located
are determined to be exempt from disclosure.
(2) Computer searches for records. For each request, NRPC will
charge the actual direct cost of providing this service. This will
include the cost of operating the central processing unit (CPU) for that
portion of operating time that is directly attributable to search for
records responsive to the request and operator/programmer salary
apportionable to the search. NRPC may assess charges for time spent
searching, even if it fails to locate the records or if records located
are determined to be exempt from disclosure.
(3) Duplication costs. (i) For copies of documents reproduced on a
standard office copying machine in sizes up to 8 1/2 x 14 inches, the
charges will be $.25 per page.
(ii) The fee for reproducing copies of records over 8 1/2 x 14 inches
or whose physical characteristics do not permit reproduction by routine
electrostatic copying shall be the direct cost of reproducing the
records through NRPC or commercial sources.
(iii) For copies prepared by computer such as tapes or printouts,
NRPC shall charge the actual cost, including operator time, of
production of the tape or printout.
(4) Other forms of duplication. For other methods of reproduction or
duplication, NRPC shall charge the actual direct costs of producing the
document(s).
(f) Restrictions in accessing fees. (1) In accordance with section
(4)(A)(iv) of the Freedom of Information Act, as amended, with the
exception of requesters seeking documents for a commercial use, NRPC
shall provide the first 100 pages of duplication and the first two hours
of search time without charge.
(2) NRPC shall not charge fees to any requester, including
commercial-use requesters, if the cost of collecting a fee would be
equal to or greater than the fee itself.
(3) With the exception of requesters seeking documents for a
commercial use, NRPC shall not charge fees for computer search until the
cost of the search equals the equivalent dollar amount of two hours of
the salary of the operator performing the search.
(g) Payment procedures. (1) A request will not be deemed to have
been received by the Freedom of Information Office until the requester
has agreed to pay the anticipated fees and has made an advance deposit
if one is required.
(2) Remittances shall be in the form of either a personal check or
bank draft drawn on a bank in the United States, or a money order.
(3) Remittances shall be made payable to National Railroad Passenger
Corporation and mailed to the Freedom of Information Office.
(h) Late charges. Interest may be charged those requesters who fail
to pay fees charged. NRPC may begin assessing interest charges on the
amount billed starting on the 31st day following the day on which the
billing was sent. Interest will be at the rate prescribed in section
3717 of Title 31 U.S.C. and will accrue from the date of the billing.
(i) Other procedures. NRPC shall use the most efficient and least
costly methods to comply with requests for documents made under the
FOIA. NRPC may choose to contract with outside services to locate,
reproduce and disseminate the records in response to FOIA requests when
deemed the most efficient and least costly method. When documents
responsive to a request are maintained for distribution by government
agencies operating statutory-based fee schedule programs, such as, but
not limited to, the Government Printing Office or the National Technical
Information Service, NRPC will inform requesters of the steps necessary
to obtain records from those sources.
(52 FR 15321, Apr. 28, 1987, as amended at 52 FR 31407, Aug. 20,
1987)
49 CFR 701.8Notification procedures for confidential commercial and
financial information.
(a) Definitions. For the purpose of this section, the following
definitions apply:
(1) Confidential commerical or financial information means records
provided to NRPC by a submitter that arguably contain material exempt
from release under Exemption 4 of FOIA, 5 U.S.C. 552(b)(4), because
disclosure could reasonably be expected to cause substantial competitive
harm.
(2) Submitter means any person or entity who provides confidential or
financial commercial information to NRPC. The term submitter includes,
but is not limited to, corporations, state governments, and foreign
governments.
(3) Requester means any person or entity who submits a valid request
for information under the Freedom of Information Act. The term
includes, but is not limited to, corporations, state governments, and
foreign governments.
(b) Notice requirements. (1) For confidential commercial or
financial information submitted prior to January 1, 1988, NRPC shall, if
it determines that it may be required to disclose the requested
information, notify the submitter in writing prior to the release of
responsive records whenever:
(i) The records are less than 10 years old and the information has
been designated by the submitter as confidential commercial or financial
information; or
(ii) NRPC has reason to believe that disclosure of the information
could reasonably be expected to cause substantial competitive harm.
(2) For confidential financial or commercial information submitted on
or after January 1, 1988, the submitter may designate, at the time the
information is submitted to NRPC or a reasonable time thereafter, any
information the disclosure of which the submitter claims could
reasonably be expected to cause substantial competitive harm. NRPC
shall, if it determines that it may be required to disclose the
requested information, notify the submitter in writing prior to its
release whenever:
(i) The records are designated pursuant to paragraph (b)(1)(i) of
this section; or
(ii) NRPC has reason to believe that disclosure of the formation
could reasonably be expected to cause substantial competitive harm.
(c) Opportunity to object to disclosure. After notification is given
pursuant to paragraph (b)(1) or (b)(2) of this section, the submitter
shall have ten days from the receipt of notification in which to object
to the disclosure of any specified portion of the information and to
state all grounds upon which disclosure is opposed.
(d) Notice of intent to disclose. In all instances when NRPC
determines to disclose the requested records, the Corporation shall
provide the submitter with a written notice to include the following:
(1) A statement briefly explaining why the submitter's objections
were not sustained;
(2) A description of the business information to be disclosed or a
copy of the material proposed for release; and
(3) A specific disclosure date.
The notice shall be provided to the submitter ten working days prior
to the specified disclosure date. The requester shall also be advised
of NRPC's final determination to disclose the requested information at
the same time as notification is provided to the submitter.
(e) Notice of FOIA lawsuit. Whenever a FOIA requester brings suit
seeking to compel disclosure of confidential commercial or financial
information, NRPC shall promptly notify the submitter.
(f) Exceptions to notice requirements. The notice requirements of
paragraphs (b)(1) and (b)(2) of this section need not be followed if:
(1) NRPC determines that the information should not be disclosed;
(2) The information has been published or has been officially made
available to the public;
(3) Disclosure of the information is required by law (other than
FOIA);
(4) The information requested is not designated by the submitter as
exempt from disclosure in accordance with these regulations, unless
Amtrak has substantial reason to believe that disclosure of the
information would result in competitive harm; or
(5) The designation made by the submitter appears obviously
frivolous, except that NRPC will provide the submitter with written
notice of any final administrative disclosure determination pursuant to
paragraph (c) of this section.
(g) Notification of requester. Whenever NRPC notifies a submitter
that it may be required to disclose information pursuant to paragraphs
(b)(1) and (b)(2) of this section, NRPC shall also notify the requester
that notice and an opportunity to comment are being provided to the
submitter.
(53 FR 5581, Feb. 25, 1988)
49 CFR 701.8 49 CFR Ch. VIII (10-1-91 Edition)
49 CFR 701.8 National Transportation Safety Board
49 CFR 701.8 CHAPTER VIII -- NATIONAL TRANSPORTATION
49 CFR 701.8 SAFETY BOARD
Part
Page
800 Organization and functions of the Board and delegations of
authority
801 Public availability of information
802 Rules implementing the Privacy Act of 1974
803 Official seal
804 Rules implementing the Government in the Sunshine Act
805 Employee responsibilities and conduct
806 National security information policy and guidelines, implementing
regulations
807 Enforcement of nondiscrimination on the basis of handicap in
programs or activities conducted by the National Transportation Safety
Board
821 Rules of practice in air safety proceedings
825 Rules of procedure for merchant marine appeals from decisions of
the Commandant, U.S. Coast Guard
826 Rules implementing the Equal Access to Justice Act of 1980
830 Notification and reporting of aircraft accidents or incidents and
overdue aircraft, and preservation of aircraft wreckage, mail, cargo,
and records
831 Accident/incident investigation procedures
835 Testimony of Board employees
840 Rules pertaining to notification of railroad accidents
845 Rules of practice in transportation; accident/incident hearings
and reports
850 Coast Guard -- National Transportation Safety Board marine
casualty investigations
851 -- 999 (Reserved)
49 CFR 701.8 49 CFR Ch. VIII (10-1-91 Edition)
49 CFR 701.8 National Transportation Safety Board
49 CFR 701.8 PART 800 -- ORGANIZATION AND FUNCTIONS OF THE BOARD AND DELEGATIONS OF AUTHORITY
49 CFR 701.8 Subpart A -- Organization and Functions
Sec.
800.1 Purpose.
800.2 Organization.
800.3 Functions.
800.4 Operation.
800.5 Office locations.
800.6 Availability of information and materials.
49 CFR 701.8 Subpart B -- Delegations of Authority to Staff Members
800.21 Purpose.
800.22 Delegation to the Managing Director.
800.23 Delegation to the administrative law judges, Office of
Administrative Law Judges.
800.24 Delegation to the General Counsel.
800.25 Delegation to the Director, Bureau of Accident Investigation.
800.26 Delegation to the Director, Bureau of Administration.
800.27 Delegation to investigative officers and employees of the
Board.
800.28 Delegation to the Director, Bureau of Field Operations.
Appendix -- Request to the Secretary of the Department of
Transportation To Investigate Certain Aircraft Accidents
Authority: Independent Safety Board Act of 1974, Pub. L. 93-633, 88
Stat. 2166 (49 U.S.C. 1901 et seq.).
Source: 49 FR 26232, June 27, 1984, unless otherwise noted.
49 CFR 701.8 Subpart A -- Organization and Functions
49 CFR 800.1Purpose.
This part describes the organization, functions, and operation of the
National Transportation Safety Board (Board).
49 CFR 800.2Organization.
The Board consists of five Members appointed by the President with
the advice and consent of the Senate. One of the Members is designated
by the President as Chairman with the advice and consent of the Senate,
and one as Vice Chairman. The Members exercise the functions, powers,
and duties of Titles VI and VII of the Federal Aviation Act of 1958 (49
U.S.C. 1441), and the Independent Safety Board Act of 1974 (88 Stat.
2166 et seq. (49 U.S.C. 1901 et seq.)). The Board is an independent
agency of the United States. A detailed description of the Board and
its components is published in the Board's internal orders, which are
available for inspection and copying in the public reference room in the
Washington office of the Board. The various delegations of authority
from the Board and the Chairman to the staff are set forth in Subpart B
of this part. The Board's staff is comprised of the following
prinicipal components:
(a) The Office of the Managing Director, which assists the Chairman
in the discharge of his functions as executive and administrative head
of the Board, coordinates and directs the activities of the staff, is
responsible for the day-to-day operation of the Board, and recommends
and develops plans to achieve the Board's program objectives. The
Office of the Managing Director also provides excutive secretariat
services to the Board.
(b) The Office of Government and Public Affairs, which supplies the
public, the Congress, other Federal, state and local government
agencies, the transportation industry and the news media, with current,
accurate information concerning the work, programs, and objectives of
the Board.
(c) The Office of the General Counsel, which provides legal advice
and assistance to the Board and its staff components, prepares Board
rules, opinions and/or orders, and advice to all offices and bureaus on
matters of legal significance; and represents the Board in court
actions to which the Board is a party or in which the Board is
interested.
(d) The Office of Administrative Law Judges, which conducts all
formal proceedings arising under Title VI of the Federal Aviation Act of
1958, including proceedings involving suspension or revocation of
certificates and appeals from actions of the Administrator, Federal
Aviation Administration, in refusing to issue airman certificates.
(e) The Bureau of Accident Investigation, which conducts
investigations of all major transportation accidents and other marine,
pipeline and hazardous materials accidents within the Board's
jurisdiction; recommends to the Board whether a public hearing or
deposition proceeding should be held to determine the facts, conditions,
and circumstances of major accidents; prepares a report for release to
the public regarding such accidents for submission to the Board
including a recommendation as to the probable cause(s); determines the
probable cause(s) of accidents where delegated authority to do so by the
Board; initiates safety recommendations to prevent future
transportation accidents; and participates in the investigation of
accidents which occur in foreign countries and which involve
U.S.-registered and/or U.S.-manufactured aircraft, pursuant to Annex 13
of the Chicago Convention.
(f) The Bureau of Field Operations, which oversees the Board's field
offices located throughout the United States, and conducts all aviation,
rail and highway accident investigations within the Board's jurisdiction
other than those conducted by the Bureau of Accident Investigation;
prepares a report for release to the public regarding such accidents;
determines the probable cause(s) of accidents where authority to do so
is delegated by the Board; initiates safety recommendations to prevent
future transportation accidents; and conducts special investigations
into selected aviation, rail or highway accidents involving safety
issues of concern to the Board.
(g) The Bureau of Technology, which provides technical advice and
services, conducts research, and carries out analytical studies and
tests on all aspects of the Board's accident investigation, accident
prevention, and safety promotion activities, including safety
recommendations, studies, and special investigations.
(h) The Bureau of Safety Programs, which conducts safety studies of
specific safety issues; coordinates the development of and follow-up on
the safety recommendations issued by the Board; coordinates preparation
of Board comments on Notices of Proposed Rulemaking by other Federal
agencies which involve transportation safety issues; provides
statistical analyses of transportation accident and incident data; and
prepares transportation safety program proposals for submission to the
Board.
(i) The Bureau of Administration, which provides administrative
support for the Board in the following areas: Budget, accounting and
audit; personnel, training and payroll; information management and
automatic data processing; property, space, communications, facilities
and transportation management; and printing, publications, mail,
procurement, contracting, and accident inquiry services.
49 CFR 800.3Functions.
(a) The primary function of the Board is to promote safety in
transportation. The Board is responsible for the investigation,
determination of facts, conditions, and circumstances and the cause or
probable cause or causes of: All accidents involving civil aircraft;
highway accidents including railroad grade-crossing accidents, the
investigation of which is selected in cooperation with the States;
railroad accidents in which there is a fatality, substantial property
damage, or which involve a passenger train; pipeline accidents in which
there is a fatality or substantial property damage; and major marine
casualties and marine accidents involving a public and a non-public
vessel or involving Coast Guard functions. The Board makes
transportation safety recommendations to Federal, State, and local
agencies, and private organizations, to reduce the likelihood of
recurrence of transportation accidents. It initiates and conducts
safety studies and special investigations on matters pertaining to
safety in transportation, assesses techniques and methods of accident
investigation, evaluates the effectiveness of transportation safety
consciousness and efficacy in preventing accidents of other Government
agencies, and evaluates the adequacy of safeguards and procedures
concerning the transportation of hazardous materials.
(b) Upon application of affected parties, the Board reviews in
quasi-judicial proceedings, conducted pursuant to the provisions of the
Administrative Procedure Act, 5 U.S.C. 551 et seq., denials by the
Administrator of the Federal Aviation Administration of applications for
airman certificates and orders of the Administration modifying,
amending, suspending, or revoking certificates. The Board also reviews
on appeal the decisions of the Commandant, U.S. Coast Guard, on appeals
from orders of adminstrative law judges suspending, revoking, or denying
seamen licenses, certificates, or documents.
(c) The Board, as provided in Part 801 of this chapter, issues
reports and orders pursuant to its duties to determine the cause or
probable cause or causes of transportation accidents and to report the
facts, conditions and circumstances relating to such accidents; issues
opinions and/or orders after reviewing on appeal the suspension,
amendment, modification, revocation, or denial of any certificate or
license issued by the Secretary of the Department of Transportation (who
acts through the Administrator of the Federal Aviation Administration or
the Commandant of the United States Coast Guard); and issues and makes
available to the public safety recommendations, safety studies, and
reports of special investigations.
49 CFR 800.4Operation.
In exercising its functions, duties, and responsibilities, the Board
utilizes:
(a) The Board's staff, consisting of specialized bureaus and offices
dealing with particular areas of transportation safety and performing
administrative and technical work for the Board. The staff advises the
Board and performs duties for the Board that are inherent in the staff's
position in the organizational structure or that the Board has delegated
to it. The staff is described more fully in 800.2.
(b) Rules published in the Federal Register and codified in this
Title 49 of the Code of Federal Regulations. These rules may be
inspected in the Board's public reference room, or purchased from the
Superintendent of Documents, Government Printing Office.
(c) Procedures and policies set forth in the agency's internal
directives system which govern the activities of employees and
organizational components of the Board. The internal directives system
is designated as the NTSB Manual and consists of instructions which are
called NTSB Orders and NTSB Notices.
(d) Meetings of the Board Members conducted pursuant to the
Government in the Sunshine Act.
(e) Public hearings in connection with transportation accident
investigations and public hearings and oral arguments in proceedings
concerned with certificates or licenses issued by the Secretary or an
Administrator of the Department of Transportation. They are held at the
time and place announced in the notices thereof which are served on the
parties to the proceedings or published in the Federal Register.
49 CFR 800.5Office locations.
The principal offices of the National Transportation Safety Board are
located at 800 Independence Avenue, SW., Washington, DC 20594. The
Board maintains field offices in selected cities throughout the United
States.
49 CFR 800.6 Availability of information and materials.
Part 801 of this chapter provides detailed information concerning the
availability of Board documents and records. That part also provides a
fee schedule and information concerning inspection and copying.
49 CFR 800.6 Subpart B -- Delegations of Authority to Staff Members
49 CFR 800.21 Purpose.
The purpose of this Subpart B is to publish all delegations of
authority of staff members which do not appear in other Board
regulations.
49 CFR 800.22 Delegation to the Managing Director.
(a) The Board hereby delegates to the Managing Director the authority
to:
(1) Make the final determination as to whether to withhold a Board
record from inspection of copying, pursuant to Part 801 of this chapter.
(2) Approve for publication in the Federal Register notices
concerning issuance of accident reports and safety recommendations and
responses to safety recommendations, as required by sections 304(a)(2)
and 307 of the Independent Safety Board Act of 1974 (49 U.S.C.
1903(a)(2) and 1906).
(b) The Chairman delegates to the Managing Director the authority to
exercise and carry out, subject to the direction and supervision of the
Chairman, the following functions vested in the Chairman:
(1) The appointment and supervision of personnel employed by the
Board;
(2) The distribution of business among such personnel and among
organizational components of the Board; and
(3) The use and expenditure of funds.
49 CFR 800.23 Delegation to the administrative law judges, Office of
Administrative Law Judges.
The Board hereby delegates to the administrative law judges the
authority generally detailed in procedural regulation, Part 821, of this
chapter.
49 CFR 800.24 Delegation to the General Counsel.
The Board hereby delegates to the General Counsel the authority to:
(a) Approve, disapprove, or request further information concerning
requests for testimony of Board employees with respect to their
participation in the investigation of accidents, and, upon receipt of
notice that an employee has been subpoenaed, to make arrangements with
the court either to have the employee excused from testifying or to give
the employee permission to testify in accordance with the provisions of
Part 835 of this chapter.
(b) Approve or disapprove in safety enforcement proceedings, for good
cause shown, requests for changes in procedural requirements subsequent
to the initial decision, grant or deny requests to file additional
briefs pursuant to 821.48 of this chapter, and raise on appeal any
issue the resolution of which he deems important to the proper
disposition of proceedings under 821.49 of this chapter.
(c) Approve or disapprove, for good cause shown, requests to extend
the time for filing comments on proposed new or amended regulations.
(d) Issue regulations for the purpose of making editorial changes or
corrections in the Board's rules and regulations.
(e) Issue orders staying, pending judicial review, orders of the
Board suspending or revoking certificates, and consent to the entry of
judicial stays with respect to such orders.
(f) Compromise civil penalties in the case of violations arising
under Title VII of the Federal Aviation Act of 1958, or any rule,
regulation, or order issued thereunder.
(g) Issue orders dismissing appeals from initial decisions of Board
administrative law judges pursuant to the request of the appellant.
(h) Correct Board orders by eliminating typographical, grammatical,
and similar errors, and make editorial changes therein not involving
matters of substance.
49 CFR 800.25 Delegation to the Director, Bureau of Accident
Investigation.
The Board hereby delegates to the Director, Bureau of Accident
Investigation, the authority to:
(a) Order an investigation into the facts, conditions, and
circumstances of transportation accidents which the Board has authority
to investigate.
(b) Disclose factual information pertinent to all accidents or
incidents as provided for in Part 801 of this chapter.
(c) Determine the probable cause(s) of accidents in which the
determination is issued in the ''Brief of Accident'' format, except that
the Bureau Director will submit the findings of the accident
investigation to the Board for determination of the probable cause(s)
when (1) any Board Member so requests, (2) it appears to the Bureau
Director that, because of significant public interest, a policy issue,
or a safety issue or other matter, the determination of the probable
cause(s) should be made by the Board, or (3) the accident investigation
will be used to support findings in a safety study. Provided, that a
petition for reconsideration or modification of a determination of the
probable cause(s) made under 845.41 of the Board's regulations (49 CFR
845.41) shall be acted on by the Board.
(49 FR 26232, June 27, 1984, as amended at 54 FR 10331, Mar. 13,
1989)
49 CFR 800.26 Delegation to the Director, Bureau of Administration.
The Board hereby delegates to the Director, Bureau of Administration,
the authority to:
(a) Determine initially the withholding of a Board record from
inspection or copying, pursuant to Part 801 of this chapter.
(b) Settle claims for money damages of $2,500 or less against the
United States arising under section 2672 of 28 United States Code (the
Federal Tort Claims Act) because of acts or omissions of Board
employees.
49 CFR 800.27Delegation to investigative officers and employees of the
Board.
The Board hereby delegates to any officer or employee of the Board
who is designated by the Chairman of the Safety Board the authority to
sign and issue subpoenas, and administer oaths and affirmations, and to
take depositions or cause them to be taken in connection with the
investigation of transportation accidents.
49 CFR 800.28Delegation to Director, Bureau of Field Operations.
The Board hereby delegates to the Director, Bureau of Field
Operations, the authority to:
(a) Order an investigation into the facts, conditions, and
circumstances of transportation accidents which the Board has authority
to investigate.
(b) Disclose factual information pertinent to all accidents or
incidents as provided for in Part 801 of this chapter.
(c) Determine the probable cause(s) of accidents in which the
determination is issued in the ''Brief of Accident'' format, except that
the Bureau Director will submit the findings of the accident
investigation to the Board for determination of the probable cause(s)
when (1) any Board Member so requests, (2) it appears to the Bureau
Director that, because of significant public interest, a policy issue,
or a safety issue or other matter, the determination of the probable
cause(s) should be made by the Board, or (3) the accident investigation
will be used to support findings in a safety study. Provided, that a
petition for reconsideration or modification of a determination of the
probable cause(s) made under 845.41 of the Board's regulations (49 CFR
845.41) shall be acted on by the Board.
(49 FR 26232, June 27, 1984, as amended at 54 FR 10331, Mar. 13,
1989)
49 CFR 800.28 Pt. 800, App.
49 CFR 800.28 Appendix -- Request to the Secretary of the Department of
Transportation to Investigate Certain Aircraft Accidents
(a) Acting pursuant to the authority vested in it by Title VII of the
Federal Aviation Act of 1958 (49 U.S.C. 1441) and section 304(a)(1) of
the Independent Safety Board Act of 1974, the National Transportation
Safety Board (Board) hereby requests the Secretary of the Department of
Transportation (Secretary) to exercise his authority subject to the
terms, conditions, and limitations of Title VII and section 304(a)(1) of
the Independent Safety Board Act of 1974, and as set forth below to
investigate the facts, conditions, and circumstances surrounding certain
fixed-wing and rotorcraft aircraft accidents and to submit a report to
the Board from which the Board may make a determination of the probable
cause.
(b) The authority to be exercised hereunder shall include the
investigation of all civil aircraft accidents involving rotorcraft,
serial application, amateur-built aircraft, restricted category
aircraft, and all fixed-wing aircraft which have a certificated maximum
gross takeoff weight of 12,500 pounds or less except:
(1) Accidents in which fatal injuries have occurred to an occupant of
such aircraft, but shall include accidents involving fatalities incurred
as a result of aerial application operations, amateur-built aircraft
operations, or restricted category aircraft operations.
(2) Accidents involving aircraft operated in accordance with the
provisions of Part 135 of the Federal Air Regulations entitled ''Air
Taxi Operators and Commercial Operators of Small Aircraft.''
(3) Accidents involving aircraft operated by an air carrier
authorized by certificate of public convenience and necessity to engage
in air transportation.
(4) Accidents involving midair collisions.
(c) Provided, That the Board may, through the chiefs of its field
offices, or their designees who receive the initial notifications,
advise the Secretary, through his appropriate designee, that the Board
will assume the full responsibility for the investigation of an accident
included in this request in the same manner as an accident not so
included; and Provided further, That the Board, through the chiefs of
its field offices, or their designees who receive initial notifications
may request the Secretary, through his appropriate designee, to
investigate an accident not included in this request, which would
normally be investigated by the Board under section (b) (1) through (4)
above, and in the same manner as an accident so included.
(d) Provided, That this authority shall not be construed to authorize
the Secretary to hold public hearings or to determine the probable cause
of the accident; and Provided further, That the Secretary will report
to the Board in a form acceptable to the Board the facts, conditions,
and circumstances surrounding each accident from which the Board may
determine the probable cause.
(e) And provided further, That this request includes authority to
conduct autopsies and such other tests of the remains of deceased
persons aboard the aircraft at the time of the accident, who die as a
result of the accident, necessary to the investigations requested
hereunder and such authority may be delegated and redelegated to any
official or employee of the Federal Aviation Administration (FAA). For
the purpose of this provision, designated aviation examiners are not
deemed to be officials or employees of the FAA.
(f) Invoking the provisions of section 701(f) of the Federal Aviation
Act of 1958, and section 304(a)(1) of the Independent Safety Board Act
of 1974, is necessary inasmuch as sufficient funds have not been made
available to the Board to provide adequate facilities and personnel to
investigate all accidents involving civil aircraft. This request,
therefore, is considered to be temporary in nature and may be modified
or terminated by written notice to the Secretary.
49 CFR 800.28 PART 801 -- PUBLIC AVAILABILITY OF INFORMATION
49 CFR 800.28 Subpart A -- Applicability and Policy
Sec.
801.1 Applicability.
801.2 Policy.
801.3 Definitions.
49 CFR 800.28 Subpart B -- Administration
801.10 General.
801.11 Segregability of records.
801.12 Protection of records.
801.13 Production of records on demand of courts or other
authorities.
49 CFR 800.28 Subpart C -- Time Limits
801.20 Initial determination.
801.21 Final determination.
801.22 Extension.
49 CFR 800.28 Subpart D -- Accident Investigation Records
801.30 Field aircraft accident investigations.
801.31 Major aircraft accident investigations.
801.32 Aircraft accident public hearings.
801.33 Surface transportation accident investigations.
801.34 Surface accident public hearings.
801.35 Aviation accident reports.
801.36 Surface transportation accident reports.
49 CFR 800.28 Subpart E -- Other Board Documents
801.40 The Board's rules.
801.41 Transportation safety recommendations.
801.42 Indexes to aviation and maritime enforcement cases.
801.43 Administrative staff manuals and instructions and indexes that
affect the public.
801.44 Reports to Congress.
801.45 Other records.
801.46 Special document services.
49 CFR 800.28 Subpart F -- Exemption From Public Disclosure
801.50 General.
801.51 National defense and foreign policy secrets.
801.52 Internal personnel rules and practices of the Board.
801.53 Records exempt by statute from disclosure.
801.54 Interagency and intra-agency exchanges.
801.55 Unwarranted invasion of personal privacy.
801.56 Records compiled for law enforcement purposes.
801.57 Records for regulation of financial institutions.
801.58 Geological records.
801.59 Trade secrets and commercial or financial information.
Appendix -- Fee Schedule
Authority: Freedom of Information Act, Pub. L. 93-502, amending 5
U.S.C. 552; Independent Safety Board Act of 1974, Pub. L. 93-633, 88
Stat. 2166 (49 U.S.C. 1901 et seq.), 31 U.S.C. 483a, and 18 U.S.C. 641
and 2071(a).
Source: 41 FR 39755, Sept. 16, 1976, unless otherwise noted.
49 CFR 800.28 Subpart A -- Applicability and Policy
49 CFR 801.1Applicability.
(a) This part implements the provisions of the Freedom of Information
Act (5 U.S.C. 552) as amended by Pub. L. 93-502, November 21, 1974, and
the publication and public access requirements embodied in title III of
the Independent Safety Board Act of 1974 (88 Stat. 2166 (49 U.S.C. 1901
et seq.)). In addition, it provides for document services and the
charges therefor, pursuant to 31 U.S.C. 483a.
(b) This part applies only to records existing when the request for
the information is made. The National Transportation Safety Board
(Board) is not required to compile or procure records for the sole
purpose of making them available hereunder.
(c) Subpart F of this part describes records which are exempt from
public disclosure.
49 CFR 801.2Policy.
In implementing 5 U.S.C. 552, it is the policy of the Board to make
information available to the public to the greatest extent possible.
Accordingly, all records of the Board, except those that the Board
specifically determines must not be disclosed in the national interest,
or for the protection of private rights, or for the efficient conduct of
public business to the extent permitted by the Freedom of Information
Act, are declared to be available for public inspection and copying, as
provided in this part. Records are to be made available to the public
promptly and to the fullest extent consistent with this policy. No
record may be withheld from the public solely because its release might
indicate administrative error or embarrass an officer or employee of the
Board.
49 CFR 801.3Definitions.
Record includes any writing, drawing, map, recording, tape, film,
photo, or other documentary material by which information is preserved,
and this definition also applies to section 306(a) of the Independent
Safety Board Act of 1974, which requires public access to any
information. In this part, document and record shall have the same
meaning.
Chairman means the Chairman of the Board.
Managing Director means the Managing Director of the Board.
49 CFR 801.3 Subpart B -- Administration
49 CFR 801.10General.
(a) The Director, Bureau of Administration, is responsible for the
custody and control of all Board records required to be preserved under
directives of the General Services Administration, issued pursuant to 44
U.S.C. 3102.
(b) The Director, Bureau of Administration, shall be solely
responsible for the initial determination of whether to release records
within the 10 working days' limit, or the extension specified in the
Freedom of Information Act.
(c) The Public Inquiries Section, Bureau of Administration, shall:
(1) Maintain for public access and commercial reproduction all
accident files containing aviation and surface investigator's reports,
factual accident reports or group chairman reports, documentation and
accident correspondence files, transcripts of public hearings, if any,
and exhibits.
(2) Maintain a public reference room (with self-service duplicator)
and, on request, permit the public to inspect public documents during
normal working hours.
(3) Maintain copies of public documents, specified in the Appendix,
for inspection and copying in the public reference room.
(d) Requests for documents must be addressed to the Public Inquiries
Section, National Transportation Safety Board, Washington, DC 20594.
All requests must reasonably identify the record requested, must be
accompanied by the fee or agreement (if any) to pay the reproduction
costs shown in the fee schedule (see Appendix), and must contain the
address and telephone number of the person making the request. The
envelope in which the request is sent should be marked prominently with
the letters ''FOIA.'' The Bureau of Administration, if there is a
failure to comply fully, will attempt to contact the requester
immediately to rectify the omission. However, the 10-working-day limit
for processing shall not commence until the Bureau of Administration
receives a totally correct request.
(e) The field offices of the Board shall not maintain, for public
access, records maintained by the Bureau of Administration. If requests
are made to field offices, advice will be promptly given as to how to
make such requests.
(f) The Bureau of Administration shall maintain a contract with a
commercial reproduction firm to accommodate requests for reproduction of
accident records. The reproduction charges may be subject to change
with each contract renewal.
(g) Requests for documents generated by other agencies or entities
will not be processed unless they are contained in the Board's accident
files.
(h) Requests for records not yet issued will be held in abeyance
until issuance and then processed. The person making the request will
be so notified.
(i) No charge will be made by the Board for notices, decisions,
orders, etc., required by law to be served on a party to any proceeding
or matter before the Board.
(j) Upon approval of the Director, Bureau of Administration,
subscriptions to Board publications may be entered without charge for
States, organizations, or other entities specified in the fee schedule
set forth in the appendix.
49 CFR 801.11Segregability of records.
The initial decision of the Director, Bureau of Administration shall
include a determination of segregability. If it is reasonable to do so,
the exempt portions will be deleted and the nonexempt portions will be
sent to the requester.
49 CFR 801.12Protection of records.
(a) No person may, without permission, remove from the place where it
is made available any record made available to him for inspection or
copying. Stealing, altering, multilating, obliterating, or destroying,
in whole or in part, such a record shall be deemed a crime.
(b) Section 641 of title 18 of the U.S.C. provides, in pertinent
part, as follows:
''Whoever * * * steals, purloins, or knowingly converts to his use or
the use of another, or without authority, sells, conveys or disposes of
any record * * * or thing of value of the United States or of any
department or agency thereof * * * Shall be fined not more than $10,000
or imprisoned not more than ten years or both; but if the value of such
property does not exceed the sum of $100, he shall be fined not more
than $1,000 or imprisoned not more than one year, or both. * * *''
(c) Section 2071(a) of title 18 of the U.S.C. provides, in pertinent
part, as follows:
''(a) Whoever willfully and unlawfully conceals, removes, mutilates,
obliterates, or destroys, or attempts to do so, or, with intent to do so
takes and carries away any record, proceeding, map, book, paper,
document, or other things, filed or deposited * * * in any public
office, or with any * * * public officer of the United States, shall be
fined not more than $2,000 or imprisoned not more than three years, or
both.''
49 CFR 801.13Production of records on demand of courts or other
authorities.
(a) No Board employee or Member, other than the Managing Director or
the General Counsel, may respond to a demand of a court or other
authority for the production of any Board records.
(b) Whenever an employee or Board Member is served with a court order
or other record order, or subpoena duces tecum, he shall immediately
advise the General Counsel's office, and the General Counsel shall
determine the course of action to be taken.
(c) Subpoenas and requests for oral testimony will be processed
pursuant to Part 835 of this chapter.
49 CFR 801.13 Subpart C -- Time Limits
49 CFR 801.20Initial determination.
An initial determination as to whether to release a record shall be
made by the Director, Bureau of Administration within 10 working days
(excluding Saturdays, Sundays, and legal public holidays) after the
request is received, except that this time limit may be extended up to
10 additional working days in accordance with 801.22, of this part.
The person making the request will be notified immediately in writing of
such determination. If such determination is to release the requested
record, such record shall be made available promptly. If such
determination is made not to release the record, the person making the
request shall, when he is notified of such determination, be advised of
(a) the reason for the determination, (b) the right to appeal the
determination, and (c) the name and title or positions of each person
responsible for the denial of the request.
49 CFR 801.21Final determination.
A determination with respect to any appeal made pursuant to 801.20,
shall be made by the Managing Director within 10 working days (excluding
Saturdays, Sundays, and legal public holidays) after receipt of such
appeal, except that this time limit may be extended for as many as 10
additional working days, in accordance with 801.22.
49 CFR 801.22Extension.
In unusual circumstances as specified in this section, the time
limits prescribed in either, but not both, 801.20 or 801.21, may be
extended by written notice to the person making a request and setting
forth the reasons for such extension and the date on which a
determination is expected to be dispatched. Such notice shall not
specify a date that would result in an extension for more than 10
working days. As used in this paragraph, ''unusual circumstances,'' to
the extent reasonably necessary to the proper processing of the
particular request, means --
(a) The need to search for and collect the requested records from
field facilities or other establishments that are separate from the
Bureau of Administration;
(b) The need to search for, collect, and appropriately examine a
voluminous amount of separate and distinct records which are demanded in
a single request; or
(c) The need to consult with another agency which has a substantial
interest in the disposition of the request or with two or more
components of the agency having substantial subject-matter interest
therein.
49 CFR 801.22 Subpart D -- Accident Investigation Records
49 CFR 801.30Field aircraft accident investigations.
Upon completion of the field investigation (normally 60 days after
the accident), the Board's investigator-in-charge shall complete a
factual report (with documentation) and send it to the Director, Bureau
of Administration, who shall then make the record available to the
public for inspection or commercial copy order (see Appendix).
49 CFR 801.31Major aircraft accident investigations.
Upon completion of the investigation by a team of Board investigators
(normally 60 days after the accident), the report of each investigator
(group chairman), with documentation, shall be sent to the Director,
Bureau of Administration, who shall make these records available to the
public for inspection and commercial copy order (see Appendix).
49 CFR 801.32Aircraft accident public hearings.
Within approximately 2 weeks after a public hearing concerning an
aviation accident, the Director, Bureau of Administration, shall make
available to the public for inspection or commercial copy order, the
hearing transcript and the exhibits introduced at the hearing (see
Appendix).
49 CFR 801.33Surface transportation accident investigations.
Upon completion of the Board's investigation of these accidents
(normally 60 days after the accident), the investigators shall send to
the Director, Bureau of Administration, a file of the documentation
obtained. This file shall then be made available by the Bureau of
Administration, for public access or commercial copy order (see
Appendix).
49 CFR 801.34Surface accident public hearings.
Within approximately 2 weeks after a surface accident public hearing,
the Bureau of Administration shall make available for public inspection
and commercial copy order, the hearing transcript and exhibits
introduced at the hearing.
49 CFR 801.35Aviation accident reports.
(a) The Board shall report the facts, conditions, and circumstances,
and its determination of the cause or probable cause of all U.S. civil
aviation accidents approximately 6 months after each accident occurs.
All such reports shall be provided by computer printout, published
periodically as ''Briefs of Accidents.''
(b) All major or catastropic air carrier accidents and
noncatastrophic accidents, involving both air carriers and general
aviation, which provide unusually significant safety issues shall be
reported by the Board in detailed, narrative format. The formal,
narrative report shall provide the facts, conditions, and circumstances,
and the Board's determination of the cause or probable cause of the
accident; the report shall be issued approximately 6 months after date
of accident.
(c) After notice of issuance appears in the Federal Register, as
required by section 304(a)(2) of the Independent Safety Board Act of
1974, the report shall be made available for public inspection in the
Board's public reference room. (See Appendix for copies and
subscriptions.)
49 CFR 801.36Surface transportation accident reports.
Any surface transportation accident investigated by the Board, and
certain marine accidents investigated by the U.S. Coast Guard, shall
result in a formal Board report. Such report shall provide the facts,
conditions, circumstances, and the Board's determination of cause or
probable cause of the accident. Reports of accidents investigated by
the Board shall be issued approximately 6 months after the date of
accident. After notice of issuance appears in the Federal Register, as
required by section 304 (a)(2) of the Independent Safety Board Act of
1974, the report shall be made available for public inspection in the
Board's public reference room. (See Appendix for copies and
subscriptions.)
49 CFR 801.36 Subpart E -- Other Board Documents
49 CFR 801.40The Board's rules.
The Board's rules are published in the Code of Federal Regulations as
Parts 800 through 899 of this Title 49. Reprints of each part are
maintained by the Bureau of Administration and are available on request
without cost.
49 CFR 801.41Transportation safety recommendations.
All transportation safety recommendations issued by the Board, and
responses thereto, shall be noticed in the Federal Register as required
by section 307 of the Independent Safety Board Act of 1974, and
thereafter shall be made available for inspection or copying in the
Board's public reference room. (See Appendix for copies and
subscriptions.)
49 CFR 801.42Indexes to aviation and maritime enforcement cases.
(a) Pursuant to the Freedom of Information Act, as amended, a
quarterly index to the initial decisions of the Board's administrative
law judges shall be made available for inspection or copying in the
Board's public reference room. (See Appendix for subscription to
initial decisions.)
(b) Pursuant to the Freedom of Information Act, as amended, a
quarterly index to the Board's opinions and orders in aviation and
maritime safety enforcement cases shall be made available for inspection
or copying in the Board's public reference room. (See Appendix for
subscription to opinions and orders and availability of bound National
Transportation Safety Board Decisions.)
49 CFR 801.43Administrative staff manuals and instructions and indexes
that affect the public.
The index to staff manuals which are not exempt from public
disclosure, as set forth in Subpart F, shall be available in the Board's
public reference room (see Appendix).
49 CFR 801.44Reports to Congress.
The Board's annual report to Congress, which is required under
section 305 of the Independent Safety Board Act of 1974, shall be
submitted on July 1 of each year. It may be purchased from the
Government Printing Office or inspected in the Board's public reference
room. All other reports or comments to Congress shall be available in
the Board's public reference room for inspection or by ordering a copy
after issuance.
49 CFR 801.45Other records.
The working files of the Board contain a limited number of records
which may not be exempt, in whole or in part, from public disclosure as
set forth in Subpart F of this part. Such records shall be made
available upon request. Requests for such documents should be made
directly to the head of the unit concerned, as set forth in 801.10(j),
and should contain a reasonable description of the specific record
desired.
49 CFR 801.46Special document services.
(a) Although not required by the Freedom of Information Act, the
Board provides document services at charges required by 31 U.S.C. 483a,
as described in the Appendix.
49 CFR 801.46 Subpart F -- Exemption From Public Disclosure
49 CFR 801.50General.
This subpart implements section 552 (b) of title 5, United States
Code. Section 552 (a) and (b) exempt certain records from public
inspection. The Board will, however, release a record authorized to be
withheld under section 552(b) unless it determines that the release of
that record would be inconsistent with the purpose of the exemption
concerned. Examples of records given in 801.51 through 801.58
included within a particular statutory exemption are not necessarily
illustrative of all types of records covered by the exemption.
49 CFR 801.51National defense and foreign policy secrets.
National defense and foreign policy secrets established by Executive
Order, and properly classified, are exempt from public disclosure.
Requests to the Board for such records will be transferred to the source
agency as appropriate. (Executive Orders 11652, March 8, 1972; 10865,
February 20, 1960; and 10104, February 1, 1950.)
49 CFR 801.52Internal personnel rules and practices of the Board.
(a) Records relating solely to internal personnel rules and practices
that are within the statutory exemptions include memoranda pertaining to
personnel matters such as staffing policies, and procedures for the
hiring, training, promotion, demotion, or discharge of employees, and
management plans, records, or proposals relating to labor-management
relations.
(b) The purpose of this section is to protect any records relating to
internal personnel rules and practices dealing with the relations
between Board management and employees.
49 CFR 801.53Records exempt by statute from disclosure.
This exemption applies to records specifically exempted from
disclosure by statute (other than 5 U.S.C. 552b): Provided, That such
statute (a) requires that the matters be withheld from the public in
such manner as to leave no discretion on the issue, or (b) establishes
particular criteria for withholding or refers to particular types of
matters to be withheld.
(5 U.S.C. 552b)
(42 FR 13284, Mar. 10, 1977)
49 CFR 801.54Interagency and intra-agency exchanges.
(a) Any record prepared by a Board employee for internal Government
use is within the statutory exemption to the extent that it contains --
(1) Opinions made in the course of developing official action by the
Board but not actually made a part of that official action, or
(2) Information concerning any pending Board proceeding, or similar
matter, including any claim or other dispute to be resolved before a
court of law, administrative board, hearing officer, or contracting
officer.
(b) The purpose of this section is to protect the full and frank
exchange of ideas, views, and opinions necessary for the effective
functioning of the Government. These resources must be fully and
readily available to those officials upon whom the responsibility rests
to take official Board action. Its purpose is also to protect against
the premature disclosure of material that is in the developmental stage,
if premature disclosure would be detrimental to the authorized and
appropriate purposes for which the material is being used, or if,
because of its tentative nature, the material is likely to be revised or
modified before it is officially presented to the public.
(c) Examples of materials covered by this section include staff
papers containing advice, opinions, or suggestions preliminary to a
decision or action; advance information on such things as proposed
plans to procure, lease, or otherwise hire and dispose of materials,
real estate, or facilities; documents exchanged preparatory to
anticipated legal proceedings; material intended for public release at
a specified future time, if premature disclosure would be detrimental to
orderly processes of the Board; records of inspections, investigations,
and surveys pertaining to internal management of the Board; and matters
that would not be routinely disclosed in litigation but which are likely
to be the subject of litigation.
49 CFR 801.55Unwarranted invasion of personal privacy.
Any personal, medical, or similar file is within the statutory
exemption if its disclosure would harm the individual concerned or would
be a clearly unwarranted invasion of his personal privacy. This also
applies to financial statements furnished by Board Members and employees
and to commercial or financial information customarily subjected to an
attorney-client or similar privilege.
49 CFR 801.56Records compiled for law enforcement purposes.
This exemption from public disclosure applies to records compiled for
law enforcement, but only to the extent that disclosure would interfere
with enforcement, would be an unwarranted invasion of privacy, would
disclose the identity of a confidential source, would disclose
investigative procedures and practices, or would endanger the life or
security of law enforcement personnel.
49 CFR 801.57Records for regulation of financial institutions.
Records compiled for agencies regulating or supervising financial
institutions are exempt from public disclosure.
49 CFR 801.58Geological records.
Records concerning geological wells are exempt from public
disclosure.
49 CFR 801.59Trade secrets and commercial or financial information.
Trade secrets and commercial or financial information obtained from a
person and privileged or confidential are exempt from public disclosure.
(42 FR 13284, Mar. 10, 1977)
49 CFR 801.59 Pt. 801, App.
49 CFR 801.59 Appendix -- Fee Schedule
1. Fees (pursuant to 31 U.S.C. 483a). Upon request, services relating
to public documents are available at the following fees:
(1) The response to public requests for the following NTSB
publications are handled by the National Technical Information Service
(NTIS). The following publications are available through single copies
or annual subscriptions and may be purchased in paper copy or 98 page
per film microfiche (fees are subject to change by NTIS):
(2) Send publication orders for the above documents to the National
Technical Information Service, 5285 Port Royal Road, Springfield,
Virginia 22161, identifying each subscription by the NTSB Report Number
or the NTIS accession number. Telephone (703) 487-4630 (annual
subscriptions) or (703) 487-4650 (single copies or microfiche). The
NTSB Report Number and the NTIS accession number can be obtained from
the NTSB Public Inquiries Section.
B. Access to transportation accident files (all modes). All files
dated prior to January 1, 1978, are in hard copy form and are maintained
in the Federal Records Center. Files dated January 1, 1978, to present
are maintained in microfiche at the NTSB headquarters. All documents in
the Board's public files may be examined, without charge, in the Board's
public reference room, located in the Public Inquiries Section, Room
805F, 800 Independence Avenue, SW., Washington, DC, telephone (202)
382-6735. A self-service duplicator in the reference room is available
for use by the public at a nominal cost. Usually, two weeks' time is
required to service a request for reproduction. Filling any request for
reproduction of a file that must be retrieved from the Federal Records
Center will require two additional weeks.
(1) Availability of accident files. All transportation mode accident
files are retained in accordance with the following schedule:
a. Air carrier accident files and all public hearing files are
retained for a period of fifteen (15) years and then destroyed.
b. All other transportation accident files are retained for a period
of seven (7) years and then destroyed.
(2) Reproduction of accident files. Reproduction of accident files
(statements, photographs, hearing transcripts, and other material
contained in the Board's accident investigation files) is provided by
commercial contractor. Reproduction of printed matter and photographs
are made from the best copy available. Requests must be forwarded to
the Public Inquiries Section, National Transportation Safety Board,
Washington, DC 20594. The contractor may bill and/or require full
payment before duplicating the requested documents. Fees are subject to
change depending upon the terms of the Board's annual contract.
Current fees are:
a. Microfiche Duplicate, $1.65
b. Microfiche Blowback, .11
c. Aperture Card Blowback, 1.40
d. Photographs (from aperture card):
8''x10'' B&W Glossy Print, 1.65
8''x10'' Color Prints, 2.75
5''x7'' Color Prints, 2.47
3 1/2''x5'' Color Prints, 2.47
e. Hardcopy Reproduction:
8 1/2''x11'' .14
8 1/2''x14'' .10
10''x14'' .05
Oversized Pages (Larger than 10''x14''), .03/sq. in.
f. Photographs (from prints):
8''x10'' B&W Glossy Prints, 1.65
8''x10'' Color Prints, 2.75
5''x7'' Color Prints, 2.47
3 1/2''x5'' Color Prints, 2.47
2''x2'' Color Slides, 2.47
g. Minimum Order Complete File, 1.00
h. Preliminary Report (only), 1.35
i. Probable Cause (only), 1.35
C. Request for other Board information. Requests for any other Board
information such as files on safety recommendations, safety studies,
Board orders, Board opinions and orders, and initial decisions are
available at a cost of 14 cents per page(s) ($1.00 minimum charge).
These services are provided by a public contractor who may pre-bill or
require full payment before duplicating the requested documents.
Requests must be forwarded to the Public Inquiries Section, National
Transportation Safety Board, Washington, DC 20594.
D. Reproduction services through the commercial contractor are
handled as follows:
Step 1: Requestor places written or telephone order with the Board's
Public Inquiries Section for desired documents.
Step 2: The Public Inquiries Section identifies the documents and
forwards the request to the contractor.
Step 3: The contractor provides the requestor with an invoice
showing the actual costs for the service requested plus postage.
Step 4: Requestor returns a copy of the contractor's invoice with
full payment enclosed. Requestor has the option of opening a charge
account with the contractor, and contractor will accept major credit
cards. (Contractor must respond to request within five working days
after receipt of payment.)
Step 5: Contractor reproduces documents and mails them directly to
the requestor.
E. Expedited service. A $2.25 surcharge will be made for expedited
service which will be provided within 2 working days commencing when the
contractor receives advance payment or other arrangements have been made
with the contractor.
F. A fee of $4.00 will be charged for certification of documents
under the Board's seal.
G. Computer tapes and services for aviation accidents. The
duplication of computer tapes (or a portion thereof) will be made on
requestor supplied magnetic tape for a fee of $40.00. The requestor must
provide a 2,400-foot magnetic tape certified to at least 1,600 bits per
inch. Computer tape requests should be addressed to the Public
Inquiries Section, National Transportation Safety Board, Washington, DC
20594.
H. The basic fees set forth provide for ordinary first-class postage
prepaid. If registered, certified, air, or special delivery mail is
requested, postal fees therefor will be added to the basic fee. Also,
if special handling or packaging is required, the cost will be added to
the basic fee.
2. Services available free of charge.
A. The following documents are available without commercial
reproduction cost until limited supplies are exhausted:
(1) Press releases,
(2) Safety Board regulations (Chapter VIII of Title 49, Code of
Federal Regulations),
(3) Indexes to initial decisions, Board orders, opinion and orders,
and staff manuals and instructions,
(4) Safety recommendations, and
(5) NTSB Annual Report.
B. NTSB News Digest. The News Digest describes NTSB activities and
summarizes certain publications. The News Digest is free, and anyone
who is interested in being added to this mailing list should contact the
Public Inquiries Section, National Transportation Safety Board,
Washington, DC 20594.
3. Documents search fee -- The Board has determined that it is in the
public interest to eliminate fees for the first hour of search time.
For all time expended in locating documents beyond the initial hour, the
fee is $5.00 per hour.
4. Publication, reproduction, and search fees are waived for
qualifying foreign countries, international organizations, nonprofit
public safety entities, State and Federal transportation agencies, and
colleges and universities, after approval by the Director, Bureau of
Administration. In addition, fees may be waived or reduced for other
requestors not in any of the foregoing categories, when it is determined
by the Director, Bureau of Administration that a waiver is appropriate
and would contribute to the Board's programs.
(5 U.S.C. 552, 31 U.S.C. 483a, and 49 U.S.C. 1901 et seq.)
(49 FR 4496, Feb. 7, 1984)
49 CFR 801.59 PART 802 -- RULES IMPLEMENTING THE PRIVACY ACT OF 1974
49 CFR 801.59 Pt. 802
49 CFR 801.59 Subpart A -- Applicability and Policy
Sec.
802.1 Purpose and scope.
802.2 Definitions.
49 CFR 801.59 Subpart B -- Initial Procedures and Requirements
802.5 Procedures for requests pertaining to individual records in a
record system.
802.6 Types of requests and specification of records.
802.7 Requests: How, where, and when presented; verification of
identity of individuals making requests; accompanying persons; and
procedures for acknowledgement of requests.
49 CFR 801.59 Subpart C -- Initial Determinations
802.8 Disclosure of requested information.
49 CFR 801.59 Subpart D -- Correction or Amending the Record
802.10 Request for correction or amendment to record.
802.11 Agency review of requests for correction or amendment of
record.
802.12 Initial adverse agency determination on correction or
amendment.
49 CFR 801.59 Subpart E -- Review of Initial Adverse Determination
802.14 Review procedure and judicial review.
49 CFR 801.59 Subpart F -- Fees
802.15 Fees.
49 CFR 801.59 Subpart G -- Penalties
802.18 Penalties.
49 CFR 801.59 Subpart H -- Specific Exemptions
802.20 Security records.
Authority: Privacy Act of 1974, Pub. L. 93-579, 88 Stat. 1896 (5
U.S.C. 552a); Independent Safety Board Act of 1974, Pub. L. 93-633,
88 Stat. 2166 (49 U.S.C. 1901 et seq.); and Freedom of Information
Act, Pub. L. 93-502, November 21, 1974, amending 5 U.S.C. 552.
Source: 41 FR 22358, June 3, 1976, unless otherwise noted.
49 CFR 801.59 Subpart A -- Applicability and Policy
49 CFR 802.1Purpose and scope.
The purpose of this part is to implement the provisions of 5 U.S.C.
552a with respect to the availability to an individual of records of the
National Transportation Safety Board (NTSB) maintained on individuals.
NTSB policy encompasses the safeguarding of individual privacy from any
misuse of Federal records and the provision of access to individuals to
NTSB records concerning them, except where such access is in conflict
with the Freedom of Information Act, or other statute.
(41 FR 39758, Sept. 16, 1976)
49 CFR 802.2Definitions.
In this part:
Board means the five Members of the National Transportation Safety
Board, or a quorum thereof;
Individual means a citizen of the United States or an alien lawfully
admitted for permanent residence;
National Transportation Safety Board (NTSB) means the agency set up
under the Independent Safety Board Act of 1974;
Record means any item, collection, or grouping of information about
an individual that is maintained under the control of the NTSB pursuant
to Federal law or in connection with the transaction of public business,
including, but not limited to, education, financial transactions,
medical history, and criminal or employment history, and that contains a
name, or an identifying number, symbol, or other identifying particular
assigned to an individual, such as a finger or voice imprint or
photograph;
Routine use means the use of such record for a purpose compatible
with the purpose for which it was collected, including, but not limited
to, referral to law enforcement agencies of violations of the law and
for discovery purposes ordered by a court referral to potential
employers, and for security clearance;
Statistical record means a record in a system of records maintained
for statistical research or reporting purposes only and which is not
used wholly or partially in any determination concerning an identifiable
individual;
System Manager means the agency official who is responsible for the
policies and practices of his particular system or systems of record, as
specified in the NTSB notices of systems or records; and
System of records means a group of any records under the control of
the NTSB from which information is retrieved by the name of an
individual or by some identifying number, symbol, or other identifying
particular assigned to the individual, whether presently in existence or
set up in the future.
49 CFR 802.2 Subpart B -- Initial Procedures and Requirements
49 CFR 802.5Procedures for requests pertaining to individual records in
a record system.
The NTSB may not disclose any record to any person or other agency,
except pursuant to a written request by, or with the prior written
consent of, the individual to whom the record pertains, provided the
record under the control of the NTSB is maintained in a system of
records from which information is retrieved by the name of the
individual or by some identifying number, symbol, or other particular
assigned to such individual. Written consent is not required if the
disclosure is:
(a) To officers or employees of the NTSB who require the information
in the official performance of their duties;
(b) Required under 5 U.S.C. 552, Freedom of Information Act;
(c) For a routine use compatible with the purpose for which it was
collected;
(d) To the Bureau of the Census for uses pursuant to title 13,
U.S.C.;
(e) To a recipient who has provided the NTSB with advance adequate
assurance that the record will be used solely as a statistical research
or reporting record and that it is to be transferred in a form not
individually identifiable; or
(f) Pursuant to the order of a court of competent jurisdiction.
49 CFR 802.6Types of requests and specification of records.
(a) Types of requests. An individual may make the following request
respecting records about himself maintained by NTSB in any system of
records subject to the Act:
(1) Whether information concerning himself is contained in any system
of records.
(2) Access to a record concerning himself. Such request may include
a request to review the record and/or obtain a copy of all or any
portion thereof.
(3) Correction or amendment of a record concerning himself.
(4) Accounting of disclosure to any other person or Government agency
of any record concerning himself contained in any system of records
controlled by NTSB, except: (i) Disclosures made pursuant to the FOIA;
(ii) disclosures made within the NTSB; (iii) disclosures made to
another Government agency or instrumentality for an authorized law
enforcement activity pursuant to subsection (b) (7) of the Act; and
(iv) disclosures expressly exempted by NTSB from the requirements of
subsection (c)(3) of the Act, pursuant to subsection (k) thereof.
(b) Specification of records. All requests for access to records
must reasonably describe the system of records and the individual's
record within the system of records in sufficient detail to permit
identification of the requested record. Specific information regarding
the system name, the individual's full name, and other information
helpful in identifying the record or records shall be included.
Requests for correction or amendment of records shall, in addition,
specify the particular record involved, state the nature of the
correction or amendment sought, and furnish justification for the
correction or amendment.
(c) Inadequate identification of record. Requests which do not
contain information sufficient to identify the record requested will be
returned promptly to the requester, with a notice indicating what
information is lacking. Individuals making requests in person will be
informed of any deficiancy in the specification of the records at the
time the request is made. Individuals making requests in writing will
be notified of any such deficiency when their request is acknowledged.
49 CFR 802.7Requests: How, where, and when presented; verification of
identity of individuals making requests; accompanying persons; and
procedures for acknowledgment of requests.
(a) Requests -- general. Requests may be made in person or in
writing. Assistance regarding requests or other matters relating to the
Act may be obtained by writing to the Director, Bureau of
Administration, National Transportation Safety Board, 800 Independence
Avenue, SW., Washington, DC 20594. The Director, Bureau of
Administration, or his designee, on request, will aid an individual in
preparing an amendment to the record or to an appeal following denial of
a request to amend the record, pursuant to subsection (f)(4) of the Act.
(b) Written requests. Written requests shall be made to the
Director, Bureau of Administration at the address given above, and shall
clearly state on the envelope and on the request itself, ''Privacy Act
Request,'' ''Privacy Act Statement of Disagreement,'' ''Privacy Act
Disclosure Accounting Request,'' ''Appeal from Privacy Act Adverse
Determination,'' or ''Privacy Act Correction Request,'' as the case may
be. Actual receipt by the Director, Bureau of Administration, or his
designee, shall constitute receipt.
(c) Requests made in person. Requests may be made in person during
official working hours of the NTSB at the office where the record is
located, as listed in the ''Notice of Systems of Records'' for the
system in which the record is contained.
(d) Verification of identity of requester. (1) For written requests,
the requester's identity must be verified before the release of any
record, unless exempted under the FOIA. This may be accomplished by
adequate proof of identity in the form of a driver's license or other
acceptable item of the same type.
(2) For requests in person, the requester's identity may be
established by a single document bearing a photograph (such as a
passport or identification badge) or by two items of identification
containing name, address, and signature (such as a driver's license or
credit card).
(3) Where a request is made for reproduced records which are to be
delivered by mail, the request must include a notarized statement
verifying the requester's identity.
(e) Inability to provide requisite documentation of identity. A
requester who cannot provide the necessary documentation of identity may
provide a notarized statement, swearing or affirming his identity and
the fact that he is aware of the penalties for false statement imposed
pursuant to 18 U.S.C. 1001, and subsection (i)(3) of the Act. Where
requested, the Director, Bureau of Administration, or his designee, will
assist the requester in formulating the necessary document.
(f) Accompanying persons. A requester may wish to have a person of
his choice accompany him to review the requested record. Prior to the
release of the record, the NTSB will require the requester to furnish
the Director, Bureau of Administration or his designee, with a written
statement authorizing disclosure of the record in the accompanying
person's presence.
(g) Acknowledgment of requests. Written requests to verify the
existence of, to obtain access to, or to correct or amend records about
the requester maintained by NTSB in any system of records subject to the
Act, shall be acknowledged in writing by the Director, Bureau of
Administration, or his designee, within 3 working days after the date of
actual receipt of the request by the Director, Bureau of Administration,
or his designee. The acknowledgment shall advise the requester of the
need for any additional information to process the request. Wherever
practicable, the acknowledgment shall notify the individual whether his
request has been granted or denied. When a request is made in person,
every effort will be made to determine immediately whether the request
will be granted. If such decision cannot be made, the request will be
processed in the same manner as a written request. Records will be made
available for immediate inspection whenever possible.
(41 FR 22358, June 3, 1976, as amended at 41 FR 43154, Sept. 30,
1976)
49 CFR 802.7 Subpart C -- Initial Determinations
49 CFR 802.8Disclosure of requested information.
(a) The System Manager may initially determine that the request be
granted. If so, the individual making the request shall be notified
orally, or in writing, and the notice shall include:
(1) A brief description of the information to be made available;
(2) The time and place where the record may be inspected, or
alternatively, the procedure for delivery by mail to the requesting
party;
(3) The estimated cost for furnishing copies of the record;
(4) The requirements for verification of identity;
(5) The requirements for authorizing discussion of the record in the
presence of an accompanying person; and
(6) Any additional requirements needed to grant access to a specific
system of records or record.
(b) Within 10 working days after actual receipt of the request by the
Director, Bureau of Administration, or his designee, in appropriate
cases, the requester will be informed:
(1) That the request does not reasonably describe the system of
records or record sought to permit its identification, and shall set
forth the additional information needed to clarify the request; or
(2) That the system of records identified does not include a record
retrievable by the requester's name or other identifying particulars.
(c) The System Manager shall advise the requester within 10 working
days after actual receipt of the request by the Director, Bureau of
Administration, or his designee, that the request for access has been
denied, and the reason for the denial, or that the determination has
been made to grant the request, either in whole or in part, in which
case the relevant information will be provided.
(41 FR 22358, June 3, 1976, as amended at 41 FR 43154, Sept. 30,
1976)
49 CFR 802.8 Subpart D -- Correction or Amending the Record
49 CFR 802.10Request for correction or amendment to record.
All requests for correcting or amending records shall be made in
writing to the Director, Bureau of Administration, National
Transportation Safety Board, 800 Independence Avenue., SW., Washington,
DC 20594, and shall be deemed received upon actual receipt by the
Director, Bureau of Administration. The request shall clearly be marked
on the envelope and in the letter with the legend that it is a ''Privacy
Act Correction Request.'' The request must reasonably set forth the
portion of the record which the individual contends is not accurate,
relevant, timely, or complete.
(41 FR 22358, June 3, 1976, as amended at 41 FR 43154, Sept. 30,
1976)
49 CFR 802.11Agency review of requests for correction or amendment of
record.
Within 10 working days after actual receipt of the request by the
Director, Bureau of Administration, or his designee, to correct or amend
the record, the System Manager shall either make the correction in whole
or in part, or inform the individual of the refusal to correct or amend
the record as requested, and shall present the reasons for any denials.
(41 FR 22358, June 3, 1976, as amended at 41 FR 43154, Sept. 30,
1976)
49 CFR 802.12Initial adverse agency determination on correction or
amendment.
If the System Manager determines that the record should not be
corrected or amended in whole or in part, he will forthwith make such
finding in writing, after consulting with the General Counsel, or his
designee. The requester shall be notified of the refusal to correct or
amend the record. The notification shall be in writing, signed by the
System Manager, and shall include --
(a) The reason for the denial;
(b) The name and title or position of each person responsible for the
denial of the request;
(c) The appeal procedures for the individual for a review of the
denial; and
(d) Notice that the denial from the System Manager is appealable
within 30 days from the receipt thereof by the requester to the Board.
The System Manager is allotted 10 working days (or within such
extended period as is provided in the section concerning ''unusual
circumstances'' infra) to respond to the request for review. If the
requester does not receive an answer within such time, the delay shall
constitute a denial of the request and shall permit the requester
immediately to appeal to the Board, or to a district court.
49 CFR 802.12 Subpart E -- Review of Initial Adverse Determination
49 CFR 802.14Review procedure and judicial review.
(a) A requester may appeal from any adverse determination within 30
days after actual receipt of a denial from the System Manager. The
appeal must be in writing addressed to the Chairman, National
Transportation Safety Board, 800 Independence Avenue, SW., Washington,
DC 20594, and shall contain a statement on the envelope and in the
appeal: ''Appeal from Privacy Act Adverse Determination.''
(b) The Board shall make a determination with respect to the appeal
within 30 working days after the actual receipt of the appeal by the
Chairman, except as provided for in ''unusual circumstances'' infra.
(c) (1) Review of denial of access. If the appeal upholds the denial
of access to records, the Board shall: Notify the requester in writing,
explaining the Board's determination; state that the denial is a final
agency action and that judicial review is available in a district court
of the United States in the district where the requester resides or has
his principal place of business, or where the agency records are
located, or in the District of Columbia; and request a filing with the
Board of a concise statement enumerating the reasons for the requester's
disagreement with the denial, pursuant to subsection (g) of the Act.
(2) Review of denial of correction or amendment. If the appeal
upholds the denial in whole or in part for correction or amendment of
the record, the same notification and judicial review privileges
described in paragraph (c)(1) of this section shall apply.
(d) If the denial is reversed on appeal, the Board shall notify the
requester in writing of the reversal. The notice shall include a brief
statement outlining those portions of the individual's record which were
not accurate, relevant, timely, or complete, and corrections of the
record which were made, and shall provide the individual with a courtesy
copy of the corrected record.
(e) Copies of all appeals and written determinations will be
furnished by the System Manager to the Board.
(f) In unusual circumstances, time limits may be extended by not more
than 10 working days by written notice to the individual making the
request. The notice shall include the reasons for the extension and the
date on which a determination is expected to be forthcoming. ''Unusual
circumstances'' as used in this section shall include circumstances
where a search and collection of the requested records from field
offices or other establishments are required, cases where a voluminous
amount of data is involved, and cases where consultations are required
with other agencies or with others having a substantial interest in the
determination of the request.
(g) Statements of Disagreement. (1) Written Statements of
Disagreement may be furnished by the individual within 30 working days
of the date of actual receipt of the final adverse determination of the
Board. They shall be addressed to the Director, Bureau of
Administration, National Transportation Safety Board, 800 Independence
Avenue, S.W., Washington, DC 20594, and shall be clearly marked, both on
the statement and on the envelope, ''Privacy Act Statement of
Disagreement.''
(2) The Director, Bureau of Administration, or his designee, shall be
responsible for ensuring that:
(i) The Statement of Disagreement is included in the system of
records in which the disputed item of information is maintained; and
(ii) The original record is marked to indicate the information
disputed, the existence of the Statement of Disagreement, and its
location within the relevant system of records.
(3) The Director, Bureau of Administration, or his designee, may, if
he deems it appropriate, prepare a concise Statement of Explanation
indicating why the requested amendments or corrections were not made.
Such Statement of Explanation shall be included in the system of records
in the same manner as the Statement of Disagreement. Courtesy copies of
the NTSB Statement of Explanation and the notation of dispute, as marked
on the original record, shall be furnished to the individual who
requested correction or amendment of the record.
(h) Notices of correction and/or amendment, or dispute. After a
record has been corrected or a Statement of Disagreement has been filed,
the Director, Bureau of Administration, or his designee, shall within 30
working days thereof, advise all previous recipients of the affected
record as to the correction or the filing of the Statement of
Disagreement. The idenity of such recipients shall be determined
pursuant to an accounting of disclosures required by the Act or any
other accounting previously made. Any disclosure of disputed
information occurring after a Statement of Disagreement has been filed
shall clearly identify the specific information disputed and shall be
accompanied by a copy of the Statement of Disagreement and a copy of any
NTSB Statement of Explanation.
(i) Disclosure to others of records concerning individuals. Neither
the Board nor other NTSB personnel shall disclose any record which is
contained in a system of records maintained by NTSB, by any means of
communication, including oral communication, to any person, or to
another Government agency, except pursuant to a written request by, or
with the prior written consent, of the individual to whom the record
pertains, unless disclosure of the record is:
(1) To the Board and NTSB personnel who have a need for the record in
the performance of their duties;
(2) Required under the FOIA;
(3) For a routine use published in the Federal Register;
(4) To the Bureau of the Census for purposes of planning or carrying
out a census or survey, or related activity pursuant to the provisions
of title 13 of the U.S.C.;
(5) To a recipient who has provided NTSB with adequate advance
written assurance that the record will be used solely as a statistical
research or reporting record and that the record is transferred in a
form that is not identifiable with respect to individuals; 1053
(6) To the National Archives of the United States as a record which
has sufficient historical or other value to warrant its continued
preservation by the U.S. Government, or to the Administrator of the
General Services Administration, or his designee, for evaluation to
determine whether the record has such value;
(7) To another agency or to an instrumentality of any governmental
jurisdiction within or under the control of the United States for a
civil or criminal law enforcement activity if the activity is authorized
by law, and if the head of the agency or instrumentality has made a
written request to NTSB specifying the particular portion of the record
desired and the law enforcement activity for which the record is sought;
2054
(8) To any person upon a showing of compelling circumstances
affecting the health or safety of any individual;
(9) To either House of Congress or, to the extent of matter within
its jurisdiction, to any committee, or subcommittee thereof, or to any
joint committee of the Congress, or to any subcommittee of such joint
committee;
(10) To the Comptroller General, or any of his authorized
representatives, in the course of the performance of the duties of the
General Accounting Office; or
(11) Pursuant to the order of a court of competent jurisdiction.
(j) Notices of subpoenas. When records concerning an individual are
subpoenaed or otherwise disclosed pursuant to court order, the NTSB
officer or employee served with the subpoena shall be responsible for
assuring that the individual is notified of the disclosure within 5 days
after such subpoena or other order becomes a matter of public record.
The notice shall be mailed to the last known address of the individual
and shall contain the following information: (1) The date the subpoena
is returnable; (2) the court in which it is returnable; (3) the name
and number of the case or proceeding; and (4) the nature of the
information sought.
(k) Notices of emergency disclosures. When information concerning an
individual has been disclosed to any person under compelling
circumstances affecting health or safety, the NTSB officer or employee
who made or authorized the disclosure shall notify the individual at his
last known address within 5 days of the disclosure. The notice shall
contain the following information: (1) The nature of the information
disclosed; (2) the person or agency to whom the information was
disclosed; (3) the date of the disclosure; and (4) the compelling
circumstances justifying the disclosure.
(41 FR 22358, June 3, 1976, as amended at 41 FR 43154, Sept. 30,
1976)
0531The advance written statement of assurance shall state the
purpose for which the record is requested and certify that it will be
used only for statistical purposes. Prior to release under this
paragraph, the record shall be stripped of all personally identifiable
information and reviewed to ensure that the identity of any individual
cannot reasonably be determined by combining two or more statistical
records.
0542A record may be disclosed to a law enforcement agency at the
initiative of NTSB if criminal conduct is suspected, provided that such
disclosure has been established as a routine use by publication in the
Federal Register, and the instance of misconduct is directly related to
the purpose for which the record is maintained.
49 CFR 802.14 Subpart F -- Fees
49 CFR 802.15Fees.
No fees shall be charged for providing the first copy of a record, or
any portion thereof, to individuals to whom the record pertains. The
fee schedule for other records is the same as that appearing in the
Appendix to Part 801 of this chapter, implementing the FOIA, as amended
from time to time, except that the cost of any search for and review of
the record shall not be included in any fee under this Act, pursuant to
subsection (f)(5) of the Act.
49 CFR 802.15 Subpart G -- Penalties
49 CFR 802.18Penalties.
(a) An individual may bring a civil action against the NTSB to
correct or amend the record, or where there is a refusal to comply with
an individual request or failure to maintain any record with accuracy,
relevance, timeliness and completeness, so as to guarantee fairness, or
failure to comply with any other provision of 5 U.S.C. 552a. The court
may order the correction or amendment. It may assess against the United
States reasonable attorney fees and other costs, or may enjoin the NTSB
from withholding the records and order the production to the
complainant, and it may assess attorney fees and costs.
(b) Where it is determined that the action was willful or intentional
with respect to 5 U.S.C. 552(g)(1) (c) or (d), the United States shall
be liable for the actual damages sustained, but in no case less than the
sum of $1,000 and the costs of the action with attorney fees.
(c) Criminal penalties may be imposed against an officer or employee
of the NTSB who fully discloses material which he knows is prohibited
from disclosure, or who willfully maintains a system of records without
meeting the notice requirements, or who knowingly and willfully requests
or obtains any record concerning an individual from an agency under
false pretenses. These offenses shall be misdemeanors with a fine not
to exceed $5,000.
49 CFR 802.18 Subpart H -- Specific Exemptions
49 CFR 802.20Security records.
Pursuant to, and limited by, 5 U.S.C. 552a(k)(5), the NTSB's system
of records, which contains the Security Records of NTSB employees,
prospective employees, and potential contractors, shall be exempt from
disclosure of the material and the NTSB's handling thereof under
subsections (d), (e)(1) and (e)(4) (H) and (I) of 5 U.S.C. 552a.
49 CFR 802.20 PART 803 -- OFFICIAL SEAL
Sec.
803.1 Description.
803.3 Authority to affix Seal.
803.5 Use of the Seal.
Authority: Sec. 303(c)(2), Independent Safety Board Act of 1974,
Pub. L. 93-633, 88 Stat. 2168 (49 U.S.C. 1902(c)(2)).
49 CFR 803.1Description.
The official seal of the National Transportation Safety Board is
described as follows: An American bald eagle with wings displayed,
holding in his dexter (right) talon an olive branch and in his sinister
(left) talon, a bundle of 13 arrows; above his head is a scroll
inscribed ''E Pluribus Unum,'' bearing a shield with vertical stripes of
alternating white and red, crowned by a field of blue, all within an
encircling inscription ''National Transportation Safety Board.'' When
illustrated in color, the background is white. The wings, the body, and
the upper portion of the legs of the eagle are shades of brown; the
head, neck, and tail are white; the beak, feet, and lower portion of
the legs are gold. The inscription on the scroll is black. The
encircling inscription is the same shade of gold as the eagle's beak.
The arrows and the olive branch are a lighter shade of gold. The red
and blue of the shield are national flag red and blue. The official
seal of the Board, in black and white, appears below:
(43 FR 36454, Aug. 17, 1978)
49 CFR 803.3Authority to affix Seal.
(a) The Seal shall be in the custody and control of the Director,
Bureau of Administration of the Board.
(b) The Director, Bureau of Administration may delegate and authorize
redelegations of this authority.
(40 FR 30238, July 17, 1975, as amended at 41 FR 39758, Sept. 16,
1976)
49 CFR 803.5Use of the Seal.
(a) The Seal is the official emblem of the Board and its use is
therefore permitted only as provided in this part.
(b) Use by any person or organization outside of the Board may be
made only with the Board's prior written approval.
(c) Requests by any person or organization outside of the Board for
permission to use the Seal must be made in writing to Director, Bureau
of Administration, National Transportation Safety Board, 800
Independence Avenue, SW., Washington, DC 20594. The request must
specify in detail the exact use to be made. Any permission granted
shall apply only to the specific use for which it was granted.
(d) Use of the Seal shall be essentially for informational purposes.
The Seal may not be used on any article or in any manner which may
discredit the Seal or reflect unfavorably upon the Board, or which
implies Board endorsement of commercial products or services, or of the
user's or users' policies or activities. Specifically, permission may
not be granted under this section for nonofficial use --
(1) On souvenir or novelty items of an expendable nature;
(2) On toys, gifts, or premiums;
(3) As a letterhead design;
(4) On menus, matchbook covers, calendars, or similar items;
(5) To adorn civilian clothing; or
(6) On athletic clothing or equipment.
(e) Where necessary to avoid any prohibited implication or confusion
as to the Board's association with the user or users, an appropriate
legend will be prescribed by the Board for prominent display in
connection with the permitted use.
(f) Falsely making, forging, counterfeiting, mutilating, or altering
the Seal, or knowingly using or possessing with fraudulent intent any
altered Seal is punishable under section 506 of Title 18, U.S.C.
(40 FR 30238, July 17, 1975, as amended at 41 FR 39758, Sept. 16,
1976)
49 CFR 803.5 PART 804 -- RULES IMPLEMENTING THE GOVERNMENT IN THE
SUNSHINE ACT
Sec.
804.1 Applicability.
804.2 Policy.
804.3 Definitions.
804.4 Open meetings requirement.
804.5 Grounds on which meetings may be closed or information may be
withheld.
804.6 Procedures for closing meetings, or withholding information,
and requests by affected persons to close a meeting.
804.7 Procedures for public announcement of meetings.
804.8 Changes following public announcement.
804.9 Transcripts, recordings, or minutes of closed meetings.
804.10 Availability and retention of transcripts, recordings, and
minutes, and applicable fees.
Authority: Government in the Sunshine Act, Pub. L. 94-409, 90 Stat.
1241 (5 U.S.C. 552b); Independent Safety Board Act of 1974, Pub. L.
93-633, 88 Stat. 2166 (49 U.S.C. 1901 et seq.).
Source: 42 FR 13284, Mar. 10, 1977, unless otherwise noted.
49 CFR 804.1Applicability.
(a) This part implements the provisions of the Government in the
Sunshine Act (5 U.S.C. 552b). These procedures apply to meetings, as
defined herein, of the Members of the National Transportation Safety
Board (NTSB).
(b) Requests for all documents other than the transcripts,
recordings, and minutes described in 804.9 shall continue to be
governed by Part 801 of the NTSB regulations (49 CFR Part 801).
49 CFR 804.2Policy.
It is the policy of the NTSB to provide the public with the fullest
practicable information regarding the decisionmaking processes of the
Board, while protecting the rights of individuals and the ability of the
Board to discharge its statutory functions and responsibilities. The
public is invited to attend but not to participate in open meetings.
49 CFR 804.3Definitions.
As used in this part: Meeting means the deliberations of three or
more Members where such deliberations determine or result in the joint
conduct or disposition of official NTSB business, and includes
conference telephone calls otherwise coming within the definition. A
meeting does not include:
(a) Notation voting or similar consideration of business, whether by
circulation of material to the Members individually in writing or by a
polling of the Members individually be telephone.
(b) Deliberations by three or more Members (1) to open or to close a
meeting or to release or to withhold information pursuant to 804.6, (2)
to call a meeting on less than seven days' notice as permitted by
804.7(b), or (3) to change the subject matter or the determination to
open or to close a publicly announced meeting under 804.8(b).
(c) An internal session attended by three or more Members for which
the sole purpose is to have the staff brief the Board concerning an
accident, incident, or safety problem.
Member means an individual duly appointed and confirmed to the
collegial body, known as ''the Board,'' which heads the NTSB.
National Transportation Safety Board (NTSB) means the agency set up
under the Independent Safety Board Act of 1974.
(42 FR 13284, Mar. 10, 1977, as amended at 42 FR 31794, June 23,
1977)
49 CFR 804.4Open meetings requirement.
Members shall not jointly conduct or dispose of agency business other
than in accordance with this part. Except as provided in 804.5, every
portion of every meeting of the Board shall be open to public
observation.
49 CFR 804.5Grounds on which meetings may be closed or information may
be withheld.
Except in a case where the Board finds that the public interest
requires otherwise, a meeting may be closed and information pertinent to
such meeting otherwise required by 804.6, 804.7, and 804.8 to be
disclosed to the public may be withheld if the Board properly determines
that such meeting or portion thereof or the disclosure of such
information is likely to:
(a) Disclose matters that are (1) specifically authorized under
criteria established by an Executive Order to be kept secret in the
interests of national defense or foreign policy, and (2) are in fact
properly classified pursuant to such Executive Order;
(b) Relate solely to the internal personnel rules and practices of
the NTSB;
(c) Disclose matters specifically exempted from disclosure by statute
(other than 5 U.S.C. 552): Provided, That such statute (1) requires
that the matters be withheld from the public in such a manner as to
leave no discretion on the issue, or (2) establishes particular criteria
for withholding or refers to particular types of matters to be withheld;
(d) Disclose trade secrets and commercial or financial information
obtained from a person and privileged or confidential;
(e) Involve accusing any person of a crime, or formally censuring any
person;
(f) Disclose information of a personal nature where disclosure would
constitute a clearly unwarranted invasion of personal privacy;
(g) Disclose investigatory records compiled for law enforcement
purposes, or information which if written would be contained in such
records, but only to the extent that the production of such records or
information would:
(1) Interfere with enforcement proceedings;
(2) Deprive a person of a right to a fair trial or an impartial
adjudication;
(3) Constitute an unwarranted invasion of personal privacy;
(4) Disclose the identity of a confidential source and, in the case
of a record compiled by a criminal law enforcement authority in the
course of a criminal investigation, or by an agency conducting a lawful
national security intelligence investigation, confidential information
furnished only by the confidential source;
(5) Disclose investigative techniques and procedures; or
(6) Endanger the life or physical safety of law enforcement
personnel;
(h) Disclose information contained in or related to examination,
operating, or condition reports prepared by, on behalf of, or for the
use of an agency responsible for the regulation or supervision of
financial institutions;
(i) Disclose information the premature disclosure of which would be
likely to significantly frustrate implementation of a proposed action of
the NTSB: Provided, That the NTSB has not already disclosed to the
public the content or nature of its proposed action or is not required
by law to make such disclosure on its own initiative prior to taking
final action on such proposal; or
(j) Specifically concern the Board's issuance of a subpoena, or the
NTSB's participation in a civil action or proceeding, an action in a
foreign court or international tribunal, or an arbitration, or the
initiation, conduct, or disposition by the NTSB of a particular case of
formal agency adjudication pursuant to the procedures in 5 U.S.C. 554
or otherwise involving a determination on the record after opportunity
for a hearing.
49 CFR 804.6Procedures for closing meetings, or withholding
information, and requests by affected persons to close a meeting.
(a) A meeting shall not be closed, or information pertaining thereto
withheld, unless a majority of all Members votes to take such action. A
separate vote shall be taken with respect to any action under 804.5. A
single vote is permitted with respect to a series of meetings, a portion
or portions of which are proposed to be closed to the public, or with
respect to any information concerning such series of meetings, so long
as each meeting in such series involves the same particular subject
matters and is scheduled to be held no more than thirty days after the
initial meeting in such series. Each Member's vote under this paragraph
shall be recorded and proxies are not permitted.
(b) Any person whose interest may be directly affected if a portion
of a meeting is open may request the Board to close that portion on any
of the grounds referred to in 804.5 (e), (f), or (g). Requests, with
reasons in support thereof, should be submitted to the General Counsel,
National Transportation Safety Board, 800 Independence Avenue, SW.,
Washington, DC 20594. On motion of any Member, the Board shall
determine by recorded vote whether to grant the request.
(c) Within one working day of any vote taken pursuant to this
section, the NTSB shall make available a written copy of such vote
reflecting the vote of each Member on the question and, if a portion of
a meeting is to be closed to the public a full written explanation of
its action closing the meeting and a list of all persons expected to
attend and their affiliation.
(d) Before every closed meeting, the General Counsel of the NTSB
shall publicly certify that, in his or her opinion, the meeting may be
closed to the public and shall state each relevant exemptive provision.
A copy of such certification, together with a statement of the presiding
officer setting forth the time and place of the meeting and the persons
present, shall be retained by the NTSB as part of the transcript,
recording, or minutes required by 804.9.
49 CFR 804.7Procedures for public announcement of meetings.
(a) For each meeting, the NTSB shall make public announcement, at
least one week before the meeting, of the:
(1) Time of the meeting;
(2) Place of the meeting;
(3) Subject matter of the meeting;
(4) Whether the meeting is to be open or closed; and
(5) The name and business telephone number of the official designated
by the NTSB to respond to requests for information about the meeting.
(b) The one week advance notice required by paragraph (a) of this
section may be reduced only if:
(1) A majority of all Members determines by recorded vote that NTSB
business requires that such meeting be scheduled in less than seven
days; and
(2) The public announcement required by paragraph (a) of this section
be made at the earliest practicable time.
(c) Immediately following each public announcement required by this
section, or by 804.8, the NTSB shall submit a notice of public
announcement for publication in the Federal Register.
49 CFR 804.8Changes following public announcement.
(a) The time or place of a meeting may be changed following the
public announcement only if the NTSB publicly announces such change at
the earliest practicable time. Members need not approve such change.
(b) The subject matter of a meeting or the determination of the Board
to open or to close a meeting, or a portion thereof, to the public may
be changed following public announcement only if:
(1) A majority of all Members determines by recorded vote that NTSB
business so requires and that no earlier announcement of the change was
possible; and
(2) The NTSB publicly announces such change and the vote of each
Member thereon at the earliest practicable time.
49 CFR 804.9Transcripts, recordings, or minutes of closed meetings.
Along with the General Counsel's certification and presiding
officer's statement referred to in 804.6(d), the NTSB shall maintain a
complete transcript of electronic recording adequate to record fully the
proceedings of each meeting, or a portion thereof, closed to the public.
The NTSB may maintain a set of minutes in lieu of such transcript or
recording for meetings closed pursuant to 804.5 (h) or (j). Such
minutes shall fully and clearly describe all matters discussed and shall
provide a full and accurate summary of any actions taken, and the
reasons therefor, including a description of each of the views expressed
on any item and the record of any rollcall vote. All documents
considered in connection with any actions shall be identified in such
minutes.
49 CFR 804.10Availability and retention of transcripts, recordings, and
minutes, and applicable fees.
The NTSB shall make promptly available to the public the transcript,
electronic recording, or minutes of the discussion of any item on the
agenda or of any testimony received at the meeting, except for such
item, or items, of discussion or testimony as determined by the NTSB to
contain matters which may be withheld under the exemptive provisions of
804.5. Copies of the nonexempt portions of the transcript or minutes, or
transcription of such recordings disclosing the identity of each
speaker, shall be furnished to any person at the actual cost of
transcription or duplication. the NTSB shall maintain a complete
verbatim copy of the transcript, a complete copy of the minutes, or a
complete electronic recording of each meeting, or a portion thereof,
closed to the public for at least two years after such meeting, or until
one year after the conclusion of any NTSB proceeding with respect to
which the meeting, or a portion thereof, was held, whichever occurs
later.
49 CFR 804.10 PART 805 -- EMPLOYEE RESPONSIBILITIES AND CONDUCT
Sec.
805.735-1 Purpose.
805.735-2 Definitions.
805.735-3 Policy.
805.735-4 Financial interests of Members and employees.
805.735-5 Receipt of gifts, entertainment, and favors by Members or
employees.
805.735-6 Misuse of information by Members and employees.
805.735-7 Outside activities of Members and employees.
805.735-8 Employment of family members in transportation and related
enterprises.
805.735-9 Use of Government property.
805.735-10 Member and employee indebtedness.
805.735-11 Gambling, betting, and lotteries.
805.735-12 Coercion.
805.735-13 Conduct prejudicial to the Government.
805.735-14 Specific regulations for special Government employees.
805.735-15 Miscellaneous statutory provisions.
805.735-16 Statements of employment and financial interests.
805.735-17 Supplementary statements.
805.735-18 Interests of employees' relatives.
805.735-19 Information not known by employees.
805.735-20 Information not required of employees.
805.735-21 Confidentiality of statements.
805.735-22 Effect of statements on other requirements.
805.735-23 Submission of statements by special Government employees.
805.735-24 Review of financial statements.
805.735-25 Publication and interpretation.
805.735-26 Employee's complaint on filing requirements.
805.735-27 Disciplinary or remedial action.
Appendix I -- Miscellaneous Statutory Provisions
Appendix II -- Employees Required to Submit Statements
Authority: E.O. 11222 of May 8, 1965, 30 FR 6469, 3 CFR 1965 Supp.;
5 CFR 735.101 et seq., and 5 CFR 735.404.
Source: 40 FR 30239, July 17, 1975, unless otherwise noted.
49 CFR 805.735-1Purpose.
This part sets forth the standards of ethical and other conduct
required of all Board Members and employees, in implementation of
Executive Order 11222, May 8, 1965 (30 FR 6469), and Part 735 of the
Civil Service Commission Regulations adopted pursuant thereto (5 CFR
Part 735). It also contains references to the several applicable
statutes governing employee conduct, particularly Pub. L. 87-849, 76
Stat. 119 (18 U.S.C. 201 et seq.), and the ''Code of Ethics for
Government Service,'' House Concurrent Resolution 175, 85th Congress, 2d
Session (72 Stat. B12).
49 CFR 805.735-2Definitions.
As used in this part.
Executive order means Executive Order 11222 of May 8, 1965 (30 FR
6469).
Members and employees means the Board Members and employees of the
National Transportation Safety Board (Board) and active duty officers or
enlisted members of the Armed Forces detailed to the Board, but does not
include special Government employees.
Person means an individual, a corporation, a company, an association,
a firm, a partnership, a society, a joint stock company, or any other
organization or institution.
Special Government employee means an employee of the Board who is
retained, designated, appointed, or employed to perform temporary
duties, with or without compensation, for a period not to exceed 120
days during any period of 365 consecutive days, on either a full-time or
intermittent basis.
(54 FR 10332, Mar. 13, 1989)
49 CFR 805.735-3Policy.
(a) The maintenance of unusually high standards of honesty,
integrity, impartiality, and conduct by its Members and employees and
special Government employees is essential to assure the proper
performance of the Board's business and the maintenance of confidence by
citizens in their Government. Therefore, the Board requires that its
Members and employees and special Government employees adhere strictly
to the highest standard of ethical conduct in all of their social,
business, political and other off-the-job activities, relationships, and
interests, as well as in their official actions.
(b) All Members and employees and special Government employees shall
avoid situations which might result in actual or apparent misconduct or
conflicts of interest.
(c) Members and employees shall avoid any action, whether or not
specifically prohibited by the regulations in this part which might
result in, or create the appearance of:
(1) Using public office for private gain;
(2) Giving preferential treatment to any person;
(3) Impeding Government efficiency or economy;
(4) Losing complete independence or impartiality;
(5) Making a Government decision outside official channels; or
(6) Affecting adversely the confidence of the public in the integrity
of the Government.
49 CFR 805.735-4Financial interests of Members and employees.
(a) A Member or employee shall not:
(1) Have direct or indirect financial interests which conflict, or
appear to conflict, with his assigned duties and responsibilities within
the Board; or
(2) Engage in, directly or indirectly, a financial transaction as a
result of, or primarily relying on, information obtained through his
employment by the Board.
(b) This section does not preclude a Member or an employee from
having a financial interest or engaging in financial transactions to the
same extent as a private citizen not employed by the Government, so long
as it is not prohibited by law, the Executive Order, 5 CFR Part 735, or
the regulations in this part.
49 CFR 805.735-5Receipt of gifts, entertainment, and favors by Members
or employees.
(a) Except as provided in paragraphs (b) and (g) of this section, a
Member or employee shall not solicit or accept, directly or indirectly,
any gift, gratuity, favor, entertainment, loan, or any other thing of
monetary value, from a person who:
(1) Has, or is seeking to obtain, contractual or other business or
financial relations with the Board;
(2) Conducts operations or activities that are subject to Board
jurisdiction; or
(3) Has interests that may be substantially affected by the
performance or nonperformance of his official duty.
(b) The prohibitions of paragraph (a) of this section do not apply
to:
(1) Obvious family or personal relationships such as those between
the employee and his parents, children, or spouse, when the
circumstances make it clear that those relationships rather than the
business of the persons concerned are the motivating factors;
(2) Acceptance of food and refreshments of nominal value on
infrequent occasions in the ordinary course of a luncheon or dinner
meeting, other meetings, or inspection tours where a Member or employee
may properly be in attendance;
(3) Acceptance of unsolicited advertising or promotional material,
such as pens, pencils, note pads, calendars, and other items of nominal
intrinsic value;
(4) Acceptance of loans from banks or other financial institutions on
customary terms to finance proper and usual activities of employees,
such as home mortgage loans;
(5) Utilization by Members or employees of the services offered to
the public by any of the persons specified in paragraph (a) of this
section: Provided, That full value, as published in a carrier's
tariffs, or as is customarily charged to the public, is paid therefor;
(6) Carriage without charge by a carrier, of Members or employees
engaged in official duties, for safety purposes, as provided for in the
Civil Aeronautics Board's regulations;
(7) Acceptance of invitations, when approved by the Chairman or the
Managing Director, with respect to meals and accommodations when on
official business outside the continental United States; where
commercial accommodations are unavailable or inappropriate; or where
refusal of the offer would be otherwise inappropriate in light of all
circumstances involved; and
(8) Acceptance of an invitation addressed to the Board, when approved
by the Chairman or the Managing Director, by an employee (including,
where applicable, his wife or a member of his immediate family), to
participate in an inaugural flight or similar ceremonial event related
to transportation, and accept food, lodging, and entertainment incident
thereto.
(c) Members and employees shall not solicit contributions from
another Member or employee for a gift, or make a donation as a gift, to
a Member or employee in a superior official position.
(d) A Member or an employee in a superior official position shall not
accept a gift from an employee or employees receiving less salary than
himself. However, paragraph (c) of this section and this paragraph (d)
do not prohibit a voluntary gift of nominal value or a donation in a
nominal amount made on a special occasion, such as marriage, illness,
retirement, or transfer.
(e) Members and employees shall not accept a gift, present,
decoration, or other thing from a foreign government unless authorized
by Congress as provided by the Constitution and in 5 U.S.C. 7342.
(f) Members and employees may not be directly reimbursed by a person
for travel on official business under agency orders. However,
reimbursement in the form of a donation may be made to the Board. The
Member or employee involved will be paid by the Board in accordance with
applicable laws and regulations relating to reimbursement for official
travel. If the Member or employee is furnished accommodations, goods,
or services in kind they may be treated as a donation to the Board, and
either no per diem and other travel expenses will be paid or an
appropriate reduction will be made in the per diem or other travel
expenses payable, depending upon the extent of the donation. No Member
or employee may be reimbursed, or payment made on his behalf, for
excessive personal living expenses, gifts, entertainment, or other
personal benefits.
(g) Members and employees are not precluded from receiving bona fide
reimbursement, unless prohibited by law, for expenses of nonofficial
travel and such other necessary subsistence as is compatible with this
part for private personal interests for which no Government payment or
reimbursement is authorized.
(40 FR 30239, July 17, 1975, as amended at 41 FR 39758, Sept. 16,
1976)
49 CFR 805.735-6Misuse of information by Members and employees.
For the purpose of furthering private interest, Members and employees
shall not, except as provided in 805.735-7(c), directly or indirectly,
use, or allow the use of, official information obtained through or in
connection with his employment within the Board which has not been made
available to the general public.
49 CFR 805.735-7Outside activities of Members and employees.
(a) A Member or employee shall not engage in outside employment or
other outside activity not compatible with the full and proper discharge
of his duties and responsibilities as an officer or employee of the
Board. Before an employee can engage in outside employment or activity
for profit, he shall obtain the approval of the Board's Managing
Director by requesting written authorization from the Managing Director
prior to engaging in such activity. Board Members desiring to engage in
outside employment or activity for profit may request prior written
authorization from the Chairman. Should such authorization be granted,
the Member or employee has a continuing responsibility to confine
himself to the scope of the authorization. If the circumstances change
so as to involve a possible incompatible activity, the Member or
employee must seek further authorization in order to continue in his
outside employment or activity for profit. Authorization granted in
specific cases may be deemed subsequently to involve an incompatible
activity, and in such cases the Member or employee concerned shall be
notified in writing of the cancellation of the authorization with
instructions to modify or terminate the outside activity at the earliest
practicable time.
(b) Incompatible activities by Members or employees include, but are
not limited to:
(1) Acceptance of a fee, compensation, gift, payment of expense, or
any other thing of monetary value in circumstances in which acceptance
may result in, or create the appearance of, a conflict of interest; or
(2) Outside employment or activity which tends to impair his mental
or physical capacity to perform in an acceptable manner his duties and
responsibilities within the Board.
(c) Employees are encouraged to engage in teaching, lecturing, and
writing that is not prohibited by law, the Executive order, 5 CFR Part
735, or the regulations in this part. However, an employee shall not,
either for or without compensation, engage in teaching, lecturing, or
writing, including teaching, lecturing, or writing for the purpose of
the special preparation of a person or class of persons for an
examination of the Civil Service Commission or Board of Examiners for
the Foreign Service, that is dependent on information obtained as a
result of his employment by the Board, except when that information has
been made available to the general public or will be made available on
request, or when the Chairman gives written authorization for the use of
nonpublic information on the basis that the use is in the public
interest.
(d) Board Members, as Presidential appointees covered by section
401(a) of the Executive order, are specifically precluded by 5 CFR
735.203(c) from receiving compensation or anything of monetary value for
any consultation, lecture, discussion, writing, or appearance, the
subject matter of which is devoted substantially to the
responsibilities, programs, or operations of their agency, or which
draws substantially on official data or ideas which have not become part
of the body of public information.
(e) If an activity covered by paragraphs (c) and (d) of this section
is to be undertaken as official duty, expenses will be borne by the
Board, and the Member or employee may not accept compensation or allow
his expenses to be paid for by the person or group under whose auspices
the activity is being performed. If it is determined that the activity
is to be undertaken in a private capacity, the Member or employee may
not use duty hours or Government facilities, but he may accept
compensation, and he may use his official title if he makes it clear
that he does not represent the Board.
(f) Members and employees shall not receive any salary or anything of
monetary value from a private source as compensation for his services to
the Board (18 U.S.C. 209).
(g) This section does not preclude a Member or employee from:
(1) Participating in the activities of national or State political
parties not prohibited by law;
(2) Participating in the affairs of or acceptance of an award for a
meritorious public contribution or achievement given by a charitable,
religious, professional, social, fraternal, nonprofit educational or
recreational, public service, or civic organization.
(40 FR 30239, July 17, 1975, as amended at 41 FR 39758, Sept. 16,
1976)
49 CFR 805.735-8Employment of family members in transportation and
related enterprises.
(a) No individual will be employed or retained in employment by the
Board if a member of his immediate family (blood relations who are
residents of the employee's household) is employed by a carrier, a
person or firm representing a carrier, or a transportation trade
association.
(b) Members and employees may request a waiver, modification, or
postponement of the implementation of this prohibition from the Chairman
and Managing Director, respectively, on the grounds of undue hardship to
himself or the family member involved. The request must contain an
agreement to forego any privilege to which the Board Member or employee
would be entitled as a relative of the family member.
(40 FR 30239, July 17, 1975, as amended at 41 FR 39758, Sept. 16,
1976)
49 CFR 805.735-9Use of Government property.
Members and employees shall not, directly or indirectly, use, or
allow the use of, Board property of any kind, including property leased
to the Board, for other than officially approved activities. A Member
or employee has a positive duty to protect and conserve Board property,
including equipment, supplies, and other property entrusted to or issued
to him.
49 CFR 805.735-10Member and employee indebtedness.
Members and employees shall pay each just financial obligation in a
proper and timely manner, especially one imposed by law, such as
Federal, State, or local taxes. For the purpose of this section, a
''just financial obligation'' means one acknowledged by the employee or
one reduced to judgment by a court, and ''in a proper and timely
manner'' means in a manner which the Board determines does not, under
the circumstances, reflect adversely on the Board as his employer.
49 CFR 805.735-11Gambling, betting, and lotteries.
Members and employees shall not participate, while on Board-owned or
leased property or while on duty for the Board, in any gambling
activity, including the operation of a gambling device, conducting a
lottery or pool, a game for money or property, or in selling or
purchasing a numbers slip or ticket. However, this section does not
preclude activities regarding solicitations conducted by an employee
recreation and welfare organization among its members, for
organizational support, or for benefit or welfare funds for its members,
these activities having been approved under section 3 of Executive Order
10927, dated March 18, 1961.
49 CFR 805.735-12Coercion.
Members and employees shall not use their employment by the Board to
coerce, or give the appearance of coercing, a person to provide
financial benefit to themselves or another person, particularly one with
whom they have family, business, or financial ties.
49 CFR 805.735-13Conduct prejudicial to the Government.
Members and employees shall not engage in criminal, infamous,
dishonest, immoral, or notoriously disgraceful conduct, or other conduct
prejudicial to the Board or to the Government.
49 CFR 805.735-14Specific regulations for special Government employees.
(a) Use of Board affiliation. A special Government employee of the
Board shall not use his Government employment for a purpose that is, or
gives the appearance of being, motivated by the desire for private gain
for himself or another person, particularly one with whom he has family,
business, or financial ties.
(b) Use of inside information. (1) A special Government employee
shall not use inside information obtained as a result of his employment
by the Board for private gain for himself or another person, either by
direct action on his part or by counsel, recommendation, or suggestion
to another person, particularly one with whom he has family, business,
or financial ties. For this purpose of this section, ''inside
information'' means information obtained under Government authority
which has not become part of the body of public information.
(2) Special Government employees may teach, lecture, or write in a
manner not inconsistent with 805.735-7(c) for employees.
(c) Receipt of gifts, entertainment, and favors. (1) A special
Government employee, while employed by the Board or in connection with
his employment, shall not receive or solicit from a person having
business with the Board, anything of value such as a gift, gratuity,
loan, entertainment, or favor for himself or another person,
particularly one with whom he has family, business, or financial ties.
(2) The exception as set forth in 805.735-5(b) for employees will
apply with equivalent force and effect to special Government employees
with regard to the prohibitions of paragraph (a) of this section.
(d) Applicability of other provisions. The provisions of 805.735-9
(Use of Government property), 805.735-11 (Gambling, betting, and
lotteries), 805.735-12 (Coercion), 805.735-13 (Conduct prejudicial to
the Government) and 805.735-15 (Miscellaneous statutory provisions)
apply to special Government employees in the same manner as to
employees.
49 CFR 805.735-15Miscellaneous statutory provisions.
Each Member and employee shall acquaint himself with the statutory
provisions in Appendix I, attached hereto and made a part thereof, which
relate to his ethical and other conduct as a Member and employee of the
Board and the Government.
49 CFR 805.735-16Statements of employment and financial interests.
(a) All employees in the positions specified in Appendix II, attached
hereto and made a part thereof, shall submit a statement of employment
and financial interests under the regulations in this part in triplicate
to the Personnel Officer not later than:
(1) Ninety days after the effective date of the regulations in this
part if he is employed on or before that effective date; or
(2) Thirty days after he becomes subject to the reporting
requirements by occupying a position covered under paragraph (a) of this
section, if he occupies the position after that effective date.
(b) An employee required to submit a statement of employment and
financial interests shall submit that statement in the format prescribed
by the Managing Director.
(c) Board Members are subject to separate reporting requests under
section 401 of the Executive order, and are not required to file
statements pursuant to this section.
(40 FR 30239, July 17, 1975, as amended at 41 FR 39758, Sept. 16,
1976)
49 CFR 805.735-17Supplementary statements.
Changes in, or additions to, the information contained in an
employee's statement of employment and financial interests shall be
reported in supplementary statements, in the format prescribed by the
Managing Director, as of June 30th of each year. If there are not
changes or additions, a negative report is not required.
Notwithstanding the filing of the annual report required by this
section, each employee shall at all times avoid acquiring a financial
interest that could result, or taking an action that would result, in a
violation of the conflict-of-interest provisions, 18 U.S.C. 208, or the
provisions of this part.
(40 FR 30239, July 17, 1975, as amended at 41 FR 39758, Sept. 16,
1976)
49 CFR 805.735-18Interests of employees' relatives.
The interest of a spouse, minor child, or other members of an
employee's immediate household is considered to be an interest of the
employee. For the purpose of this section, ''member of an employee's
household'' means those blood relations who are residents of the
employee's household.
49 CFR 805.735-19Information not known by employees.
If any information required to be included on a statement of
employment and financial interests or supplementary statement, including
holdings placed in trust, is not known to the employee but is known to
another person, the employee shall require that other person to submit
information in his behalf.
49 CFR 805.735-20Information not required of employees.
An employee is not required to submit on a statement of employment
and financial interests or supplementary statement, any information
relating to the employee's connection with, or interest in, a
professional society or a charitable, religious, social, fraternal,
recreational, public service, civic, or political organization, or a
similar organization not conducted as a business enterprise. For the
purpose of this section, educational and other institutions doing
research and development or related work, involving grants of money from
or contracts with the Government, are deemed ''business enterprises''
and are required to be included in an employee's statement of employment
and financial interests.
49 CFR 805.735-21Confidentiality of statements.
Subject to the provisions of 805.735-24 concerning review of
employee statements, each statement of employment and financial
interests, and each supplementary statement, shall be held in
confidence. The Personnel Officer is personally responsible for the
retention of employee statements in confidence and may not disclose
information from a statement or allow access to a statement, except to
carry out the purpose of this part, or as the Civil Service Commission
or the Chairman may determine for good cause shown.
49 CFR 805.735-22Effect of statements on other requirements.
The statements of employment and financial interests and
supplementary statements required of employees are in addition to, and
not in substitution for, or in derogation of, any similar requirement
imposed by law, order, or regulation. The submission of a statement or
supplementary statement by an employee does not permit him or any other
person to participate in a matter in which his or the other person's
participation is prohibited by law, order, or regulation.
49 CFR 805.735-23Submission of statements by special Government
employees.
(a) A special Government employee shall submit a statement of
employment and financial interests which reports:
(1) All other employment; and
(2) The financial interests of the special Government employee which
the Chairman determines are relevant in the light of the duties he is to
perform.
(b) A special Government employee who is a consultant or expert shall
submit a statement of employment and financial interests to the
Personnel Officer, in the format prescribed by the Managing Director, at
the time of his employment, and shall keep his statement current
throughout his period of employment by submission of supplementary
statements.
(c) The Chairman may waive the requirement in paragraph (a) of this
section for the submission of a statement of employment and financial
interests in the case of a special Government employee who is not a
consultant or an expert when it has been determined that the duties of
the position held by the special Government employee are of a nature,
and at such a level of responsibility, that the submission of the
statement by the incumbent is not necessary to protect the integrity of
the Board. For the purpose of paragraphs (b) and (c) of this section,
the following are examples of special Government employees who are not
consultants and experts;
(1) A physician, dentist, or allied medical specialist whose services
are procured to provide care and service to patients; or
(2) A veterinarian whose services are procured to provide care and
service to animals.
(40 FR 30239, July 17, 1975, as amended at 41 FR 39758, Sept. 16,
1976)
49 CFR 805.735-24Review of financial statements.
(a) The Personnel Officer shall review each statement of employment
and financial interests submitted under the regulations in this part
(other than his own, which is reviewed by the Managing Director) to
determine whether conflicts of interest or apparent conflicts of
interest exist. If the review, or other information from other sources,
indicates a conflict between the interests of an employee or special
Government employee and the performance of his services for the Board,
the Personnel Officer shall forward the statement, together with a
position description of the employee involved, to the General Counsel of
the Board.
(b) The employee or special Government employee whose statement has
been referred under the provisions of paragraph (a) of this section will
receive, from the General Counsel, advice and guidance regarding the
matters questioned by the Personnel Officer. He will be afforded an
opportunity to explain the conflict or appearance of conflict. It is
expected that most problems will be settled at this informal stage.
However, if an agreement cannot be reached after consultation, the
matter shall be reported by the General Counsel, after consulting with
the Managing Director, to the Chairman for resolution.
(c) The Chairman may provide the employee or special Government
employee concerned with an additional opportunity to explain the
conflict or appearance of conflict. If the matter cannot be resolved,
the Chairman may invoke the disciplinary provisions of 805.735-27, or
may decide that remedial steps shall be taken with regard to such
employee or special Government employee. When the questions of conflict
of interest are resolved at one of the stages of review, the reviewing
official shall sign and date a copy of the employee's statement to
evidence his clearance, and this statement shall thereafter be kept as
provided in 805.735-21.
(40 FR 30239, July 17, 1975, as amended at 41 FR 39758, Sept. 16,
1976)
49 CFR 805.735-25Publication and interpretation.
(a) The Personnel Officer of the Board shall be responsible for
making the regulations in this part and all revisions thereof, and the
formats for statements of employment and financial interests available
to:
(1) Each Member, employee, and special Government employee at the
time of issuance and at least annually thereafter;
(2) Each new Member, employee, and special Government employee of the
Board at the time of his entrance on duty; and
(3) Each Member, employee, and special Government employee of the
Board at such other times as circumstances warrant.
(b) The Personnel Officer shall have available for review by Members,
employees, and special Government employees of the Board, copies of such
laws, Executive orders, Civil Service Commission regulations and
instructions, and Board regulations as may currently appertain to their
standards of ethical and other conduct.
(c) The General Counsel of the Board is designated to provide
counseling and assistance to interpret the regulations in this part and
matters relating to ethical conduct, particularly matters subject to the
provisions of the conflict-of-interest laws and other matters covered by
the Executive order. These counseling services are available to all
Members, employees, and special Government employees at the General
Counsel's office, by appointment for consultation or by written
communication.
49 CFR 805.735-26Employee's complaint on filing requirements.
An employee who believes that his position has been improperly
included under the regulations in this part, as one requiring the
submission of a statement of employment and financial interests, may
request review through the Board's grievance procedure.
49 CFR 805.735-27Disciplinary or remedial action.
(a) A violation of the regulations in this part by an employee or
special Government employee may be cause for disciplinary action in
addition to any penalty prescribed by Federal statute or regulation,
except for active duty officers or enlisted members of the Armed Forces
detailed to the Board in which cases disciplinary actions may be
effected against such military personnel by the parent military service.
Disciplinary action may take the form of a warning, suspension,
demotion, or removal, depending upon the gravity of the offense.
(b) Any employee or special Government employee who is charged with a
violation of the regulations in this part shall be provided an
opportunity to explain the violation, or appearance of violation, to the
charging authority. The charging authority shall be the Managing
Director of the Board.
(c) When, after consideration of the explanation, the charging
authority decides that disciplinary action is not required, he may take
appropriate remedial action. Remedial action may include, but is not
limited to:
(1) Changes in assigned duties;
(2) Divestment by the employee or special Government employee of any
financial interest that conflicts, or appears to conflict, with the
performance of his official duties; or
(3) Disqualification for a particular assignment.
(d) Remedial or disciplinary action shall be effected in accordance
with any applicable laws, Executive orders, and regulations.
(40 FR 30239, July 17, 1975, as amended at 41 FR 39758, Sept. 16,
1976)
49 CFR 805.735-27 Pt. 805, App. I
49 CFR 805.735-27 Appendix I -- Miscellaneous Statutory Provisions
Each Member and employee and each special Government employee has a
positive duty to acquaint himself with each statute which relates to his
ethical and other conduct as an officer or employee of the National
Transportation Safety Board and of the Government. Therefore, each
Member and employee and each special Government employee shall acquaint
himself with the following statutory and nonstatutory provisions which
relate to his ethical and other conduct:
(a) House Concurrent Resolution 175, 85th Congress, 2d Session (72
Stat. B12), the ''Code of Ethics for Government Service.''
(b) Chapter 11 of Title 18, United States Code, relating to bribery,
graft, and conflicts of interest (18 U.S.C. 201 through 209).
(c) The prohibition against lobbying with appropriate funds (18
U.S.C. 1913).
(d) The prohibitions against disloyalty and striking (5 U.S.C. 7311,
18 U.S.C. 1918).
(e) The prohibition against the employment of a member of a Communist
organization (50 U.S.C. 784).
(f) The prohibition against:
(1) The disclosure of classified information (18 U.S.C. 798, 50
U.S.C. 783); and
(2) The disclosure of confidential information (18 U.S.C. 1905, 49
U.S.C. 1472(f)).
(g) The provision relating to the habitual use of intoxicants to
excess (5 U.S.C. 8352).
(h) The prohibition against the misuse of a Government vehicle (31
U.S.C. 638a(c)).
(i) The prohibition against the misuse of the franking privilege (18
U.S.C. 1719).
(j) The prohibition against the use of deceit in an examination or
personnel action in connection with Government employment (18 U.S.C.
1917).
(k) The prohibition against fraud or false statements in a Government
matter (18 U.S.C. 1001).
(l) The prohibition against mutilating or destroying a public record
(18 U.S.C. 2071).
(m) The prohibition against counterfeiting and forging transportation
requests (18 U.S.C. 508).
(n) The prohibition against:
(1) Embezzlement of Government money or property (18 U.S.C. 641);
(2) Failing to account for public money (18 U.S.C. 643); and
(3) Embezzlement of the money or property of another person in the
possession of an employee by reason of his employment (18 U.S.C. 654).
(o) The prohibition against unauthorized use of documents relating to
claims from or by the Government (18 U.S.C. 285).
(p) The prohibition against political activities in subchapter III of
chapter 73 of title 5, U.S.C., and 18 U.S.C. 602, 603, 607, and 608.
(q) The prohibition against an employee's acting as the agent of a
foreign principal registered under the Foreign Agents Registration Act
(18 U.S.C. 219).
49 CFR 805.735-27 Pt. 805, App. II
49 CFR 805.735-27 Appendix II -- Employees Required to Submit
Statements
Statements of employment and financial interests are required of the
following:
(a) Employees in grades GS-16 or above, or in positions not subject
to the Classification Act paid at a rate at or above the entrance rate
for GS-16.
(b) Special assistants to the members.
(c) Office of the managing director:
(1) Legislative affairs officer.
(2) Program analysis officer.
(d) Attorneys in grade GS-15.
(e) Office of public affairs:
(1) Director.
(2) Deputy director.
(f) Bureau of administration:
(1) Director.
(2) Deputy director -- personnel officer.
(3) Chief, operations and facilities division.
(4) Contracting specialist.
(5) Comptroller.
(6) Budget officer.
(7) Accounting officer.
(g) Division and branch chiefs within the bureaus of accident
investigation, technology, and plans and programs.
(h) Chief or senior investigators, field offices.
(41 FR 39758, Sept. 16, 1976)
Note: The above regulation and its appendices were approved by the
Civil Service Commission (OPM) on July 16, 1968, and September 13, 1972,
respectively, prior to submission to the Office of the Federal Register.
49 CFR 805.735-27 PART 806 -- NATIONAL SECURITY INFORMATION POLICY AND
GUIDELINES, IMPLEMENTING REGULATIONS
Sec.
806.1 General policy.
806.2 Applicability.
806.3 Definitions.
806.4 Mandatory review for declassification.
Authority: Sec. 304, Independent Safety Board Act of 1974, 88 Stat.
2168 (49 U.S.C. 1903). E.O. 12065, 43 FR 28949, July 3, 1978.
Source: 45 FR 20104, Mar. 27, 1980, unless otherwise noted.
49 CFR 806.1General policy.
(a) The interests of the United States and its citizens are best
served by making information regarding the affairs of Government readily
available to the public. This concept of an informed citizenry is
reflected in the Freedom of Information Act and in the current public
information policies of the executive branch.
(b) Within the Federal Government there is some official information
and material which, because it bears directly on the effectiveness of
our national defense and the conduct of our foreign relations, must be
subject to some constraints for the security of our Nation and the
safety of our people and our allies. To protect against actions hostile
to the United States, of both an overt and covert nature, it is
essential that such official information and material be given only
limited dissemination.
49 CFR 806.2Applicability.
This rule supplements Executive Order 12065 within the Board with
regard to national security information. It establishes general
policies and certain procedures for the classification and
declassification of information which is generated, processed, and/or
stored by the Board. In this connection, the Board does not have any
original classification authority but infrequently does receive
classified information from other agencies.
49 CFR 806.3Definitions.
(a) Classified information. Information or material, herein
collectively termed information, that is owned by, produced for or by,
or under the control of, the United States Government and that has been
determined pursuant to Executive Order 12065, or prior orders, to
require protection against unauthorized disclosure and that is so
designated. One of the following classifications will be shown:
(1) Top secret means information, the unauthorized disclosure of
which reasonably could be expected to cause exceptionally grave damage
to the national security.
(2) Secret means information, the unauthorized disclosure of which
reasonably could be expected to cause serious damage to national
security.
(3) Confidential means information, the unauthorized disclosure of
which reasonably could be expected to cause identifiable damage to the
national security.
(b) Foreign government information means either: (1) Information
provided to the United States by a foreign government or international
organization of governments in the expectation, express or implied, that
the information is to be kept in confidence; or (2) information
produced by the United States pursuant to a written joint arrangement
with a foreign government or international organization of governments
requiring that either the information or the arrangements or both, be
kept in confidence.
(c) National security means the national defense and foreign
relations of the United States.
(d) Declassification event means an event which would eliminate the
need for continued classification.
49 CFR 806.4Mandatory review for declassification.
(a) Requests for mandatory review for declassification under section
3-501 of E.O. 12065 must be in writing and should be addressed to:
National Security Oversight Officer, National Transportation Safety
Board, Washington, DC 20594.
(b) The requester shall be informed of the date of receipt of the
request at the Board. This date will be the basis for the time limits
specified by section 3-501 of E.O. 12065. If the request does not
reasonably describe the information sought, the requester shall be
notified that, unless additional information is provided or the request
is made more specific, no further action will be taken.
(c) When the Board receives a request for information in a document
which is in its custody but which was classified by another agency, it
shall refer the request to the appropriate agency for review, together
with a copy of the document containing the information requested, where
practicable. The Board shall also notify the requester of the referral,
unless the association of the reviewing agency with the information
requires protection. The reviewing agency shall review the document in
coordination with any other agency involved or which had a direct
interest in the classification of the subject matter. The reviewing
agency shall respond directly to the requester in accordance with the
pertinent procedures described above and, if requested, shall notify the
Board of its determination.
49 CFR 806.4 PART 807 -- ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS
OF HANDICAP IN PROGRAMS OR ACTIVITIES CONDUCTED BY THE NATIONAL
TRANSPORTATION SAFETY BOARD
Sec.
807.101 Purpose.
807.102 Application.
807.103 Definitions.
807.104 -- 807.109 (Reserved)
807.110 Self-evaluation.
807.111 Notice.
807.112 -- 807.129 (Reserved)
807.130 General prohibitions against discrimination.
807.131 -- 807.139 (Reserved)
807.140 Employment.
807.141 -- 807.148 (Reserved)
807.149 Program accessibility: Discrimination prohibited.
807.150 Program accessibility: Existing facilities.
807.151 Program accessibility: New construction and alterations.
807.152 -- 807.159 (Reserved)
807.160 Communications.
807.161 -- 807.169 (Reserved)
807.170 Compliance procedures.
Authority: 29 U.S.C. 794.
Source: 51 FR 4578, Feb. 5, 1986, unless otherwise noted.
49 CFR 807.101Purpose.
This part effectuates section 119 of the Rehabilitation,
Comprehensive Services, and Developmental Disabilities Amendments of
1978, which amended section 504 of the Rehabilitation Act of 1973 to
prohibit discrimination on the basis of handicap in programs or
activities conducted by Executive agencies or the United States Postal
Service.
49 CFR 807.102Application.
This part applies to all programs or activities conducted by the
agency.
49 CFR 807.103 Definitions.
For purposes of this part, the term --
Assistant Attorney General means the Assistant Attorney General,
Civil Rights Division, United States Department of Justice.
Auxiliary aids means services or devices that enable persons with
impaired sensory, manual, or speaking skills to have an equal
opportunity to participate in, and enjoy the benefits of, programs or
activities conducted by the agency. For example, auxiliary aids useful
for persons with impaired vision include readers, Brailled materials,
audio recordings, telecommunications devices and other similar services
and devices. Auxiliary aids useful for persons with impaired hearing
include telephone handset amplifiers, telephones compatible with hearing
aids, telecommunication devices for deaf persons (TDD's), interpreters,
notetakers, written materials, and other similar services and devices.
Complete complaint means a written statement that contains the
complainant's name and address and describes the agency's alleged
discriminatory action in sufficient detail to inform the agency of the
nature and date of the alleged violation of section 504. It shall be
signed by the complainant or by someone authorized to do so on his or
her behalf. Complaints filed on behalf of classes or third parties
shall describe or identify (by name, if possible) the alleged victims of
discrimination.
Facility means all or any portion of buildings, structures,
equipment, roads, walks, parking lots, rolling stock or other
conveyances, or other real or personal property.
Handicapped person means any person who has a physical or mental
impairment that substantially limits one or more major life activities,
has a record of such an impairment, or is regarded as having such an
impairment.
As used in this definition, the phrase:
(1) Physical or mental impairment includes --
(i) Any physiological disorder or condition, cosmetic disfigurement,
or anatomical loss affecting one of more of the following body systems:
Neurological; musculoskeletal; special sense organs; respiratory,
including speech organs; cardiovascular; reproductive; digestive;
genitourinary; hemic and lymphatic; skin; and endocrine; or
(ii) Any mental or psychological disorder, such as mental
retardation, organic brain syndrome, emotional or mental illness, and
specific learning disabilities. The term physical or mental impairment
includes, but is not limited to, such diseases and conditions as
orthopedic, visual, speech, and hearing impairments, cerebral palsy,
epilepsy, muscular dystrophy, multiple sclerosis, cancer, heart disease,
diabetes, mental retardation, emotional illness, and drug addition and
alcoholism.
(2) Major life activities includes functions such as caring for one's
self, performing manual tasks, walking, seeing, hearing, speaking,
breathing, learning, and working.
(3) Has a record of such an impairment means has a history of, or has
been misclassified as having, a mental or physical impairment that
substantially limits one or more major life activities.
(4) Is regarded as having an impairment means --
(i) Has a physical or mental impairment that does not substantially
limit major life activities but is treated by the agency as constituting
such a limitation;
(ii) Has a physical or mental impairment that substantially limits
major life activities only as a result of the attitudes of others toward
such impairment; or
(iii) Has none of the impairments defined in subparagraph (1) of this
definition but is treated by the agency as having such an impairment.
Qualified handicapped person means --
(1) With respect to any agency program or activity under which a
person is required to perform services or to achieve a level of
accomplishment, a handicapped person who meets the essential eligibility
requirements and who can achieve the purpose of the program or activity
without modifications in the program or activity that the agency can
demonstrate would result in a fundamental alteration in its nature; or
(2) With respect to any other program or activity, a handicapped
person who meets the essential eligibility requirements for
participation in, or receipt of benefits from, that program or activity.
(3) Qualified handicapped person is defined for purposes of
employment in 29 CFR 1613.702(f), which is made applicable to this part
by 807.140.
Section 504 means section 504 of the Rehabilitation Act of 1973 (Pub.
L. 93-112, 87 Stat. 394 (29 U.S.C. 794)), as amended by the
Rehabilitation Act Amendments of 1974 (Pub. L. 93-516, 88 Stat. 1617),
and the Rehabilitation, Comprehensive Services, and Developmental
Disabilities Amendments of 1978 (Pub. L. 95-602, 92 Stat. 2955). As used
in this part, section 504 applies only to programs or activities
conducted by Executive agencies and not to federally assisted programs.
(51 FR 4579, Feb. 5, 1986; 51 FR 7543, Mar. 5, 1986)
807.104 -- 807.109 (Reserved)
49 CFR 807.110Self-evaluation.
(a) The agency shall, by April 9, 1987, evaluate its current policies
and practices, and the effects thereof, that do not or may not meet the
requirements of this part, and, to the extent modification of any such
policies and practices is required, the agency shall proceed to make the
necessary modifications.
(b) The agency shall provide an opportunity to interested persons,
including handicapped persons or organizations representing handicapped
persons, to participate in the self-evaluation process by submitting
comments (both oral and written).
(c) The agency shall, until three years following the completion of
the self-evaluation, maintain on file and make available for public
inspections:
(1) A description of areas examined and any problems identified, and
(2) A description of any modifications made.
49 CFR 807.111Notice.
The agency shall make available to employees, applicants,
participants, beneficiaries, and other interested persons such
information regarding the provisions of this part and its applicability
to the programs or activities conducted by the agency, and make such
information available to them in such manner as the head of the agency
finds necessary to apprise such persons of the protections against
discrimination assured them by section 504 and this regulation.
807.112 -- 807.129 (Reserved)
49 CFR 807.130General prohibitions against discrimination.
(a) No qualified handicapped person shall, on the basis of handicap,
be excluded from participation in, be denied the benefits of, or
otherwise be subjected to discrimination under any program or activity
conducted by the agency.
(b)(1) The agency, in providing any aid, benefit, or service, may
not, directly or through contractual, licensing, or other arrangements,
on the basis of handicap --
(i) Deny a qualified handicapped person the opportunity to
participate in or benefit from the aid, benefit, or service;
(ii) Afford a qualified handicapped person an opportunity to
participate in or benefit from the aid, benefit, or service that is not
equal to that afforded others;
(iii) Provide a qualified handicapped person with an aid, benefit, or
service that is not as effective in affording equal opportunity to
obtain the same result, to gain the same benefit, or to reach the same
level of achievement as that provided to others;
(iv) Provide different or separate aid, benefits, or services to
handicapped persons or to any class of handicapped persons than is
provided to others unless such action is necessary to provide qualified
handicapped persons with aid, benefits, or services that are as
effective as those provided to others;
(v) Deny a qualified handicapped person the opportunity to
participate as a member of planning or advisory boards; or
(vi) Otherwise limit a qualified handicapped person in the enjoyment
of any right, privilege, advantage, or opportunity enjoyed by others
receiving the aid, benefit, or service.
(2) The agency may not deny a qualified handicapped person the
opportunity to participate in programs or activities that are not
separate or different, despite the existence of permissibly separate or
different programs or activities.
(3) The agency may not, directly or through contractual or other
arrangements, utilize criteria or methods of administration the purpose
or effect of which would --
(i) Subject qualified handicapped persons to discrimination on the
basis of handicap; or
(ii) Defeat or substantially impair accomplishment of the objectives
of a program or activity with respect to handicapped persons.
(4) The agency may not, in determining the site or location of a
facility, make selections the purpose or effect of which would --
(i) Exclude handicapped persons from, deny them the benefits of, or
otherwise subject them to discrimination under any program or activity
conducted by the agency; or
(ii) Defeat or substantially impair the accomplishment of the
objectives of a program or activity with respect to handicapped persons.
(5) The agency, in the selection of procurement contractors, may not
use criteria that subject qualified handicapped persons to
discrimination on the basis of handicap.
(c) The exclusion of nonhandicapped persons from the benefits of a
program limited by Federal statute or Executive order to handicapped
persons or the exclusion of a specific class of handicapped persons from
a program limited by Federal statute or Executive order to a different
class of handicapped persons is not prohibited by this part.
(d) The agency shall administer programs and activities in the most
integrated setting appropriate to the needs of qualified handicapped
persons.
807.131 -- 807.139 (Reserved)
49 CFR 807.140Employment.
No qualified handicapped person shall, on the basis of handicap, be
subjected to discrimination in employment under any program or activity
conducted by the agency. The definitions, requirements, and procedures
of section 501 of the Rehabilitation Act of 1973 (29 U.S.C. 791), as
established by the Equal Employment Opportunity Commission in 29 CFR
Part 1613, shall apply to employment in federally conducted programs or
activities.
807.141 -- 807.148 (Reserved)
49 CFR 807.149Program accessibility: Discrimination prohibited.
Except as otherwise provided in 807.150, no qualified handicapped
person shall, because the agency's facilities are inaccessible to or
unusable by handicapped persons, be denied the benefits of, be excluded
from participation in, or otherwise be subjected to discrimination under
any program or activity conducted by the agency.
49 CFR 807.150Program accessibility: Existing facilities.
(a) General. The agency shall operate each program or activity so
that the program or activity, when viewed in its entirety, is readily
accessible to and usable by handicapped persons. This paragraph does
not --
(1) Necessarily require the agency to make each of its existing
facilities accessible to and usable by handicapped persons; or
(2) Require the agency to take any action that it can demonstrate
would result in a fundamental alteration in the nature of a program or
activity or in undue financial and administrative burdens. In those
circumstances where agency personnel believe that the proposed action
would fundamentally alter the program or activity or would result in
undue financial and administrative burdens, the agency has the burden of
proving that compliance with 807.150(a) would result in such alteration
or burdens. The decision that compliance would result in such
alteration or burdens must be made by the agency head or his or her
designee after considering all agency resources available for use in the
funding and operation of the conducted program or activity, and must be
accompanied by a written statement of the reasons for reaching that
conclusion. If an action would result in such an alteration or such
burdens, the agency shall take any other action that would not result in
such an alteration or such burdens but would nevertheless ensure that
handicapped persons receive the benefits and services of the program or
activity.
(b) Methods. The agency may comply with the requirements of this
section through such means as redesign of equipment, reassignment of
services to accessible buildings, assignment of aides to beneficiaries,
home visits, delivery of services at alternate accessible sites,
alteration of existing facilities and construction of new facilities,
use of accessible rolling stock, or any other methods that result in
making its programs or activities readily accessible to and usable by
handicapped persons. The agency is nor required to make structural
changes in existing facilities where other methods are effective in
achieving compliance with this section. The agency, in making
alterations to existing buildings, shall meet accessibility requirements
to the extent compelled by the Architectural Barriers Act of 1968, as
amended (42 U.S.C. 4151-4157), and any regulations implementing it. In
choosing among available methods for meeting the requirements of this
section, the agency shall give priority to those methods that offer
programs and activities to qualified handicapped persons in the most
integrated setting appropriate.
(c) Time period for compliance. The agency shall comply with the
obligations established under this section by June 6, 1986, except that
where structural changes in facilities are undertaken, such changes
shall be made by April 7, 1989, but in any event as expeditiously as
possible.
(d) Transition plan. In the event that structural changes to
facilities will be undertaken to achieve program accessibility, the
agency shall develop, by October 7, 1986, a transition plan setting
forth the steps necessary to complete such changes. The agency shall
provide an opportunity to interested persons, including handicapped
persons or organizations representing handicapped persons, to
participate in the development of the transition plan by submitting
comments (both oral and written). A copy of the transition plan shall
be made available for public inspection. The plan shall, at a minimum
--
(1) Identify physical obstacles in the agency's facilities that limit
the accessibility of its programs or activities to handicapped persons;
(2) Describe in detail the methods that will be used to make the
facilities accessible;
(3) Specify the schedule for taking the steps necessary to achieve
compliance with this section and, if the time period of the transition
plan is longer than one year, identify steps that will be taken during
each year of the transition period; and
(4) Indicate the official responsible for implementation of the plan.
(51 FR 4579, Feb. 5, 1986; 51 FR 7543, Mar. 5, 1986)
49 CFR 807.151 Program accessibility: New construction and
alterations.
Each building or part of a building that is constructed or altered
by, on behalf of, or for the use of the agency shall be designed,
constructed, or altered so as to be readily accessible to and usable by
handicapped persons. The definitions, requirements, and standards of
the Architectural Barriers Act (42 U.S.C. 4151-4157), as established in
41 CFR 101-19.600 to 101-19.607, apply to buildings covered by this
section.
807.152 -- 807.159 (Reserved)
49 CFR 807.160 Communications.
(a) The agency shall take appropriate steps to ensure effective
communication with applicants, participants, personnel of other Federal
entities, and members of the public.
(1) The agency shall furnish appropriate auxiliary aids where
necessary to afford a handicapped person an equal opportunity to
participate in, and enjoy the benefits of, a program or activity
conducted by the agency.
(i) In determining what type of auxiliary aid is necessary, the
agency shall give primary consideration to the requests of the
handicapped person.
(ii) The agency need not provide individually prescribed devices,
readers for personal use or study, or other devices of a personal
nature.
(2) Where the agency communicates with applicants and beneficiaries
by telephone, telecommunication devices for deaf persons (TDD's) or
equally effective telecommunication systems shall be used.
(b) The agency shall ensure that interested persons, including
persons with impaired vision or hearing, can obtain information as to
the existence and location of accessible services, activities, and
facilities.
(c) The agency shall provide signage at a primary entrance to each of
its inaccessible facilities, directing users to a location at which they
can obtain information about accessible facilities. The international
symbol for accessibility shall be used at each primary entrance of an
accessible facility.
(d) This section does not require the agency to take any action that
it can demonstrate would result in a fundamental alteration in the
nature of a program or activity or in undue financial and administrative
burdens. In those circumstances where agency personnel believe that the
proposed action would fundamentally alter the program or activity or
would result in undue financial and administrative burdens, the agency
has the burden of proving that compliance with 807.160 would result in
such alteration or burdens. The decision that compliance would result
in such alteration or burdens must be made by the agency head or his or
her designee after considering all agency resources available for use in
the funding and operation of the conducted program or activity, and must
be accompanied by a written statement of the reasons for reaching that
conclusion. If an action required to comply with this section would
result in such an alteration or such burdens, the agency shall take any
other action that would not result in such an alteration or such burdens
but would nevertheless ensure that, to the maximum extent possible,
handicapped persons receive the benefits and services of the program or
activity.
807.161 -- 807.169 (Reserved)
49 CFR 807.170 Compliance procedures.
(a) Except as provided in paragraph (b) of this section, this section
applies to all allegations of discrimination on the basis of handicap in
programs or activities conducted by the agency.
(b) The agency shall process complaints alleging violations of
section 504 with respect to employment according to the procedures
established by the Equal Employment Opportunity Commission in 29 CFR
Part 1613 pursuant to section 501 of the Rehabilitation Act of 1973 (29
U.S.C. 791).
(c) Director, Bureau of Administration shall be responsible for
coordinating implementation of this section. Complaints may be sent to
Director, Bureau of Administration, 800 Independence Ave., SW. Room 802,
Washington, DC 20594.
(d) The agency shall accept and investigate all complete complaints
for which it has jurisdiction. All complete complaints must be filed
within 180 days of the alleged act of discrimination. The agency may
extend this time period for good cause.
(e) If the agency receives a complaint over which it does not have
jurisdiction, it shall promptly notify the complainant and shall make
reasonable efforts to refer the complaint to the appropriate government
entity.
(f) The agency shall notify the Architectural and Transportation
Barriers Compliance Board upon receipt of any complaint alleging that a
building or facility that is subject to the Architectural Barriers Act
of 1968, as amended (42 U.S.C. 4151-4157), or section 502 of the
Rehabilitation Act of 1973, as amended (29 U.S.C. 792), is not readily
accessible to and usable by handicapped persons.
(g) Within 180 days of the receipt of a complete complaint for which
it has jurisdiction, the agency shall notify the complainant of the
results of the investigation in a letter containing --
(1) Findings of fact and conclusions of law;
(2) A description of a remedy for each violation found;
(3) A notice of the right to appeal.
(h) Appeals of the findings of fact and conclusions of law or
remedies must be filed by the complainant within 90 days of receipt from
the agency of the letter required by 807.170(g). The agency may extend
this time for good cause.
(i) Timely appeals shall be accepted and processed by the head of the
agency.
(j) The head of the agency shall notify the complainant of the
results of the appeal within 60 days of the receipt of the request. If
the head of the agency determines that additional information is needed
from the complainant, he or she shall have 60 days from the date of
receipt of the additional information to make his or her determination
on the appeal.
(k) The time limits cited in paragraphs (g) and (j) of this section
may be extended with the permission of the Assistant Attorney General.
(l) The agency may delegate its authority for conducting complaint
investigations to other Federal agencies, except that the authority for
making the final determination may not be delegated to another agency.
(51 FR 4579, Feb. 5, 1986, as amended at 51 FR 4579, Feb. 5, 1986)
49 CFR 807.170 PART 821 -- RULES OF PRACTICE IN AIR SAFETY PROCEEDINGS
49 CFR 807.170 Subpart A -- General Provisions
Sec.
821.1 Definitions.
821.2 Applicability and description of part.
49 CFR 807.170 Subpart B -- General Rules Applicable to Petitions for
Review, Appeals to the Board, and Appeals from Initial Decisions
821.6 Appearances and rights of witnesses.
821.7 Filing of documents with the Board.
821.8 Service of documents.
821.9 Intervention.
821.10 Computation of time.
821.11 Extension of time.
821.12 Amendment and withdrawal of pleadings.
821.13 Waivers.
821.14 Motions.
821.15 Motion to disqualify a Board Member.
821.16 Appeals from law judge's interlocutory rulings and motions.
821.17 Motions to dismiss and for judgment on the pleadings.
821.18 Motion for more definite statement.
821.19 Depositions and other discovery.
821.20 Subpoenas, witness fees, and appearances of Board Members,
officers, or employees.
821.21 Official notice.
49 CFR 807.170 Subpart C -- Special Rules Applicable to Proceedings
Under Section 602(b) of the Act
821.24 Initiation of proceedings.
821.25 Burden of proof.
821.26 Motion to dismiss petition for review for lack of standing.
49 CFR 807.170 Subpart D -- Special Rules Applicable to Proceedings
Under Section 609 of the Act
821.30 Initiation of proceedings.
821.31 Complaint procedure.
821.32 Burden of proof.
821.33 Motion to dismiss stale complaint.
49 CFR 807.170 Subpart E -- Law Judges
821.35 Assignment, duties, and powers.
49 CFR 807.170 Subpart F -- Hearings
821.37 Notice of hearing.
821.38 Evidence.
821.39 Argument and submissions.
821.40 Record.
821.41 Certification to the Board.
49 CFR 807.170 Subpart G -- Initial Decision
821.42 Initial decision by law judge.
821.43 Effect of law judge's initial decision, and filing an appeal
therefrom.
49 CFR 807.170 Subpart H -- Appeals from Initial Decisions
821.47 Notice of appeal.
821.48 Briefs and oral argument.
821.49 Issues on appeal.
821.50 Petitions for rehearing, reargument, reconsideration, or
modification of an order of the Board.
49 CFR 807.170 Subpart I -- Rules Applicable to Emergency Proceedings
821.54 General.
821.55 Appeal, complaint, answer to the complaint, and motions.
821.56 Hearing and initial decision.
821.57 Procedure on appeal.
49 CFR 807.170 Subpart J -- Ex Parte Communications
821.60 Definitions.
821.61 Prohibited ex parte communications.
821.62 Procedures for handling ex parte communication.
821.63 Requirement to show cause and imposition of sanction.
49 CFR 807.170 Subpart K -- Judicial Review of Board Orders
821.64 Judicial review.
Authority: Title VI, Federal Aviation Act of 1958, as amended (49
U.S.C. 1421 et seq.); and Independent Safety Board Act of 1974, Pub.
L. 93-633, 88 Stat. 2166 (49 U.S.C. 1901 et seq.), unless otherwise
noted.
Source: 40 FR 30243, July 17, 1975, unless otherwise noted.
49 CFR 807.170 Subpart A -- General Provisions
49 CFR 821.1Definitions.
As used in this part:
Act means the Federal Aviation Act of 1958, as amended (49 U.S.C.
1301 et seq.);
Administrator means the Administrator of the Federal Aviation
Administration (FAA);
Airman certificate means any certificate issued by the FAA to an
airman and shall include medical certificates required for an airman;
Appeal from an initial decision means a request to the Board to
review a law judge's decision;
Appeal to the Board means a request to the Board for the review by a
law judge of an order of the Administrator;
Board means the National Transportation Safety Board;
Certificate means any certificate issued by the Administrator under
Title VI of the Act;
Chief Law Judge means the administrative law judge in charge of the
Office of Administrative Law Judges;
Complaint means an order of the Administrator from which an appeal to
the Board has been taken pursuant to section 609 of the Act;
Emergency order means an order of the Administrator issued pursuant
to section 609 of the Act, which recites that an emergency exists and
that safety in air commerce or air transportation and the public
interest require the immediate effectiveness of such order;
Initial decision means the law judge's decision on the issue
remaining for disposition at the close of a hearing before him and/or an
order granting a motion to dismiss in lieu of an answer, as provided in
821.17, and terminating the proceeding, except that initial decision
does not include cases where the record is certified to the Board, with
or without a recommended decision, or orders partly granting a motion to
dismiss and requiring an answer to any remaining allegation, or rulings
by the law judge on interlocutory matters appealed to the Board under
821.16;
Law judge means the administrative law judge assigned to hear and
preside over the respective proceedings;
Petition for review means a petition filed pursuant to section 602(b)
of the Act for review of the Administrator's denial of an application
for issuance or renewal of an airman certificate;
Petitioner means a person who has filed a petition for review;
Respondent means the holder of a certificate who has appealed to the
Board from an order of the Administrator amending, modifying,
suspending, or revoking any certificate.
Terms defined in the Act are used as so defined.
49 CFR 821.2Applicability and description of part.
The provisions of this part govern all air safety proceedings,
including proceedings involving airman medical certification, before a
law judge upon petition for review of the denial of any airman
certificate or upon appeal from any order of the Administrator amending,
modifying, suspending, or revoking any certificate, and upon appeal to
the Board from any order or decision of a law judge.
(49 FR 28249, July 11, 1984)
49 CFR 821.2 Subpart B -- General Rules Applicable to Petitions for Review, Appeals to the Board, and Appeals From Initial Decisions
49 CFR 821.6Appearances and rights of witnesses.
(a) Any party to a proceeding may appear and be heard in person or by
attorney or other representative designated by him. No register of
persons who may practice before the Board is maintained, and no
application for admission to practice is required. Upon hearing, and
for good cause shown, the Board may suspend or bar any person from
practicing before it.
(b) Any person appearing in person in any proceeding governed by this
part, may be accompanied, represented, and advised by counsel and may be
examined by his own counsel or representative.
(c) Any person who submits data or evidence in a proceeding governed
by this part, may by timely request procure a copy of any document
submitted by him, or a copy of any transcript made of his testimony on
payment of reasonable costs. Original documents or data or evidence may
be retained by a party upon permission of the law judge or the Board,
upon substitution of a copy therefor.
(d) Any party to a proceeding who is represented by an attorney shall
notify the Board of the name and address of that attorney. In the event
of a change in counsel of record, a party shall notify the Board, in the
manner provided in 821.7(a), and the other parties to the proceeding,
prior to participating in any way, including the filing of doucments, in
any proceeding.
(40 FR 30243, July 17, 1975, as amended at 49 FR 28249, July 11,
1984)
49 CFR 821.7Filing of documents with the Board.
(a) Filing address, date and method of filing. Documents to be filed
with the Board shall be filed with the following: Office of
Administrative Law Judges, National Transportation Safety Board,
Washington, DC 20594, by personal delivery or by mail (including U.S.
Government franked envelope) and shall be deemed to be filed on the date
of personal delivery, on the mailing date shown on the certificate of
service, on the date shown on the postmark if there is no certificate of
service, or on the mailing date shown by other evidence if there is no
certificate of service and no postmark.
(b) Number of copies. Unless otherwise specified, an executed
original and three true copies of each document shall be filed with the
Office of Administrative Law Judges. Copies need not be signed, but the
name of the person signing the original shall be shown.
(c) Form. Petitions for review or appeals to the Board and appeals
from initial decisions may be in the form of a letter to the Board
signed by the petitioner or the party appealing and shall be typewritten
or in legible handwriting.
(d) Contents. Each document shall contain a concise and complete
statement of the facts relied upon and the relief sought.
(e) Subscription. The original of every document filed shall be
signed by the person filing it or his duly authorized representative.
(f) Designation of person to receive service. The initial document
filed shall state on the first page the name and post office address of
the person or persons who may be served with documents in the
proceeding.
(g) Motions, requests, and documents. All motions, requests, and
documents in connection with petitions for review and appeals to the
Board shall be filed with the chief law judge, until such time as he
assigns a law judge to preside over the proceeding.
(40 FR 30243, July 17, 1975, as amended at 49 FR 28249, July 11,
1984)
49 CFR 821.8Service of documents.
(a) Service by the Board. The Board will serve orders, notices of
hearing, and written initial decisions upon all parties to the
proceeding by certified mail. Other documents will be served by
certified mail or by regular mail (including U.S. Government franked
envelope).
(b) Service by others. Copies of all documents filed with the Board
must be served upon all parties to the proceeding by the person filing
them.
(c) Service by others. Service may be made by personal delivery, by
certified mail, or by regular mail (including U.S. Government franked
envelope).
(d) Who may be served. Service upon a party or person may be made
upon a person designated in accordance with 821.7(f) to receive
service. If no such person is designated, service may be made upon the
party himself, if he is an individual, or upon an officer of a
corporation or association, a member of a partnership, or an agent of an
air carrier designated under section 1005(b) of the Act.
(e) Where service may be made. Service by regular or certified mail
shall be made at the address of the person designated in accordance with
821.7(f) to receive service, or, if no such person is designated, at
the usual residence or principal place of business of the party, or, if
not known, at the address last furnished by him to the Federal Aviation
Administration, except that an agent designated by an air carrier under
section 1005(b) of the Act shall be served only at his office or usual
place of residence. Service by mail on the Administrator shall be made
at the office of his designee to receive service, or if none, at the
Federal Aviation Administration, Office of the Chief Counsel,
Washington, DC 20591. Personal service may be made on any of the
persons described in paragraph (d) of this section wherever they may be
found, except that an agent designated by an air carrier under section
1005(b) of the Act may be served only at his office or usual place of
residence.
(f) Certificate of service. A certificate of service shall accompany
all documents when they are tendered for filing and shall consist of a
certificate of mailing executed by the person mailing the document.
(g) Presumption of service. There shall be a presumption of lawful
service in the following instances:
(1) Where acknowledgement of receipt is made by a person who
customarily receives mail or receives it in the ordinary course of
business at either the residence or principal place of business of a
person designated in accordance with 821.7(f) to receive service; or
(2) Where there is no designee, acknowledgment of receipt at the
residence or principal place of business of the party himself, by a
person who customarily receives mail or receives it in the ordinary
course of business; or
(3) Where a properly addressed envelope, indicating that it had been
sent by regular, registered, or certified mail, has been returned marked
''undelivered,'' ''unclaimed,'' or ''refused.''
(h) Date of service. Whenever proof of service by mail is made, the
date of service shall be the mailing date shown on the certificate of
service, the mailing date shown by the postmark if there is no
certificate of service, or the mailing date as shown by other evidence
if there is no certificate of service and no postmark. Where personal
delivery is made, the date of service shall be the date of personal
delivery.
(40 FR 30243, July 17, 1975, as amended at 49 FR 28249, July 11,
1984)
49 CFR 821.9Intervention.
Any person may move for leave to intervene in a proceeding and may
become a party thereto, if the law judge finds that such person may be
bound by any order to be entered in the proceeding, or that such person
has a property, financial, or other legitimate interest which may not be
adequately represented by existing parties, and that such intervention
will not unduly broaden the issues or delay the proceedings. Except for
good cause shown, no motion for leave to intervene will be entertained
if filed less than 10 days prior to hearing. The extent to which an
intervenor may participate in the proceedings is within the discretion
of the law judge.
(49 FR 28249, July 11, 1984)
49 CFR 821.10Computation of time.
In computing any period of time prescribed or allowed by this part,
by notice or order of the Board or a law judge, or by any applicable
statute, the date of the act, event, or default after which the
designated period of time begins to run is not to be included in the
computation. The last day of the period so computed is to be included
unless it is a Saturday, Sunday, or legal holiday for the Board, in
which event the period runs until the end of the next day which is
neither a Saturday, Sunday, nor a legal holiday for the Board shall be
computed in the calculation of time in all emergency cases under Subpart
I of this part and shall be counted in the computation of time in all
nonemergency cases where the period of time involves 7 days or more.
49 CFR 821.11Extension of time.
Upon written request filed with the Board and served upon all
parties, and for good cause shown, the chief law judge, the law judge,
or the Board, may grant an extension of time to file any document except
a petition for reconsideration. Extensions of time to file petitions
for reconsideration will be granted only in extraordinary circumstances.
49 CFR 821.12Amendment and withdrawal of pleadings.
(a) Amendment. At any time more than 15 days prior to the time of
hearing, a party may amend his pleadings by filing the amended pleading
with the Board and serving copies on the other parties. After that
time, amendment shall be allowed only at the discretion of the law
judge. Where amendment to an answerable pleading has been allowed, the
law judge shall allow the adverse party a reasonable opportunity to
answer.
(b) Withdrawal. A party may withdraw his pleadings only upon
approval of the law judge or the Board.
49 CFR 821.13Waivers.
Waivers of any rights provided by statute or regulation shall either
be in writing, or by stipulation made at a hearing and entered into the
record, and shall set forth their precise terms and conditions.
49 CFR 821.14Motions.
(a) General. An application to the Board or to a law judge for an
order or ruling not otherwise specifically provided for in this part
shall be by motion. Prior to the assignment of a law judge, all motions
shall be addressed to the chief law judge. Thereafter, and prior to the
expiration of the period within which an appeal from the law judge's
initial decision may be filed, or the certification of the record to the
Board, all motions shall be addressed to the law judge. At all other
times, motions shall be addressed to the Board. All motions not
specifically provided for in any other section of this part shall be
made at an appropriate time, depending upon the nature thereof and the
relief requested.
(b) Form and contents. Unless made during a hearing, motions shall
be made in writing, shall state with particularity the grounds for the
relief sought, and the relief sought, and shall be accompanied by
affidavits or other evidence relied upon. Motions introduced during
hearings may be made orally on the record, unless the law judge directs
otherwise.
(c) Answers to motions. Except when a motion is made during a
hearing, any party may file an answer in support of or in opposition to
a motion, accompanied by such affidavits or other evidence as he desires
to rely upon, provided that the answer is filed with 15 days after the
motion has been served upon him, or such other period as the Board or a
law judge may fix. Where a motion is made during a hearing, the answer
and the ruling thereon may be made at the hearing, or orally or in
writing within such time as the law judge may fix.
(d) Oral argument; briefs. No oral argument will be heard on motions
unless the Board or the law judge directs otherwise. Written memoranda
or briefs may be filed with motions or answers to motions, stating the
points and authorities relied upon in support of the positions taken.
(e) Disposition of motions. Except as provided in paragraph (c) of
this section for rulings on motions made at a hearing, the law judge
shall pass upon all motions properly addressed to him, unless he finds
that a prompt decision by the Board is essential to the proper conduct
of the proceeding, in which case he may refer such motion to the Board
for decision.
(f) Effect of pendency of motions. Except as provided in 821.17(a)
and 821.18, the filing or pendency of a motion shall not automatically
alter or extend the time fixed in this part (or any extension granted
thereunder) to take action by the parties.
(40 FR 30243, July 17, 1975, as amended at 54 FR 12203, Mar. 24,
1989)
49 CFR 821.15Motion to disqualify a Board Member.
A motion requesting a Board Member to disqualify himself shall be
filed with the Board, supported by an affidavit setting forth grounds
for disqualification. In nonemergency proceedings, where an appeal from
an initial decision is filed, such motion shall be filed on or before
the date on which the reply brief is due, pursuant to 821.48(d). In
emergency proceedings, where a notice of appeal has been filed, such
motion shall be filed on or before the date the reply brief is due,
pursuant to 821.57(b). Failure to file a timely motion shall be deemed
a waiver of any claim of disqualification. Application for leave to
file an untimely motion may be made, accompanied by an affidavit setting
forth in detail why the facts relied upon as grounds for
disqualification were not known and could not have been discovered with
reasonable diligence within the prescribed time.
49 CFR 821.16Appeals from law judge's interlocutory rulings and
motions.
Rulings of law judges on motions may not be appealed to the Board
prior to its consideration of the entire proceeding, except in
extraordinary circumstances and with the consent of the law judge who
made the ruling. An appeal shall be disallowed unless the law judge
finds, either on the record or in writing, that to allow such an appeal
is necessary to prevent substantial detriment to the public interest or
undue prejudice to any party. If an appeal is allowed, any party may
file a brief with the Board within such time as the law judge directs.
No oral argument will be heard unless the Board directs otherwise. The
rulings of the law judge on motion may be reviewed by the Board in
connection with its appellate action in the proceeding, irrespective of
the filing of an appeal from the motion or any action taken thereon.
49 CFR 821.17Motion to dismiss and for judgment on the pleadings.
(a) General. A motion to dismiss may be filed within the time
limitation for filing an answer, except as otherwise provided in
paragraph (d) of this section. If the motion is not granted in its
entirety, the answer shall be filed within 10 days of service of the law
judge's order on the motion.
(b) Judgment on the pleadings. A party may file a motion for
judgment on the pleadings where no answer has been filed or where there
are no issues to be resolved.
(c) Appeal of dismissal orders and grants of motions for judgment on
the pleadings. When a law judge grants a motion for judgment on the
pleadings or a motion to dismiss in lieu of an answer and terminates the
proceeding without a hearing, an appeal of such order to the Board may
be filed pursuant to the provisions of 821.47. When a law judge grants
a motion to dimiss in part, 821.16 is applicable.
(d) Motions to dismiss for lack of jurisdiction. A motion to dismiss
on the ground that the Board lacks jurisdiction may be made at any time.
(49 FR 28249, July 11, 1984)
49 CFR 821.18Motion for more definite statement.
(a) A party, in lieu of an answer, may file a motion requesting that
the allegations in the complaint or the petition be made more definite
and certain. The motion shall point out the defects complained of and
the details desired. If the motion is granted and the law judge's order
is not complied with within 15 days after notice, the law judge shall
strike the allegation or allegations in any complaint or petition to
which the motion is directed. If the motion is denied, the moving party
shall file an answer within 10 days after the denial.
(b) A party may file a motion to clarify an answer in the event that
it fails to respond clearly either to the complaint or to the petition
for review. Such a motion may be granted at the discretion of the law
judge.
(49 FR 28249, July 11, 1984)
49 CFR 821.19Depositions and other discovery.
(a) Initiation of discovery. After a petition for review or a
complaint is filed, any party may take the testimony of any person,
including a party, by deposition, upon oral examination or written
questions, without seeking prior Board approval. Reasonable notice
shall be given in writing to the other parties of record stating the
name of the witness and the time and place of the taking of the
deposition. A copy of any notice of deposition shall be served on the
Office of Administrative Law Judges. In other respects, the taking of
any deposition shall be in compliance with the provisions of section
1004 of the Act.
(b) Exchange of information by parties. At any time before hearing,
after the assignment of a proceeding to a law judge has been made in
accordance with 821.35(a), at the instance of either party, the parties
or their representatives may exchange information, such as witness
lists, exhibit lists, curricula vitae and bibliographies of expert
witnesses, and other data. In the event of a dispute, the law judge may
issue an order directing compliance with any ruling he has made in
respect to discovery. A party may also serve written interrogatories on
the opposing party. A copy of any such interrogatories shall be served
on the law judge assigned to the proceeding.
(c) Use of the Federal Rules of Civil Procedure. Those portions of
the Federal Rules of Civil Procedure that pertain to depositions and
discovery may be used as a general guide for discovery practice in
proceedings before the Board where appropriate. The Federal Rules and
the case law that construes them shall be considered by the Board and
its law judges as instructive rather than controlling.
(49 FR 28250, July 11, 1984)
49 CFR 821.20Subpoenas, witness fees, and appearances of Board Members,
officers, or employees.
(a) Subpoenas. Subpoenas requiring the attendance of witnesses or
the production of documentary or tangible evidence for the purpose of
taking depositions or at a hearing may be issued by the chief law judge
prior to the assignment of a law judge, or by the law judge to whom the
case is assigned, upon application by any party. The application shall
show the general relevance and reasonable scope of the evidence sought.
Any person upon whom a subpoena is served may, within 7 days after
service but in any event prior to the return date thereof, file with the
chief law judge or the law judge, as the case may be, a motion to quash
or modify the subpoena, and such filing shall stay the subpoena pending
final action by the chief law judge or the law judge on the motion.
(b) Witness fees. Witnesses shall be entitled to the same fees and
mileage as are paid to witnesses in the courts of the United States.
The fees shall be paid by the party at whose instance the witness is
subpoenaed or appears.
(c) Board Members, officers, or employees. The provisions of
paragraph (a) of this section are not applicable to Board Members,
officers, or employees, or to the production of documents in their
custody. Applications for the attendance of such persons or the
production of such documents at a hearing or deposition shall be
addressed to the chief law judge or the law judge, as the case may be,
in writing, and shall set forth the need of the moving party for such
evidence and its relevancy to the issues in the proceeding.
49 CFR 821.21Official notice.
Where the law judge or the Board intends to take official notice of a
material fact not appearing in the evidence in the record, notice shall
be given to all parties, who may within 10 days file a petition
challenging such fact. Upon the filing of such petition, the party or
parties shall be given reasonable opportunity to controvert the fact.
49 CFR 821.21 Subpart C -- Special Rules Applicable to Proceedings Under Section 602(b) of the Act
49 CFR 821.24Initiation of proceedings.
(a) Petition for review. Where the Administrator has denied an
application for the issuance or renewal of an airman certificate, the
applicant may file with the Board a petition for review of the
Administrator's action. Such petition shall be filed within 60 days
from the time of service on the petitioner of the Administrator's
action. The petition shall contain a short, plain statement of the
facts on which petitioner's case rests and a statement of the action
requested. The petition may be filed in the form of a letter to the
Board signed by the aggrieved party.
(b) Filing petition with the Board. The petition for review shall be
filed with the Board and the date of filing shall be determined in the
same manner as prescribed by 821.7(a) for other documents.
(c) Answer to petition. The Administrator shall file an answer to
the petition for review within 20 days of service upon him by the
petitioner of the petition for review. Failure to deny the truth of any
allegation or allegations of the petition may be deemed an admission of
the truth of the allegation or allegations not answered.
(d) Stay of proceeding pending petition for exemption. Where the
petitioner has filed with the Administrator a petition for exemption
under the provisions of the Federal Aviation Regulations, he may request
that the Board hold his petition in abeyance pending final action on his
petition for exemption, or for 180 days from the date of issuance of the
Administrator's denial, whichever occurs first. In the event that a
petitioner fails to request a hearing during the 180-day period
extending from the date of issuance of the Administrator's denial, he is
returned to the status of an applicant for airman medical certification
and must follow the procedures set forth in 14 CFR Part 67. Pending a
stay of proceedings, further pleadings are stayed.
(e) New evidence. In the event that a petitioner has undergone
medical testing or medical evaluation, in addition to the testing and
evaluation that has already been submitted to the Administrator, and
wishes to introduce the results of that further medical testing or
medical evaluation into the record, petitioner may do so provided that
the new medical evidence is served upon the Administrator at least 30
days prior to the date of hearing.
(40 FR 30243, July 17, 1975, as amended at 43 FR 60473, Dec. 28,
1978; 49 FR 28250, July 11, 1984)
49 CFR 821.25Burden of proof.
In proceedings under section 602(b) of the Act, the burden of proof
shall be upon the petitioner.
49 CFR 821.26Motion to dismiss petition for review for lack of
standing.
Upon motion by the Administrator within the time limitation for
filing an answer, a petition for review shall be dismissed for lack of
standing in either of the following instances:
(a) If the petitioner's certificate at the time of the denial or
renewal thereof was under an order of suspension; or
(b) If the petitioner's certificate had been revoked within one year
of the date of the denial or renewal thereof, unless the order revoking
such certificate provided otherwise.
49 CFR 821.26 Subpart D -- Special Rules Applicable to Proceedings Under Section 609 of the Act
49 CFR 821.30Initiation of proceedings.
(a) Appeal. A certificate holder may file with the Board an appeal
from an order of the Administrator amending, modifying, suspending, or
revoking a certificate. Such appeal shall be filed with the Board
within 20 days from the time of service of the order, along with proof
of service upon the Administrator.
(b) Contents. Each appeal shall contain a concise but complete
statement of the facts relied upon and the relief sought. It shall
identify the Administrator's order and the certificate affected and
shall recite the Administrator's action from which the appeal is sought.
It shall likewise contain proof of service upon the Administrator.
(c) Effect of timely appeal with the Board. Timely filing with the
Board of an appeal from an order of the Administrator shall postpone the
effective date of the order until final disposition of the appeal by the
law judge or the Board, except in emergency proceedings.
49 CFR 821.31Complaint procedure.
(a) Filing, time of filing, and service upon respondent. The order
of the Administrator from which an appeal has been taken shall serve as
the complaint. The complaint shall be filed by the Administrator with
the Board within 5 days after the notice of appeal has been filed upon
the Administrator. The complaint shall be accompanied by the
Administrator's proof of service upon respondent.
(b) Contents of complaint. If the Administrator claims that
respondent lacks qualification as an airman, the order filed as the
complaint, or an accompanying statement shall recite on which of the
facts pleaded this contention is based.
(c) Answer to complaint. The respondent shall file an answer to the
complaint within 20 days of service of the complaint upon him by the
Administrator. Failure to deny the truth of any allegation or
allegations in the complaint may be deemed an admission of the truth of
the allegation or allegations not answered. Respondent's answer shall
also include any affirmative defense that respondent intends to raise at
the hearing. A respondent may amend his answer to include any
affirmative defense in accordance with the requirements of 821.12(a).
In the discretion of the law judge, any affirmative defense not so
pleaded may be deemed waived.
(40 FR 30243, July 17, 1975, as amended at 49 FR 28250, July 11,
1984)
49 CFR 821.32Burden of proof.
In proceedings under section 609 of the Act, the burden of proof
shall be upon the Administrator.
49 CFR 821.33Motion to dismiss stale complaint.
Where the complaint states allegations of offenses which occurred
more than 6 months prior to the Administrator's advising respondent as
to reasons for proposed action under section 609 of the Act, respondent
may move to dismiss such allegations pursuant to the following
provisions:
(a) In those cases where a complaint does not allege lack of
qualification of the certificate holder:
(1) The Administrator shall be required to show by answer filed
within 15 days of service of the motion that good cause existed for the
delay, or that the imposition of a sanction is warranted in the public
interest, notwithstanding the delay or the reasons therefor.
(2) If the Administrator does not establish good cause for the delay
or for imposition of a sanction notwithstanding the delay, the law judge
shall dismiss the stale allegations and proceed to adjudicate only the
remaining portion, if any, of the complaint.
(3) If the law judge wishes some clarification as to the
Administrator's factual assertions of good cause, he shall obtain this
from the Administrator in writing, with due service made upon the
respondent, and proceed to an informal determination of the good cause
issue without a hearing. A hearing to develop facts as to good cause
shall be held only where the respondent raises an issue of fact in
respect of the Administrator's good cause issue allegations.
(b) In those cases where the complaint alleges lack of qualification
of the certificate holder:
(1) The law judge shall first determine whether an issue of lack of
qualification would be presented if any or all of the allegations, stale
and timely, are assumed to be true. If not, the law judge shall proceed
as in paragraph (a) of this section.
(2) If the law judge deems that an issue of lack of qualification
would be presented by any or all of the allegations, if true, he shall
proceed to a hearing on the lack of qualification issue only, and he
shall so inform the parties. The respondent shall be put on notice that
he is to defend against lack of qualification and not merely against a
proposed remedial sanction.
(40 FR 30243, July 17, 1975, as amended at 54 FR 12203, Mar. 24,
1989)
49 CFR 821.33 Subpart E -- Law Judges
49 CFR 821.35Assignment, duties, and powers.
(a) Assignment of law judge and duration of assignment. The chief
law judge shall assign a law judge to preside over the proceeding.
Until such assignment, motions, requests, and documents shall be
addressed to the chief law judge. Thereafter, all such motions,
requests, and documents shall be addressed to the law judge assigned.
The authority of the law judge shall terminate upon certification of the
record to the Board, or upon expiration of the period within which
appeals from initial decisions may be filed, or upon the law judge's
withdrawal from the proceeding upon considering himself disqualified.
(b) Powers of law judges. Law judges shall have the following
powers:
(1) To give notice of and to hold prehearing conferences and hearings
and to consolidate proceedings which involve a common question of law or
fact;
(2) To administer oaths and affirmations;
(3) To examine witnesses;
(4) To issue subpoenas and to take or cause depositions to be taken;
(5) To receive evidence and rule upon objections and offers of proof;
(6) To rule upon motions in assigned cases;
(7) To regulate the conduct of the hearing;
(8) To hold conferences, before or during the hearing for the
settlement or simplification of issues;
(9) To dispose of procedural requests or similar matters; and
(10) To make initial decisions, and, if so directed by the Board, to
certify records with or without recommended decisions.
(c) Disqualification of a law judge. A law judge shall withdraw from
the proceedings if at any time he deems himself disqualified. If, prior
to the initial decision, there is filed an affidavit of personal bias or
disqualifications, with substantiating facts, and the law judge does not
withdraw, the Board will determine the matter as a part of the record
and decision in the proceeding, if an appeal from the law judge's
initial decision is filed. The Board will not otherwise consider any
claim of bias or disqualification as to the law judge's assignment to
conduct the hearing. The Board, in its discretion, may order a hearing
on a charge of bias or disqualification.
49 CFR 821.35 Subpart F -- Hearings
49 CFR 821.37Notice of hearing.
(a) Notice. The chief law judge or the law judge to whom the case is
assigned shall set the date, time, and place for the hearing at a
reasonable date, time and place, and shall give the parties adequate
notice at least 30 days in advance thereof, and of the nature of the
hearing. In the event that the parties stipulate to an earlier hearing
date, and the law judge to whom the case is assigned agrees, to a date
less than 30 days in advance of the date upon which notice of hearing is
given, a hearing date less than 30 days after the date of notice may be
set by the law judge. Due regard shall be given to the convenience of
the parties with respect to the place of the hearing. The location of
the majority of the witnesses and the suitability of a site served by a
scheduled air carrier are factors to be considered in setting the place
for the hearing. Due regard shall be given to any need for discovery in
setting the hearing date.
(b) Hearings in several sessions. Where appropriate, the law judge
may determine that a hearing will be held in one or more sessions at the
same or different places.
(40 FR 30243, July 17, 1975, as amended at 49 FR 28250, July 11,
1984)
49 CFR 821.38Evidence.
Every party shall have the right to present his case or defense by
oral or documentary evidence, to submit evidence in rebuttal, and to
conduct such cross-examination as may be required for a full and true
disclosure of the facts.
49 CFR 821.39Argument and submissions.
At the hearing, the law judge shall give the parties adequate
opportunity for the presentation of arguments in support of, or in
opposition to, motions, objections, and rulings. Prior to the initial
decision, the parties shall be afforded a reasonable opportunity to
submit for consideration proposed findings and conclusions and
supporting reasons therefor.
49 CFR 821.40Record.
The transcript of testimony and exhibits, together with all papers,
requests, and rulings filed in the proceeding shall constitute the
exclusive record of the proceeding. The record shall also include any
proceeding upon an affidavit of personal bias or disqualification of a
law judge. Copies of the transcript may be obtained by any party upon
payment of the reasonable cost thereof. A copy may be examined at the
National Transportation Safety Board Public Reference Room No. 806D, at
800 Independence Avenue, SW., Washington, DC 20594.
49 CFR 821.41Certification to the Board.
At any time prior to the close of the hearing, the Board may direct
the law judge to certify any question or the entire record in the
proceeding to the Board for decision, except an interlocutory ruling.
In cases where the record is certified to the Board, the law judge shall
not render an initial decision but shall only recommend to the Board a
decision as provided in 5 U.S.C. 557 (Administrative Procedure).
49 CFR 821.41 Subpart G -- Initial Decision
49 CFR 821.42Initial decision by law judge.
(a) Written or oral decision. The law judge may render his initial
decision orally at the close of the hearing, or he may render such
decision in writing at a later date, except as provided in 821.56(b).
(b) Contents. The initial decision shall include a statement of
findings and conclusions, and the grounds therefor, upon all material
issues of fact, credibility of witnesses, law, or discretion presented
on the record, the appropriate order, and the reasons therefor.
(c) Service of written decision and extension of time for appeal. If
the initial decision is in writing, it shall be served upon the parties.
At any time before the date for filing an appeal from the initial
decision has passed, the law judge or the Board may, for good cause
shown, extend the time within which to file an appeal from the initial
decision, and the law judge may also reopen the case for good cause upon
notice to the parties.
(d) Furnishing copy of oral decision and issuance date. If the
initial decision is rendered orally, a copy thereof, excerpted from the
transcript of the record, shall be furnished the parties by the Office
of Administrative Law Judges. Irrespective of the date of mailing of
such copy, the issuance date of the decision shall be the actual date of
the rendering of the oral decision.
49 CFR 821.43Effect of law judge's initial decision, and filing an
appeal therefrom.
If an appeal from the initial decision is not timely filed with the
Board by either party, or the Board on its own initiative does not
decide within 20 days after the issuance of the initial decision to
review it, the initial decision shall become final. However, the
initial decision shall not be deemed to be a precedent binding on the
Board. The timely review by the Board or the filing of such an appeal
or motion shall stay the order in the initial decision.
49 CFR 821.43 Subpart H -- Appeals from Initial Decisions
49 CFR 821.47Notice of appeal.
A party may appeal from a law judge's order or from the initial
decision by filing with the Board and serving upon the other parties
(pursuant to 821.8) a notice of appeal within 10 days after an oral
initial decision has been rendered or a written decision or an order has
been served.
49 CFR 821.48Briefs and oral argument.
(a) Appeal briefs. Each appeal must be perfected within 50 days
after an oral initial decision has been rendered, or 30 days after
service of a written initial decision, by filing with the Board and
serving on the other party a brief in support of the appeal. Appeals
may be dismissed by the Board on its own initiative or on motion of the
other party, in cases where a party who has filed a notice of appeal
fails to perfect his appeal by filing a timely brief.
(b) Contents of appeal brief. Each appeal brief shall set forth in
detail the objections to the initial decision, and shall state whether
such objections are related to alleged errors in the law judge's
findings of fact and conclusions or alleged errors in his order. It
shall also state the reasons for such objections and the relief
requested.
(c) Waiver of objections on appeal. Any error contained in the
initial decision which is not objected to may be deemed to have been
waived. Where any objection is based upon evidence of record, such
objection need not be considered by the Board unless specific record
citations to the pertinent evidence are furnished in the appeal brief.
(d) Reply brief. A brief in reply to the appeal brief may be filed
by the other party within 30 days after the appeal brief has been served
upon him. A copy of the reply brief shall be served upon the party who
has appealed from the initial decision. Where the reply brief relies
upon evidence of record, specific record citations to the pertinent
evidence shall be furnished in the reply brief.
(e) Other briefs. No further briefs may be filed, except upon
specific leave of the Board upon a showing of good cause therefor.
(f) Number of copies. Five copies of briefs shall be filed with the
Board.
(g) Oral argument. Oral argument before the Board will normally not
be held in proceedings under this part. However, when need therefor
appears, the Board may permit oral argument, either on its own
initiative or on motion of a party.
(40 FR 30248, July 17, 1975, as amended at 49 FR 28250, July 11,
1984)
49 CFR 821.49Issues on appeal.
On appeal, the Board will consider only the following issues:
(a) Are the findings of fact each supported by a preponderance of
reliable, probative, and substantial evidence?
(b) Are conclusions made in accordance with precedent and policy?
(c) Are the questions on appeal substantial?
(d) Have any prejudicial errors occurred?
If the Board determines that the law judge erred in any respect or
that his order in his initial decision should be changed, the Board may
make any necessary findings and may issue an order in lieu of the law
judge's order, or may remand the case for such purposes as the Board may
deem necessary. The Board on its own initiative may raise any issue,
the resolution of which it deems important to a proper disposition of
the proceedings, in which event a reasonable opportunity shall be
afforded to the parties to submit argument thereon.
49 CFR 821.50Petitions for rehearing, reargument, reconsideration, or
modification of an order of the Board.
(a) General. Any party to a proceeding may petition for rehearing,
reargument, reconsideration, or modification of a Board order on appeal
from an initial decision. Initial decisions which have become final
because they were not appealed from shall not be deemed orders for this
purpose.
(b) Form and number of copies. The petition shall be in writing.
Five copies shall be filed with the Board and a copy shall be served
upon each of the parties within 30 days after service of the Board's
order on appeal from the initial decision.
(c) Contents. The petition shall state briefly and specifically the
matters of record alleged to have been erroneously decided, the ground
or grounds relied upon, and the relief sought. If the petition is
based, in whole or in part, on allegations as to the consequences that
would result from the order of the Board, the basis of such allegations
shall be set forth. If the petition is based, in whole or in part, upon
new matter, it shall set forth such new matter and shall contain
affidavits of prospective witnesses, authenticated documents, or both,
or an explanation why such substantiation is unavailable, and shall
explain why such new matter could not have been discovered by the
exercise of due diligence prior to the date of the hearing.
(d) Grounds for dismissal. Repetitious petitions will not be
entertained by the Board and will be summarily dismissed.
(e) Reply to petition. Within 15 days after the service of the
petition upon an adverse party, he may reply thereto by filing a copy of
the reply with the Board, with proof of service upon the petitioner.
(f) Stay of effective date of order. The filing of a petition under
this section shall operate to stay the effective date of the Board
order, unless otherwise ordered by the Board.
(40 FR 30243, July 17, 1975, as amended at 54 FR 12203, Mar. 24,
1989)
49 CFR 821.50 Subpart I -- Rules Applicable to Emergency Proceedings
49 CFR 821.54General.
(a) Applicability. These rules shall apply to any order issued by
the Administrator as an emergency order, or any order issued by the
Administrator not designated as an emergency order, which is later
amended to be an emergency order, as provided in section 609 of the Act,
in cases where the respondent appeals or has appealed to the Board
therefrom.
(b) Effective date of emergency. The procedure set forth herein
shall apply as of the date when the Administrator's written advice of
the emergency character of his order has been received by the Office of
Administrative Law Judges or by the Board.
(c) Computation of time. Time shall be computed in accordance with
821.10, including the provision that Saturdays, Sundays, and legal
holidays of the Board shall always be counted in the computation.
49 CFR 821.55Appeal, complaint, answer to the complaint, and motions.
(a) Time within which to appeal. Within 10 days after the service of
the Administrator's emergency order on the certificate holder, he may
file an appeal therefrom to the Board.
(b) Form and content of appeal. The appeal may be in the form of a
letter to the Board signed by the aggrieved party. It shall identify
the Administrator's order and the certificate affected, shall recite the
Administrator's action from which the appeal is taken, and shall
identify the issues of fact or law on which the appeal is based and the
relief sought.
(c) Complaint. Within 3 days after receipt of the appeal by the
Board, the Administrator shall file with the Board his emergency order
as his complaint and serve a copy upon the respondent.
(d) Answer to the complaint. Within 5 days after service of the
complaint upon respondent, he shall file his answer thereto. Failure to
deny any allegation or allegations of the complaint may be deemed an
admission of the allegation or allegations not answered.
(e) Motion to dismiss and motion for more definite statement. No
motion to dismiss or for a more definite statement shall be made, but
the substance thereof may be stated in the respondent's answer. The law
judge may permit or require a more definite statement or other amendment
to any pleading at the hearing, upon good cause shown and upon just and
reasonable terms.
49 CFR 821.56Hearing and initial decision.
(a) Notice of hearing. Immediately upon notification by the
Administrator to the Board that an emergency exists, the date and place
for hearing shall be set upon notice to the parties. The hearing shall
be set for a date no later than 7 days after the issuance of the notice
of hearing.
(b) Initial decision. The initial decision shall be made orally on
the record at the termination of the hearing and after opportunity for
oral argument. The provisions of 821.42 (b) and (d) shall be
applicable, (covering content, furnishing a copy of the initial decision
excerpted from the record, and issuance date).
(c) Conduct of hearing. The provisions of 821.38, 821.39, and
821.40, covering evidence, argument and submissions, and record, shall
be applicable.
(d) Effect of law judge's initial decision. If no appeal to the
Board by either party, by motion or otherwise, is filed within the time
allowed, the law judge's initial decision shall become final but shall
not be deemed to be a precedent binding on the Board.
49 CFR 821.57Procedure on appeal.
(a) Time within which to file a notice of appeal and content. Within
2 days after the initial decision has been orally rendered, either party
to the proceeding may appeal therefrom by filing with the Board and
serving upon the other parties a notice of appeal. The time limitations
for the filing of documents are not extended by the unavailability of
the hearing transcript.
(b) Briefs and oral argument. Within 5 days after the filing of the
notice of appeal, the appellant shall file a brief with the Board and
serve a copy upon the other parties. Within 10 days after service of
the appeal brief, a reply brief may be filed with the Board in which
case a copy shall be served upon the other parties. The briefs shall
comply with the requirements of 821.48 (b), (c), (d), (e), (f), and
(g), covering contents, waiver of objections on appeal, reply brief,
other briefs, number of copies, and oral argument. Appeals may be
dismissed by the Board on its own initiative or on motion of the other
party, in cases where a party who has filed a notice of appeal fails to
perfect his appeal by filing a timely brief. When a request for oral
argument is granted, the Board will give 3 days' notice of such oral
argument.
(c) Issues on appeal. The provisions of 821.49 shall apply to
issues on appeal. However, the Board may on its own initiative raise
any issue, the resolution of which it deems important to a proper
disposition of the proceeding. In such case, not more than 2 days shall
be afforded to the parties to submit argument thereon.
(d) Petitions for reconsideration, rehearing, reargument, or
modification of order. The only petitions for reconsideration,
rehearing, reargument, or modification of an order which the Board will
entertain are petitions based on the ground that new matter has been
discovered. Such petitions must set forth the following:
(1) The new matter;
(2) Affidavits of prospective witnesses, authenticated documents, or
both, or an explanation of why such substantiation is unavailable; and
(3) A statement that such new matter could not have been discovered
by the exercise of due diligence prior to the date the case was
submitted to the Board.
(40 FR 30243, July 17, 1975, as amended at 49 FR 28250, July 11,
1984)
49 CFR 821.57 Subpart J -- Ex Parte Communications
Authority: Sec. 4, Government in the Sunshine Act, Pub. L. 94-409,
amending 5 U.S.C. 556(d) and 5 U.S.C. 557; Title VI, Federal Aviation
Act of 1958, as amended, 49 U.S.C. 1421 et seq.; Independent Safety
Board Act of 1974, Pub. L. 93-633, 88 Stat. 2166 (49 U.S.C. 1901 et
seq.).
Source: 42 FR 21613, Apr. 28, 1977, unless otherwise noted.
49 CFR 821.60Definitions.
As used in this subpart:
Board decisional employee means a Board Member, administrative law
judge, or other employee who is or who may reasonably be expected to be
involved in the decisional process of the proceeding;
Ex parte communication means an oral or written communication not on
the public record with respect to which reasonable prior notice to all
parties is not given, but it shall not include requests for status
reports on any matter or proceeding covered by this part.
49 CFR 821.61Prohibited ex parte communications.
(a) The prohibitions of this section shall apply from the time a
proceeding is noticed for hearing unless the person responsible for the
communication has knowledge that it will be noticed, in which case the
prohibitions shall apply at the time of the acquisition of such
knowledge.
(b) Except to the extent required for the disposition of ex parte
matters as authorized by law:
(1) No interested person outside the Board shall make or knowingly
cause to be made to any Board employee an ex parte communication
relevant to the merits of the proceeding;
(2) No Board employee shall make or knowingly cause to be made to any
interested person outside the Board an ex parte communication relevant
to the merits of the proceeding.
Ex parte communications regarding solely matters of board procedure
or practice are not prohibited by this section.
49 CFR 821.62Procedures for handling ex parte communication.
A Board employee who receives or who makes or knowingly causes to be
made a communication prohibited by 821.61 shall place on the public
record of the proceeding:
(a) All such written communications;
(b) Memoranda stating the substance of all such oral communications;
and
(c) All written responses, and memoranda stating the substance of all
oral responses, to the materials described in paragraphs (a) and (b) of
this section.
49 CFR 821.63Requirement to show cause and imposition of sanction.
(a) Upon receipt of a communication knowingly made or knowingly
caused to be made by a party in violation of 821.61, the Board,
administrative law judge, or other employee presiding at the hearing
may, to the extent consistent with the interests of justice and the
policy of the underlying statutes, require the party to show cause why
his or her claim or interest in the proceeding should not be dismissed,
denied, disregarded, or otherwise adversely affected on account of such
violation.
(b) The Board may, to the extent consistent with the interests of
justice and the policy of the underlying statutes administered by the
Board, consider a violation of this subpart sufficient grounds for a
decision adverse to a party who has knowingly committed such violation
or knowingly caused such violation to occur.
49 CFR 821.63 Subpart K -- Judicial Review of Board Orders
49 CFR 821.64Judicial review.
Judicial review of a final order of the Board may be sought as
provided in section 1006 of the Act (49 U.S.C. 1486) and section 304(d)
of the Independent Safety Board Act of 1974 (49 U.S.C. 1903(d)) by the
filing of a petition for review within 60 days of the date of entry of
the Board Order. The date of entry of the Board Order is the date on
which the order is served.
(49 FR 28251, July 11, 1984)
49 CFR 821.64 PART 825 -- RULES OF PROCEDURE FOR MERCHANT MARINE
APPEALS FROM DECISIONS OF THE COMMANDANT, U.S. COAST GUARD
Sec.
825.1 Applicability.
825.5 Notice of appeal.
825.10 Referral of record.
825.15 Issues on appeal.
825.20 Briefs in support of appeal.
825.25 Oral argument.
825.30 Action by the Board.
825.35 Action after remand.
825.40 Ex parte communications.
Authority: Sec. 304(a)(9)(B), Independent Safety Board Act of 1974,
Pub. L. 93-633, 88 Stat. 2169 (49 U.S.C. 1903(a)(9)(B)).
Source: 40 FR 30248, July 17, 1975, unless otherwise noted.
49 CFR 825.1Applicability.
The provisions of this part govern all proceedings before the
National Transportation Safety Board (Board) on appeals taken from
decisions, on or after April 1, 1975, of the Commandant, U.S. Coast
Guard, sustaining orders of an administrative law judge, revoking,
suspending, or denying a license, certificate, document, or register in
proceedings under:
(a) R.S. 4450, as amended (46 U.S.C. 239);
(b) Act of July 15, 1954 (46 U.S.C. 239a-b); or
(c) Section 4, Great Lakes Pilotage Act (46 U.S.C. 216(b)).
49 CFR 825.5Notice of appeal.
(a) A party may appeal from the Commandant's decision sustaining an
order of revocation, suspension, or denial of a license, certificate,
document, or register in proceedings described in 825.1, by filing a
notice of appeal with the Board within 10 days after service of the
Commandant's decision upon the party or his designated attorney. Upon
good cause shown, the time for filing may be extended.
(b) Notice of appeal shall be addressed to the Docket Clerk, National
Transportation Safety Board, Washington, DC 20594. At the same time, a
copy shall be served on the Commandant (GL), U.S. Coast Guard,
Washington, DC 20590.
(c) The notice of appeal shall state the name of the party, the
number of the Commandant's decision, and, in brief, the grounds for the
appeal.
49 CFR 825.10Referral of record.
Upon receipt of a notice of appeal, the Commandant shall immediately
transmit to the Board the complete record of the hearing upon which his
decision was based. This includes the charges, the transcript of
testimony, and hearing proceedings (including exhibits), briefs filed by
the party, the decision of the administrative law judge, and the
Commandant's decision on appeal. It does not include intra-agency staff
memoranda provided as advice to the Commandant to aid in his decision.
49 CFR 825.15Issues on appeal.
The only issues that may be considered on appeal are:
(a) A finding of a material fact is erroneous;
(b) A necessary legal conclusion is without governing precedent or is
a departure from or contrary to law or precedent;
(c) A substantial and important question of law, policy, or
discretion is involved; or
(d) A prejudicial procedural error has occurred.
49 CFR 825.20Briefs in support of appeal.
(a) Within 20 days after the filing of a notice of appeal, the
appellant must file, in the same manner as prescribed for the notice in
825.5, a brief in support of the appeal.
(b) This document shall set forth:
(1) The name and address of the appellant;
(2) The number and a description of the license, certificate,
document, or register involved;
(3) A summary of the charges affirmed by the Commandant as proved;
(4) Fact findings by the Commandant disputed by the appellant;
(5) Specific statements of errors of laws asserted;
(6) Specific statements of any abuse of discretion asserted; and
(7) The relief requested.
(c) Objection based upon evidence of record need not be considered
unless the appeal contains specific record citation to the pertinent
evidence.
(d) When a brief has been filed by appellant under this section, the
Coast Guard may, within 15 days of service of the brief on the
Commandant, submit to the Board a reply brief.
(e) If a party who has filed a notice of appeal does not perfect the
appeal by the timely filing of an appeal brief, the Board may dismiss
the appeal on its own initiative or on motion of the Coast Guard.
49 CFR 825.25Oral argument.
(a) If any party desires to argue a case orally before the Board, he
should request leave to make such argument in his brief filed pursuant
to 825.20.
(b) Oral argument before the Board will normally not be granted
unless the Board finds good cause for such argument. If granted, the
parties will be advised of the date.
49 CFR 825.30Action by the Board.
(a) On review by the Board, if no reversible error is found in the
Commandant's decision on appeal, that decision will be affirmed.
(b) On review by the Board, if reversible error is found in the
Commandant's decision on appeal, the Board may:
(1) Set aside the entire decision and dismiss the charges if it finds
the error incurable; or
(2) Set aside the order, or conclusions, or findings of the
Commandant and remand the case to him for further consideration if it
finds the error curable.
(c) When a matter has been remanded to the Commandant under paragraph
(b) of this section, the Commandant may act in accordance with the terms
of the order of remand, or he may, as appropriate, further remand the
matter to the administrative law judge of the Coast Guard who heard the
case, or to another administrative law judge of the Coast Guard, with
appropriate directions.
49 CFR 825.35Action after remand.
When a case has been remanded under 825.30, a party shall retain all
rights of review under 46 CFR Part 5 and this part, as applicable.
49 CFR 825.40Ex parte communications.
(a) As used in this section:
Board decisional employee means a Board Member or employee who is or
who may reasonably be expected to be involved in the decisional process
of the proceeding;
Ex parte communication means an oral or written communication not on
the public record with respect to which reasonable prior notice to all
parties is not given, but it shall not include requests for status
reports on any matter or proceeding covered by this part.
(b) The prohibition of paragraph (c) of this section shall apply from
the time a proceeding is noticed for hearing unless the person
responsible for the communication has knowledge that it will be noticed,
in which case the prohibition shall apply at the time of the acquisition
of such knowledge.
(c) Except to the extent required for the disposition of ex parte
matters as authorized by law:
(1) No interested person outside the Board shall make or knowingly
cause to be made to any Board employee an ex parte communication
relevant to the merits of the proceeding;
(2) No Board employee shall make or knowingly cause to be made to any
interested person outside the Board an ex parte communication relevant
to the merits of the proceeding.
Ex parte communications regarding solely matters of Board procedure
or practice are not prohibited by this paragraph.
(d) A Board employee who receives or who makes or knowingly causes to
be made a communication prohibited by paragraph (c) of this section,
shall place on the public record of the proceeding:
(1) All such written communications;
(2) Memoranda stating the substance of all such oral communication;
and
(3) All written responses, and memoranda stating the substance of all
oral responses, to materials described in paragraphs (d) (1) and (2) of
this section.
(e) Upon receipt of a communication knowingly made or caused to be
made in violation of paragraph (c) of this section, the Board may, to
the extent consistent with the interests of justice and the policy of
the underlying statutes, require the party to show cause why his or her
interest in the proceeding should not be dismissed, denied, disregarded,
or otherwise adversely affected on account of such violation.
(f) The Board may, to the extent consistent with the interests of
justice and the policy of the underlying statutes administered by the
Board, consider a violation of this section sufficient grounds for a
decision adverse to a party who has knowingly committed such violation
or knowingly caused such violation to occur.
(Sec. 4, Government in the Sunshine Act, Pub. L. 94-409, amending 5
U.S.C. 556 (d) and 5 U.S.C. 557; Independent Safety Board Act of 1974,
Pub. L. 93-633, 88 Stat. 2166 (49 U.S.C. 1901 et seq.))
(42 FR 21614, Apr. 28, 1977)
49 CFR 825.40 PART 826 -- RULES IMPLEMENTING THE EQUAL ACCESS TO JUSTICE ACT OF 1980
49 CFR 825.40 Subpart A -- General Provisions
Sec.
826.1 Purpose of these rules.
826.2 When the Act applies.
826.3 Proceedings covered.
826.4 Eligibility of applicants.
826.5 Standards for awards.
826.6 Allowable fees and expenses.
826.7 Rulemaking on maximum rates for attorney fees.
826.8 Awards against the Federal Aviation Administration.
49 CFR 825.40 Subpart B -- Information Required From Applicants
826.21 Contents of application.
826.22 Net worth exhibit.
826.23 Documentation of fees and expenses.
826.24 When an application may be filed.
49 CFR 825.40 Subpart C -- Procedures for Considering Applications
826.31 Filing and service of documents.
826.32 Answer to application.
826.33 Reply.
826.34 Comments by other parties.
826.35 Settlement.
826.36 Further proceedings.
826.37 Decision.
826.38 Board review.
826.39 Judicial review.
826.40 Payment of award.
Authority: Section 203(a)(1) Pub. L. 99-80, 99 Stat. 186 (5 U.S.C.
504)
Source: 46 FR 48209, Oct. 1, 1981, unless otherwise noted.
49 CFR 825.40 Subpart A -- General Provisions
49 CFR 826.1Purpose of these rules.
The Equal Access to Justice Act, 5 U.S.C. 504 (the Act), provides for
the award of attorney fees and other expenses to eligible individuals
and entities who are parties to certain administrative proceedings
(adversary adjudications) before the National Transportation Safety
Board (Board). An eligible party may receive an award when it prevails
over the Federal Aviation Administration (FAA), unless the Government
agency's position in the proceeding was substantially justified or
special circumstances make an award unjust. The rules in this part
describe the parties eligible for awards and the proceedings that are
covered. They also explain how to apply for awards, and the procedures
and standards that this Board will use to make them. As used
hereinafter, the term ''agency'' applies to the FAA.
49 CFR 826.2When the Act applies.
The Act applies to any adversary adjudication identified in 826.3 as
covered under the Act that is pending before the Board at any time
between October 1, 1981, and September 30, 1984. This includes
proceedings begun before October 1, 1981, if final Board action has not
been taken before that date, and proceedings pending on September 30,
1984, regardless of when they were initiated or when final Board action
occurs.
49 CFR 826.3Proceedings covered.
(a) The Act applies to certain adversary adjudications conducted by
the Board. These are adjudications under 5 U.S.C. 554 in which the
position of the FAA is presented by an attorney or other representative
who enters an appearance and participates in the proceeding.
Proceedings to grant or renew certificates or documents, hereinafter
referred to as ''licenses,'' are excluded, but proceedings to modify,
suspend, or revoke licenses are covered if they are otherwise
''adversary adjudications.'' For the Board, the type of proceeding
covered includes aviation enforcement cases appealed to the Board under
section 609 of the Federal Aviation Act (49 U.S.C. 1429).
(b) The Board may also designate a proceeding not listed in paragraph
(a) as an adversary adjudication for purposes of the Act by so stating
in an order initiating the proceeding or designating the matter for
hearing. The Board's failure to designate a proceeding as an adversary
adjudication shall not preclude the filing of an application by a party
who believes the proceeding is covered by the Act; whether the
procedure is covered will then be an issue for resolution in proceedings
on the application.
(c) If a proceeding includes both matters covered by the Act and
matters specifically excluded from coverage, any award made will include
only fees and expenses related to covered issues.
49 CFR 826.4Eligibility of applicants.
(a) To be eligible for an award of attorney fees and other expenses
under the Act, the applicant must be a party to the adversary
adjudication for which it seeks an award. The term ''party'' is defined
in 5 U.S.C. 551(3). The applicant must show that it meets all conditions
of eligibility set out in this subpart and in subpart B.
(b) The types of eligible applicants are as follows:
(1) An individual with a net worth of not more than $2 million;
(2) The sole owner of an unincorporated business who has a net worth
of not more than $7 million, including both personal and business
interests, and not more than 500 employees;
(3) A charitable or other tax-exempt organization described in
section 501(c)(3) of the Internal Revenue Code (26 U.S.C. 501(c)(3))
with not more than 500 employees;
(4) A cooperative association as defined in section 15(a) of the
Agricultural Marketing Act (12 U.S.C. 1141j(a)) with not more than 500
employees; and
(5) Any other partnership, corporation, association, or public or
private organization with a net worth of not more than $7 million and
not more than 500 employees.
(c) For the purpose of eligibility, the net worth and number of
employees of an applicant shall be determined as of the date the
proceeding was initiated.
(d) An applicant who owns an unincorporated business will be
considered an ''individual'' rather than a ''sole owner of an
unincorporated business'' if the issues on which the applicant prevails
are related primarily to personal interests rather than to business
interests.
(e) The employees of an applicant include all persons who regularly
perform services for remuneration for the applicant, under the
applicant's direction and control. Part-time employees shall be
included on a proportional basis.
(f) The net worth and number of employees of the applicant and all of
its affiliates shall be aggregated to determine eligibility. Any
individual, corporation, or other entity that directly or indirectly
controls or owns a majority of the voting shares or other interest of
the applicant, or any corporation or other entity of which the applicant
directly or indirectly owns or controls a majority of the voting shares
or other interest, will be considered an affiliate for purposes of this
part, unless the administrative law judge determines that such treatment
would be unjust and contrary to the purposes of the Act in light of the
actual relationship between the affiliated entities. In addition, the
administrative law judge may determine that financial relationships of
the applicant other than those described in this paragraph constitute
special circumstances that would make an award unjust.
(g) An applicant that participates in a proceeding primarily on
behalf of one or more other persons or entities that would be ineligible
is not itself eligible for an award.
(46 FR 48209, Oct. 1, 1981, as amended at 54 FR 10332, Mar. 13, 1989)
49 CFR 826.5Standards for awards.
(a) A prevailing applicant may receive an award for fees and expenses
incurred in connection with a proceeding, or in a significant and
discrete substantive portion of the proceeding, unless the position of
the agency over which the applicant has prevailed was substantially
justified. The burden of proof that an award should not be made to an
eligible prevailing applicant is on the agency counsel, who may avoid an
award by showing that the agency's position was reasonable in law and
fact.
(b) An award will be reduced or denied if the applicant has unduly or
unreasonably protracted the proceeding or if special circumstances make
the award sought unjust.
49 CFR 826.6Allowable fees and expenses.
(a) Awards will be based on rates customarily charged by persons
engaged in the business of acting as attorneys, agents, and expert
witnesses, even if the services were made available without charge or at
a reduced rate to the applicant.
(b) No award for the fee of an attorney or agent under these rules
may exceed $75 per hour. No award to compensate an expert witness may
exceed the highest rate at which the agency pays expert witnesses.
However, an award may also include the reasonable expenses of the
attorney, agent, or witness as a separate item, if the attorney, agent,
or witness ordinarily charges clients separately for such expenses.
(c) In determining the reasonableness of the fee sought for an
attorney, agent, or expert witness, the administrative law judge shall
consider the following:
(1) If the attorney, agent, or witness is in private practice, his or
her customary fee for similar services, or if an employee of the
applicant, the fully allocated cost of the services;
(2) The prevailing rate for similar services in the community in
which the attorney, agent, or witness ordinarily performs services;
(3) The time actually spent in the representation of the applicant;
(4) The time reasonably spent in light of the difficulty or
complexity of the issues in the proceeding; and
(5) Such other factors as may bear on the value of the services
provided.
(d) The reasonable cost of any study, analysis, engineering report,
test, project, or similar matter prepared on behalf of a party may be
awarded, to the extent that the charge for the service does not exceed
the prevailing rate for similar services, and the study or other matter
was necessary for preparation of the applicant's case.
49 CFR 826.7Rulemaking on maximum rates for attorney fees.
(a) If warranted by an increase in the cost of living or by special
circumstances (such as limited availability of attorneys qualified to
handle certain types of proceedings), the Board may adopt regulations
providing that attorney fees may be awarded at a rate higher than $75
per hour in some or all of the types of proceedings covered by this
part. The Board will conduct any rulemaking proceedings for this
purpose under the informal rulemaking procedures of the Administrative
Procedure Act.
(b) Any person may file with the Board a petition for rulemaking to
increase the maximum rate for attorney fees. The petition should
identify the rate the petitioner believes the Board should establish and
the types of proceedings in which the rate should be used. It should
also explain fully the reasons why the higher rate is warranted. The
Board will respond to the petition within 60 days after it is filed, by
initiating a rulemaking proceeding, denying the petition, or taking
other appropriate action.
49 CFR 826.8Awards against the Federal Aviation Administration.
When an applicant is entitled to an award because it prevails over an
agency of the United States that participates in a proceeding before the
Board and takes a position that is not substantially justified, the
award shall be made against that agency.
49 CFR 826.8 Subpart B -- Information Required From Applicants
49 CFR 826.21Contents of application.
(a) An application for an award of fees and expenses under the Act
shall identify the applicant and the proceeding for which an award is
sought. The application shall show that the applicant has prevailed and
identify the position of the agency in the proceeding that the applicant
alleges was not substantially justified. Unless the applicant is an
individual, the application shall also state the number of employees of
the applicant and describe briefly the type and purpose of its
organization or business.
(b) The application shall also include a statement that the
applicant's net worth does not exceed $1 million (if an individual) or
$5 million (for all other applicants, including their affiliates).
However, an applicant may omit this statement if:
(1) It attaches a copy of a ruling by the Internal Revenue Service
that it qualifies as an organization described in section 501(c)(3) of
the Internal Revenue Code (26 U.S.C. 501(c)(3)), or in the case of a
tax-exempt organization not required to obtain a ruling from the
Internal Revenue Service on its exempt status, a statement that
describes the basis for the applicant's belief that it qualifies under
such section; or
(2) It states that it is a cooperative association as defined in
section 15(a) of the Agricultural Marketing Act (12 U.S.C. 1141j(a)).
(c) The application shall state the amount of fees and expenses for
which an award is sought.
(d) The application may also include any other matters that the
applicant wishes this agency to consider in determining whether and in
what amount an award should be made.
(e) The application shall be signed by the applicant or an authorized
officer or attorney for the applicant. It shall also contain or be
accompanied by a written verification under oath or under penalty of
perjury that the information provided in the application is true and
correct.
49 CFR 826.22Net worth exhibit.
(a) Each applicant except a qualified tax-exempt organization or
cooperative association must provide with its application a detailed
exhibit showing the net worth of the applicant and any affiliates (as
defined in 826.4(f) of this part) when the proceeding was initiated.
The exhibit may be in any form convenient to the applicant that provides
full disclosure of the applicant's and its affiliates' assets and
liabilities and is sufficient to determine whether the applicant
qualifies under the standards in this part. The administrative law
judge may require an applicant to file additional information to
determine the eligibility for an award.
(b) Ordinarily, the net worth exhibit will be included in the public
record of the proceeding. However, an applicant that objects to public
disclosure of information in any portion of the exhibit and believes
there are legal grounds for withholding it from disclosure may submit
that portion of the exhibit directly to the administrative law judge in
a sealed envelope labeled ''Confidential Financial Information,''
accompanied by a motion to withhold the information from public
disclosure. The motion shall describe the information sought to be
withheld and explain, in detail, why it falls within one or more of the
specific exemptions from mandatory disclosure under the Freedom of
Information Act, 5 U.S.C. 552(b) (1) through (9), why public disclosure
of the information would adversely affect the applicant, and why
disclosure is not required in the public interest. The material in
question shall be served on counsel representing the agency against
which the applicant seeks an award, but need not be served on any other
party to the proceeding. If the administrative law judge finds that the
information should not be withheld from disclosure, it shall be placed
in the public record of the proceeding. Otherwise, any request to
inspect or copy the exhibit shall be disposed of in accordance with the
Board's established procedures under the Freedom of Information Act as
inplemented by Part 801 of the Board's rules.
49 CFR 826.23Documentation of fees and expenses.
The application shall be accompanied by full documentation of the
fees and expenses, including the cost of any study, analysis,
engineering report, test, project or similar matter, for which an award
is sought. A separate itemized statement shall be submitted for each
professional firm or individual whose services are covered by the
application, showing the hours spend in connection with the proceeding
by each individual, a description of the specific services performed,
the rate at which each fee has been computed, any expenses for which
reimbursement is sought, the total amount claimed, and the total amount
paid or payable by the applicant or by any other person or entity for
the services provided. The administrative law judge may require the
applicant to provide vouchers, receipts, or other substantiation for any
expenses claimed.
49 CFR 826.24When an application may be filed.
(a) An application may be filed whenever the applicant has prevailed
in the proceeding, but in no case later than 30 days after the Board's
final disposition of the proceeding.
(b) If review or reconsideration is sought or taken of a decision to
which an applicant believes it has prevailed, proceedings for the award
of fees shall be stayed pending final disposition of the underlying
controversy.
(c) For purposes of this rule, final disposition means the later of
(1) the date on which an unappealed initial decision by an
administrative law judge becomes administratively final; (2) issuance
of an order disposing of any petitions for reconsideration of the
Board's final order in the proceeding; (3) if no petition for
reconsideration is filed, the last date on which such a petition could
have been filed; or (4) issuance of a final order or any other final
resolution of a proceeding, such as a settlement or voluntary dismissal,
which is not subject to a petition for reconsideration.
49 CFR 826.24 Subpart C -- Procedures for Considering Applications
49 CFR 826.31Filing and service of documents.
Any application for an award or other pleading or document related to
an application shall be filed and served on all parties to the
proceeding in the same manner as other pleadings in the proceeding,
except as provided in 826.22(b) for confidential financial information.
49 CFR 826.32Answer to application.
(a) Within 30 days after service of an application, counsel
representing the agency against which an award is sought may file an
answer to the application. Unless agency counsel requests an extension
of time for filing or files a statement of intent to negotiate under
paragraph (b) of this section, failure to file an answer within the
30-day period may be treated as a consent to the award requested.
(b) If agency counsel and the applicant believe that the issues in
the fee application can be settled, they may jointly file a statement of
their intent to negotiate a settlement. The filing of this statement
shall extend the time for filing an answer for an additional 30 days,
and further extensions may be granted by the administrative law judge
upon request by agency counsel and the applicant.
(c) The answer shall explain in detail any objections to the award
requested and identify the facts relied on in support of agency
counsel's position. If the answer is based on any alleged facts not
already in the record of the proceeding, agency counsel shall include
with the answer either supporting affidavits or a request for further
proceedings under 826.36.
49 CFR 826.33Reply.
Within 15 days after service of an answer, the applicant may file a
reply. If the reply is based on any alleged facts not already in the
record of the proceeding, the applicant shall include with the reply
either supporting affidavits or a request for further proceedings under
826.36.
49 CFR 826.34Comments by other parties.
Any party to a proceeding other than the applicant and agency counsel
may file comments on an application within 30 days after it is served or
on an answer within 15 days after it is served. A commenting party may
not participate further in proceedings on the application unless the
administrative law judge determines that the public interest requires
such participation in order to permit full exploration of matters raised
in the comments.
49 CFR 826.35Settlement.
The applicant and agency counsel may agree on a proposed settlement
of the award before final action on the application, either in
connection with a settlement of the underlying proceeding, or after the
underlying proceeding has been concluded. If a prevailing party and
agency counsel agree on a proposed settlement of an award before an
application has been filed, the application shall be filed with the
proposed settlement.
49 CFR 826.36Further proceedings.
(a) Ordinarily the determination of an award will be made on the
basis of the written record; however, on request of either the
applicant or agency counsel, or on his or her own initiative, the
administrative law judge assigned to the matter may order further
proceedings, such as an informal conference, oral argument, additional
written submissions, or an evidentiary hearing. Such further
proceedings shall be held only when necessary for full and fair
resolution of the issues arising from the application and shall be
conducted as promptly as possible.
(b) A request that the administrative law judge order further
proceedings under this section shall specifically identify the
information sought or the disputed issues and shall explain why the
additional proceedings are necessary to resolve the issues.
49 CFR 826.37Decision.
The administrative law judge shall issue an initial decision on the
application within 60 days after completion of proceedings on the
application. The decision shall include written findings and
conclusions on the applicant's eligibility and status as a prevailing
party and an explanation of the reasons for any difference between the
amount requested and the amount awarded. The decision shall also
include, if at issue, findings on whether the agency's position was
substantially justified, whether the applicant unduly protracted the
proceedings, or whether special circumstances make an award unjust.
49 CFR 826.38Board review.
Either the applicant or agency counsel may seek review of the initial
decision on the fee application, or the Board may decide to review the
decision on its own initiative, in accordance with Subpart H of Part 821
for FAA safety enforcement matters appealed under section 609 of the
Federal Aviation Act. If neither the applicant nor agency counsel seeks
review and the Board does not take review on its own initiative, the
initial decision on the application shall become a final decision of the
Board 30 days after it is issued. Whether to review a decision is a
matter within the discretion of the Board. If review is taken, the
Board will issue a final decision on the application or remand the
application to the administrative law judge who issued the initial fee
award determination for further proceedings.
49 CFR 826.39Judicial review.
Judicial review of final Board decisions on awards may be sought as
provided in 5 U.S.C. 504(c)(2).
49 CFR 826.40Payment of award.
An applicant seeking payment of an award shall submit to the
disbursing official of the FAA a copy of the Board's final decision
granting the award, accompanied by a statement that the applicant will
not seek review of the decision in the United States courts.
Applications for award grants in cases involving the FAA shall be sent
to: The Office of Accounting and Audit, AAA-1, Federal Aviation
Administration, 800 Independence Avenue, SW., Washington, DC 20591. The
agency will pay the amount awarded to the applicant within 60 days,
unless judicial review of the award or of the underlying decision of the
adversary adjudication has been sought by the applicant or any other
party to the proceeding.
49 CFR 826.40 PART 830 -- NOTIFICATION AND REPORTING OF AIRCRAFT ACCIDENTS OR INCIDENTS AND OVERDUE AIRCRAFT, AND PRESERVATION OF AIRCRAFT WRECKAGE, MAIL, CARGO, AND RECORDS
49 CFR 826.40 Subpart A -- General
Sec.
830.1 Applicability.
830.2 Definitions.
49 CFR 826.40 Subpart B -- Initial Notification of Aircraft Accidents,
Incidents, and Overdue Aircraft
830.5 Immediate notification.
830.6 Information to be given in notification.
49 CFR 826.40 Subpart C -- Preservation of Aircraft Wreckage, Mail,
Cargo, and Records
830.10 Preservation of aircraft wreckage, mail, cargo, and records.
49 CFR 826.40 Subpart D -- Reporting of Aircraft Accidents, Incidents,
and Overdue Aircraft
830.15 Reports and statement to be filed.
49 CFR 826.40 Subpart E -- Reporting of Public Aircraft Accidents and
Incidents
830.20 Reports to be filed.
Authority: 49 U.S.C. 1441 and 1901 et seq.
Source: 53 FR 36982, Sept. 23, 1988, unless otherwise noted.
49 CFR 826.40 Subpart A -- General
49 CFR 830.1Applicability.
This part contains rules pertaining to:
(a) Notification and reporting aircraft accidents and incidents and
certain other occurrences in the operation of aircraft when they involve
civil aircraft of the United States wherever they occur, or foreign
civil aircraft when such events occur in the United States, its
territories or possessions.
(b) Reporting aircraft accidents and listed incidents in the
operation of aircraft when they involve certain public aircraft.
(c) Preservation of aircraft wreckage, mail, cargo, and records
involving all civil aircraft in the United States, its territories or
possessions.
49 CFR 830.2Definitions.
As used in this part the following words or phrases are defined as
follows:
Aircraft accident means an occurrence associated with the operation
of an aircraft which takes place between the time any person boards the
aircraft with the intention of flight and all such persons have
disembarked, and in which any person suffers death or serious injury, or
in which the aircraft receives substantial damage.
Civil aircraft means any aircraft other than a public aircraft.
Fatal injury means any injury which results in death within 30 days
of the accident.
Incident means an occurrence other than an accident, associated with
the operation of an aircraft, which affects or could affect the safety
of operations.
Operator means any person who causes or authorizes the operation of
an aircraft, such as the owner, lessee, or bailee of an aircraft.
Public aircraft means an aircraft used exclusively in the service of
any government or of any political subdivision thereof, including the
government of any State, Territory, or possession of the United States,
or the District of Columbia, but not including any government-owned
aircraft engaged in carrying persons or property for commercial
purposes. For purposes of this section ''used exclusively in the
service of'' means, for other than the Federal Government, an aircraft
which is owned and operated by a governmental entity for other than
commercial purposes or which is exclusively leased by such governmental
entity for not less than 90 continuous days.
Serious injury means any injury which: (1) Requires hospitalization
for more than 48 hours, commencing within 7 days from the date of the
injury was received; (2) results in a fracture of any bone (except
simple fractures of fingers, toes, or nose); (3) causes severe
hemorrhages, nerve, muscle, or tendon damage; (4) involves any internal
organ; or (5) involves second- or third-degree burns, or any burns
affecting more than 5 percent of the body surface.
Substantial damage means damage or failure which adversely affects
the structural strength, performance, or flight characteristics of the
aircraft, and which would normally require major repair or replacement
of the affected component. Engine failure or damage limited to an
engine if only one engine fails or is damaged, bent fairings or cowling,
dented skin, small punctured holes in the skin or fabric, ground damage
to rotor or propeller blades, and damage to landing gear, wheels, tires,
flaps, engine accessories, brakes, or wingtips are not considered
''substantial damage'' for the purpose of this part.
49 CFR 830.2 Subpart B -- Initial Notification of Aircraft Accidents, Incidents, and Overdue Aircraft
49 CFR 830.5Immediate notification.
The operator of an aircraft shall immediately, and by the most
expeditious means available, notify the nearest National Transportation
Safety Board (Board), field office /1/ when:
(a) An aircraft accident or any of the following listed incidents
occur:
(1) Flight control system malfunction or failure;
(2) Inability of any required flight crewmember to perform normal
flight duties as a result of injury or illness;
(3) Failure of structural components of a turbine engine excluding
compressor and turbine blades and vanes;
(4) In-flight fire; or
(5) Aircraft collide in flight.
(6) Damage to property, other than the aircraft, estimated to exceed
$25,000 for repair (including materials and labor) or fair market value
in the event of total loss, whichever is less.
(7) For large multiengine aircraft (more than 12,500 pounds maximum
certificated takeoff weight):
(i) In-flight failure of electrical systems which requires the
sustained use of an emergency bus powered by a back-up source such as a
battery, auxiliary power unit, or air-driven generator to retain flight
control or essential instruments;
(ii) In-flight failure of hydraulic systems that results in sustained
reliance on the sole remaining hydraulic or mechanical system for
movement of flight control surfaces;
(iii) Sustained loss of the power or thrust produced by two or more
engines; and
(iv) An evacuation of an aircraft in which an emergency egress system
is utilized.
(b) An aircraft is overdue and is believed to have been involved in
an accident.
/1/ The National Transportation Safety Board field offices are listed
under U.S. Government in the telephone directories in the following
cities: Anchorage, Alaska; Atlanta, Ga.; Chicago, Ill.; Denver, Colo.;
Fort Worth, Tex.; Kansas City, Mo.; Los Angeles, Calif.; Miami, Fla.;
New York, N.Y.; Seattle, Wash.
49 CFR 830.6Information to be given in notification.
The notification required in 830.5 shall contain the following
information, if available:
(a) Type, nationality, and registration marks of the aircraft;
(b) Name of owner, and operator of the aircraft;
(c) Name of the pilot-in-command;
(d) Date and time of the accident;
(e) Last point of departure and point of intended landing of the
aircraft;
(f) Position of the aircraft with reference to some easily defined
geographical point;
(g) Number of persons aboard, number killed, and number seriously
injured;
(h) Nature of the accident, the weather and the extent of damage to
the aircraft, so far as is known; and
(i) A description of any explosives, radioactive materials, or other
dangerous articles carried.
49 CFR 830.6 Subpart C -- Preservation of Aircraft Wreckage, Mail, Cargo, and Records
49 CFR 830.10Preservation of aircraft wreckage, mail, cargo, and
records.
(a) The operator of an aircraft involved in an accident or incident
for which notification must be given is responsible for preserving to
the extent possible any aircraft wreckage, cargo, and mail aboard the
aircraft, and all records, including all recording mediums of flight,
maintenance, and voice recorders, pertaining to the operation and
maintenance of the aircraft and to the airmen until the Board takes
custody thereof or a release is granted pursuant to 831.12(b) of this
chapter.
(b) Prior to the time the Board or its authorized representative
takes custody of aircraft wreckage, mail, or cargo, such wreckage, mail,
or cargo may not be disturbed or moved except to the extent necessary:
(1) To remove persons injured or trapped;
(2) To protect the wreckage from further damage; or
(3) To protect the public from injury.
(c) Where it is necessary to move aircraft wreckage, mail or cargo,
sketches, descriptive notes, and photographs shall be made, if possible,
of the original positions and condition of the wreckage and any
significant impact marks.
(d) The operator of an aircraft involved in an accident or incident
shall retain all records, reports, internal documents, and memoranda
dealing with the accident or incident, until authorized by the Board to
the contrary.
49 CFR 830.10 Subpart D -- Reporting of Aircraft Accidents, Incidents, and Overdue Aircraft
49 CFR 830.15Reports and statements to be filed.
(a) Reports. The operator of an aircraft shall file a report on
Board Form 6120.1 (OMB No. 3147-005) or Board Form 7120.2 (OMB No.
3147-0001) /2/ within 10 days after an accident, or after 7 days if an
overdue aircraft is still missing. A report on an incident for which
notification is required by 830.5(a) shall be filed only as requested
by an authorized representative of the Board.
(b) Crewmember statement. Each crewmember, if physically able at the
time the report is submitted, shall attach a statement setting forth the
facts, conditions, and circumstances relating to the accident or
incident as they appear to him. If the crewmember is incapacitated, he
shall submit the statement as soon as he is physically able.
(c) Where to file the reports. The operator of an aircraft shall
file any report with the field office of the Board nearest the accident
or incident.
/2/ Forms are obtainable from the Board field offices (see footnote
1), the National Transportation Safety Board, Washington, DC 20594, and
the Federal Aviation Administration, Flight Standards District Office.
49 CFR 830.15 Subpart E -- Reporting of Public Aircraft Accidents and Incidents
49 CFR 830.20Reports to be filed.
The operator of a public aircraft other than an aircraft of the Armed
Forces or Intelligence Agencies shall file a report on NTSB Form 6120.1
(OMB No. 3147-001) /3/ within 10 days after an accident or incident
listed in 830.5(a). The operator shall file the report with the field
office of the Board nearest the accident or incident. /4/
/3/ To obtain this form, see footnote 2.
/4/ The locations of the Board's field offices are set forth in
footnote 1.
49 CFR 830.20 PART 831 -- ACCIDENT/INCIDENT INVESTIGATION PROCEDURES
Sec.
831.1 Applicability of part.
831.2 Responsibility of Board.
831.3 Authority of Directors.
831.4 Nature of investigation.
831.5 Priority of Board investigations.
831.6 Request to withhold information.
831.7 Right of representation.
831.8 Investigator-in-charge.
831.9 Authority of Board representatives.
831.10 Autopsies.
831.11 Parties to the field investigation.
831.12 Access to and release of wreckage, records, mail, and cargo.
831.13 Flow and dissemination of accident information.
831.14 Proposed findings.
Authority: Title VII, Federal Aviation Act of 1958, as amended, 72
Stat. 781, as amended by 76 Stat. 921 (49 U.S.C. 1441 et seq.); and
the Independent Safety Board Act of 1974, Pub. L. 93-633, 88 Stat.
2166 et seq., as amended by 95 Stat. 1065 (49 U.S.C. 1901 et seq.).
Source: 53 FR 15847, May 4, 1988, unless otherwise noted.
49 CFR 831.1Applicability of part.
Unless otherwise specifically ordered by the National Transportation
Safety Board (Board), the provisions of this part shall govern all
accident or incident investigations, conducted under the authority of
title VII of the Federal Aviation Act of 1958, as amended, and the
Independent Safety Board Act of 1974. Rules applicable to accident
hearings and reports are set forth in Part 845.
49 CFR 831.2Responsibility of Board.
(a) Aviation. (1) The Board is responsible for the organization,
conduct and control of all accident investigations involving civil
aircraft, or civil and military aircraft, within the United States, its
territories and possessions. It is also responsible for investigation
of accidents which occur outside the United States, and which involve
U.S. civil aircraft or civil and military aircraft, at locations
determined to be not in the territory of another state (i.e., in
international waters).
(2) Certain aviation field investigations are conducted by the
Federal Aviation Administration (FAA), pursuant to a request to the
Secretary of the Department of Transportation, effective February 10,
1977 (see appendix to Part 800 of this chapter), /1/ but the Board
determines the probable cause of such accidents. Under no circumstances
shall investigations conducted by the Board be considered joint
investigations in the sense of sharing responsibility. However, in the
case of an accident or incident involving civil aircraft of U.S.
registry or manufacture in a foreign state which is a signator to Annex
13 to the Chicago Convention of the International Civil Aviation
Organization, the state of occurrence is responsible for the
investigation. If it occurs in a foreign state which is not bound by
the provisions of Annex 13 to the Chicago Convention, the conduct of the
investigation shall be in consonance with any agreement entered into
between the United States and the foreign state.
(b) Surface. The Board is responsible for the investigation of
railroad accidents in which there is a fatality, substantial property
damage, or which involve a passenger train (see Part 840 of this
chapter); major marine casualties and marine accidents involving a
public and nonpublic vessel or involving Coast Guard functions (See Part
850 of this chapter); highway accidents, including railroad
grade-crossing accidents, which it selects in cooperation with the
States; and pipeline accidents in which there is a fatality or
substantial property damage.
(c) Other accident. The Board is also responsible for the
investigation of an accident which occurs in connection wtih the
transportation of people or property which, in the judgment of the
Board, is catastrophic, involves problems of a recurring character, or
would otherwise carry out the policy of the Independent Safety Board Act
of 1974.
/1/ The authority of a representative of the Federal Aviation
Administration during such field investigations shall be the same as
that of a Board investigator under this part.
49 CFR 831.3Authority of Directors.
The Director, Bureau of Accident Investigation, or the Director,
Bureau of Field Operations, subject to the provisions of 831.2, may
order an investigation into any accident or incident.
49 CFR 831.4Nature of investigation.
Accident or incident investigations are conducted by the Board in
order to determine the facts, conditions, and circumstances relating to
each accident or incident and the probable cause thereof and to
ascertain measures which will best tend to prevent similar accidents or
incidents in the future. The investigation includes the field
investigation, report preparation, and, where ordered, the public
hearing. Accident investigations are factfinding proceedings with no
formal issues and no adverse parties and are not subject to the
provisions of the Administrative Procedure Act (Pub. L. 89-554, 80 Stat.
384 (5 U.S.C. 554 et seq.)). Such investigations are not conducted for
the purpose of determining the rights or liabilities of any person.
49 CFR 831.5Priority of Board investigations.
Any investigation of an accident (except marine) /2/ conducted by the
Safety Board shall have priority over all other investigations of such
accident conducted by other Federal agencies. The Safety Board shall
provide for the appropriate participation by other Federal agencies in
any such investigation, except that such agencies may not participate in
the Safety Board's determination of the probable cause of the accident.
Nothing in this section impairs the authority of other Federal agencies
to conduct investigations of an accident under applicable provisions of
law or to obtain information directly from parties involved in, and
witnesses to, the transportation accident. The Safety Board and other
Federal agencies shall assure that appropriate information obtained or
developed in the course of their investigations is exchanged in a timely
manner.
/2/ The joint regulations of the Board and Coast Guard for the
investigation of marine casualties are set forth in Part 850 of this
chapter.
49 CFR 831.6Request to withhold information.
Any person may make written objection to the public disclosure of
information contained in any report or document filed, or of information
obtained by the Board, stating the grounds for such objection. The
Board, on its own initiative or if such objection is made, may order
such information withheld from public disclosure when, in its judgment,
the information can be withheld under the provisions of an exemption to
the Freedom of Information Act (Pub. L. 93-502, amending 5 U.S.C. 552)
and its release is not found to be in the public interest (see Part
801).
49 CFR 831.7Right of representation.
Any person interrogated by an authorized representative of the Board
during the field investigation shall be accorded the right to be
accompanied, represented, or advised by counsel or by any other duly
qualified representative.
49 CFR 831.8Investigator-in-charge.
The designated investigator-in-charge organizes, conducts, and
controls the field phase of investigation. He shall assume
responsibility for the supervision and coordination of all resources and
of the activities of all personnel, both Board and non-Board, involved
in the onsite investigation.
49 CFR 831.9Authority of Board representatives.
(a) General. Any employee of the Board, upon presenting appropriate
credentials is authorized to enter any property wherein a transportation
accident has occurred or wreckage from any such accident is located and
do all things necessary for proper investigation. Upon demand of an
authorized representative of the Board and presentation of credentials
issued to such representative, any Government agency, or person having
possession or control of any transportation vehicle or component
thereof, any facility, equipment, process or controls, relevant to the
investigation, or any pertinent records and memoranda, including all
documents, papers, medical files, hospital records, and correspondence
now or hereafter existing and kept or required to be kept, shall
forthwith permit inspection, photographing, or copying thereof by such
authorized representative for the purpose of investigating an aircraft
accident/incident, other accident, overdue aircraft, study, or
investigation pertaining to safety or the prevention of accidents.
Authorized representatives of the Board may interrogate any person
having knowledge relevant to an aircraft accident/incident, other
accident overdue aircraft, study, or special investigation.
(b) Aviation. Any employee of the Board upon presenting appropriate
credentials is authorized to examine and test to the extent necessary
any civil aircraft, aircraft engine, propeller, appliance, or property
aboard an aircraft involved in an accident in air commerce.
(c) Surface. (1) Any employee of the Board, upon presenting
appropriate credentials, is authorized to test or examine any vehicle,
vessel, rolling stock, track, pipeline component, or any part of any
such item when such examination or testing is determined to be required
for purposes of such investigation.
(2) Any examination or testing shall be conducted in such a manner so
as not to interfere with or obstruct unnecessarily the transportation
services provided by the owner or operator of such vehicle, vessel,
rolling stock, track, or pipeline component, and shall be conducted in
such a manner so as to preserve, to the maximum extent feasible, any
evidence relating to the transportation accident, consistent with the
needs of the investigation and with the cooperation of such owner or
operator.
49 CFR 831.10Autopsies.
The Board is authorized to obtain, with or without reimbursement, a
copy of the report of autopsy performed by State or local officials on
any person who dies as a result of having been involved in a
transportation accident within the jurisdiction of the Board. The
investigator-in-charge, on behalf of the Board, may order an autopsy or
seek other tests of such persons as may be necessary to the
investigation, provided that to the extent consistent with the needs of
the accident investigation, provisions of local law protecting religious
beliefs with respect to autopsies shall be observed.
49 CFR 831.11Parties to fhe field investigation.
(a) The investigator-in-charge may, on behalf of the Director, Bureau
of Accident Investigation, or the Director, Bureau of Field Operations,
designate parties to participate in the field investigation. Parties to
the field investigation shall be limited to those persons, government
agencies, companies, and associations whose employees, functions,
activities, or products were involved in the accident or incident and
who can provide suitable qualified technical personnel to actively
assist in the field investigation.
(b) Participants in the field investigation shall be responsive to
the direction of the appropriate Board representative and may be
relieved from participation if they do not comply with their assigned
duties or if they conduct themselves in a manner prejudicial to the
investigation.
(c) No party to the field investigation designated under 831.9(a)
shall be represented by any person who also represents claimants or
insurers. Failure to comply with this provision shall result in loss of
status as a party.
(d) Section 701(g) of the Federal Aviation Act of 1985, as amended,
provides for the appropriate participation of the Administrator in Board
investigations, and section 304(a) of the Independent Safety Board Act
of 1974, as amended, provides for the appropriate participation of other
Federal agencies in Board investigations. Thus, components of the
Department of Transportation, and, when appropriate, other Federal
agencies, will normally be a party to field investigations and will have
the same rights and privileges and be subject to the same limitations as
other parties.
49 CFR 831.12Access to and release of wreckage, records, mail, and
cargo.
(a) Only the Board's accident investigation personnel and persons
authorized by the investigator-in-charge, the Director, Bureau of
Accident Investigation, or the Director, Bureau of Field Operations to
participate in any particular investigation, examination or testing
shall be permitted access to wreckage, records, mail, or cargo which is
in the Board's custody.
(b) Wreckage, records, mail, and cargo in the Board's custody shall
be released by an authorized representative of the Board when it is
determined that the Board has no further need of such wreckage, mail,
cargo, or records.
49 CFR 831.13Flow and dissemination of accident information.
(a) Release of information during the field investigation,
particularly at the accident scene, shall be limited to factual
developments, and shall be made only through the Board Member present at
the accident scene, the representative of the Board's Office of Public
Affairs, or the investigator-in-charge.
(b) All information concerning the accident or incident obtained by
any personnel participating in the field investigation shall be passed
to the investigator-in-charge, through appropriate channels. Upon
approval of the investigator-in-charge, parties to the investigation may
relay to their respective organization information which is necessary
for purposes of prevention or remedial action. Under no circumstances
shall accident information be released to, or discussed with,
unauthorized persons whose knowledge thereof might adversely affect the
investigation.
49 CFR 831.14Proposed findings.
Any person, Government agency, company, or association whose
employees, functions, activities, or products were involved in an
accident under investigation may submit to the Board, prior to its
consideration of probable cause, proposed findings to be drawn from the
evidence produced during the course of the accident investigation, a
proposed probable cause, and proposed safety recommendations designed to
prevent future accidents.
49 CFR 831.14 PART 835 -- TESTIMONY OF BOARD EMPLOYEES
Sec.
835.1 Purpose.
835.2 Definitions.
835.3 Scope of permissible testimony.
835.4 Use of reports.
835.5 Manner in which testimony is given.
835.6 Request for testimony.
835.7 Testimony of former Board employees.
835.8 Procedure in the event of a subpoena.
835.9 Testimony in State or local investigations.
Authority: 5 U.S.C. 301; 49 U.S.C. 1441; and 49 U.S.C. 1901 et
seq.
Source: 55 FR 41541, Oct. 12, 1990, unless otherwise noted.
49 CFR 835.1 Purpose.
This part prescribes the policies and procedures regarding the
testimony of employees of the National Transportation Safety Board
(Board) in suits or actions for damages and criminal proceedings arising
out of transportation accidents. The purpose of this part is to ensure
that the time of Board employees is used only for official purposes, to
avoid embroiling the Board in controversial issues that are not related
to its duties, to avoid spending public funds for non-Board purposes, to
preserve the impartiality of the Board, and to prohibit the discovery of
opinion testimony.
49 CFR 835.2Definitions.
Accident for purposes of this part includes ''incident.''
Board's accident report means the report containing the Board's
determinations, including the probable cause of an accident, issued
either as a narrative report or in a computer format (briefs of
accidents). Pursuant to section 701(e) of the Federal Aviation Act of
1958, as amended (49 U.S.C. 1441(e)) (FA Act) and section 304(c) of the
Independent Safety Board Act of 1974 (49 U.S.C. 1903(c)) (Safety Act),
no part of these reports may be admitted as evidence or used in any suit
or action for damages growing out of any matter mentioned in such
reports.
Factual accident report means an investigator's report of his
investigation of the accident.
49 CFR 835.3Scope of permissible testimony.
(a) Section 701(e) of the FA Act and section 304(c) of the Safety Act
preclude the use or admission into evidence of Board accident reports in
any suit or action for damages arising from accidents. These sections
reflect Congress' ''strong * * * desire to keep the Board free of the
entanglement of such suits.'' Rep. No. 93-1192, 93d Cong., 2d Sess., 44
(1974), and serve to ensure that the Board does not exert an undue
influence on litigation. The purposes of these sections would be
defeated if expert opinion testimony of Board employees, which may be
reflected in the views of the Board expressed in its reports, were
admitted in evidence or used in litigation arising out of an accident.
The Board relies heavily upon its investigators' opinions in its
deliberations. Furthermore, the use of Board employees as experts to
give opinion testimony would impose a significant administrative burden
on the Board's investigative staff. Litigants must obtain their expert
witnesses from other sources.
(b) For the reasons stated in paragraph (a) of this section and
835.1, Board employees may only testify as to the factual information
they obtained during the course of an investigation, including factual
evaluations emobdied in their factual accident reports. However, they
shall decline to testify regarding matters beyond the scope of their
investigation, and they shall not give any expert or opinion testimony.
49 CFR 835.4Use of reports.
(a) A Board employee may use a copy of his factual accident report as
a testimonial aid, and may refer to that report during his testimony or
use it to refresh his memory.
(b) Consistent with section 701(e) of the FA Act and section 304(c)
of the Safety Act, a Board employee may not use the Board's accident
report for any purpose during his testimony.
49 CFR 835.5Manner in which testimony is given.
(a) Testimony of Board employees may be made available for use in
actions or suits for damages arising out of accidents through
depositions or written interrogatories. Board employees are not
permitted to appear and testify in court in such actions.
(b) Normally, depositions will be taken and interrogatories answered
at the Board's office to which the employee is assigned, and at a time
arranged with the employee reasonably fixed to avoid substantial
interference with the performance of his duties.
(c) Board employees are authorized to testify only once in connection
with any investigation they have made of an accident. Consequently,
when more than one lawsuit arises as a result of an accident, it shall
be the duty of counsel seeking the employee's deposition to ascertain
the identity of all parties to the multiple lawsuits and their counsel,
and to advise them of the fact that a deposition has been granted, so
that all interested parties may be afforded the opportunity to
participate therein.
(d) Upon completion of the deposition of a Board employee, a copy of
the transcript of the testimony will be furnished, at the expense of the
party requesting the desposition, to the Board's Counsel for the Board
files.
49 CFR 835.6Request for testimony.
(a) A request for testimony of a Board employee relating to an
accident by deposition or interrogatories shall be addressed to the
General Counsel, who may approve or deny the request. Such request
shall set forth the title of the case, the court, the type of accident
(aviation, railroad, etc.), the date and place of the accident, the
reasons for desiring the testimony, and a showing that the information
desired is not reasonably available from other sources.
(b) The General Counsel shall attach to his approval such reasonable
conditions as he may deem appropriate in order that the testimony will
be limited to the matters delineated in 835.3, will not interfere with
the performance of the duties of the employees as set forth in 835.5,
and will otherwise conform to the policies of this part.
(c) A subpoena shall not be served upon a Board employee in
connection with the taking of his deposition.
49 CFR 835.7Testimony of former Board employees.
It is not necessary to request Board approval for testimony of a
former Board employee. However, the scope of testimony of former Board
employees is limited to the matters delineated in 835.3, and use of
reports as prescribed by 835.4.
49 CFR 835.8Procedure in the event of a subpoena.
(a) If a Board employee has received a subpoena to appear and
testify, a request for his deposition shall not be approved until the
subpoena has been withdrawn.
(b) Upon receipt of a subpoena, the employee shall immediately notify
the General Counsel and provide the data identifying the accident; the
title of the case, the name of the judge, if available, and the title
and address of the court; the type of accident (aviation, railroad,
etc.); the date on which the employee is directed to appear; the name,
address, and telephone number, if available, of the attorney
representing the party who caused the issuance of the subpoena; the
scope of the testimony, if known; and a statement as to whether a prior
deposition on the same accident has been given.
(c) The General Counsel shall determine the course of action to be
taken and will so advise the employee.
49 CFR 835.9Testimony in State of local investigations.
Board employees may testify at a coroner's inquest, grand jury, or
criminal proceeding conducted by a State of local government. Testimony
shall be limited to the matters delineated in 835.3.
49 CFR 835.9 PART 840 -- RULES PERTAINING TO NOTIFICATION OF RAILROAD
ACCIDENTS
Sec.
840.1 Applicability.
840.2 Definitions.
840.3 Notification of railroad accidents.
840.4 Information to be given in notification.
840.5 Inspection, examination and testing of physical evidence.
840.6 Priority of Board investigations.
Authority: Sec. 304(a)(1)(c), Independent Safety Board Act of 1974,
as amended (49 U.S.C. 1903).
49 CFR 840.1Applicability.
This part contains the Safety Board's accident notification
requirements, and its authority for inspection, examination, and testing
of physical evidence, and describes the exercise of the Safety Board's
priority accorded to its activities when investigating railroad
accidents.
(47 FR 49408, Nov. 1, 1982)
49 CFR 840.2Definitions.
As used in this part, the following words or phrases are defined as
follows:
(a) Railroad means any system of surface transportation of persons or
property over rails. It includes, but is not limited to, line-haul
freight and passenger-carrying railroads, and rapid transit, commuter,
scenic, subway, and elevated railways.
(b) Accident means any collision, derailment, or explosion involving
railroad trains, locomotives, and cars; or any other loss-causing event
involving the operation of such railroad equipment that results in a
fatality to a passenger or employee, or the emergency evacuation of
persons.
(c) Joint operations means rail operations conducted on a track used
jointly or in common by two or more railroads subject to this part, or
operation of a train, locomotive, or car by one railroad over the track
of another railroad.
(d) Fatality means the death of a person either at the time an
accident occurs or within 24 hours thereafter.
(41 FR 13925, Apr. 1, 1976, as amended at 47 FR 49408, Nov. 1, 1982)
49 CFR 840.3 Notification of railroad accidents.
The operator of a railroad shall notify the Board by telephoning the
National Response Center at telephone 800-424-0201 at the earliest
practicable time after the occurrence of any one of the following
railroad accidents:
(a) No later than 2 hours after an accident which results in:
(1) A passenger or employee fatality or serious injury to two or more
crewmembers or passengers requiring admission to a hospital;
(2) The evacuation of a passenger train;
(3) Damage to a tank car or container resulting in release of
hazardous materials or involving evacuation of the general public; or
(4) A fatality at a grade crossing.
(b) No later than 4 hours after an accident which does not involve
any of the circumstances enumerated in paragraph (a) of this section but
which results in:
(1) Damage (based on a preliminary gross estimate) of $150,000 or
more for repairs, or the current replacement cost, to railroad and
nonrailroad property; or
(2) Damage of $25,000 or more to a passenger train and railroad and
nonrailroad property.
(c) Accidents involving joint operations must be reported by the
railroad that controls the track and directs the movement of trains
where the accident has occurred.
(d) Where an accident for which notification is required by paragraph
(a) or (b) of this section occurs in a remote area, the time limits set
forth in that paragraph shall commence from the time the first railroad
employee who was not at the accident site at the time of its occurrence
has received notice thereof.
(53 FR 49152, Dec. 6, 1988)
49 CFR 840.4Information to be given in notification.
The notice required by 840.3 shall include the following
information:
(a) Name and title of person reporting.
(b) Name of railroad.
(c) Location of accident (relate to nearest city).
(d) Time and date of accident.
(e) Description of accident.
(f) Casualties:
(1) Fatalities.
(2) Injuries.
(g) Property damage (estimate).
(h) Name and telephone number of person from whom additional
information may be obtained.
(41 FR 13925, Apr. 1, 1976)
49 CFR 840.5Inspection, examination and testing of physical evidence.
(a) Any employee of the Safety Board, upon presenting appropriate
credentials is authorized to enter any property wherein a transportation
accident has occurred or wreckage from any such accident is located and
do all things necessary for proper investigation, including examination
or testing of any vehicle, rolling stock, track, or any part of any part
of any such item when such examination or testing is determined to be
required for purposes of such investigation.
(b) Any examination or testing shall be conducted in such a manner so
as not to interfere with or obstruct unnecessarily the transportation
services provided by the owner or operator of such vehicle, rolling
stock, or track, and shall be conducted in such a manner so as to
preserve, to the maximum extent feasible, any evidence relating to the
transportation accident, consistent with the needs of the investigation
and with the cooperation of such owner or operator. The employee may
inspect, at reasonable times, records, files, papers, processes,
controls, and facilities relevant to the investigation of such accident.
Each inspection shall be commenced and completed promptly and the
results of such inspection, examination, or test made available to the
parties.
(47 FR 49408, Nov. 1, 1982)
49 CFR 840.6Priority of Board investigations.
Any investigation of an accident conducted by the Safety Board shall
have priority over all other investigations of such accident conducted
by other Federal agencies. The Safety Board shall provide for the
appropriate participation by other Federal agencies in any such
investigation, except that such agencies may not participate in the
Safety Board's determination of the probable cause of the accident.
Nothing in this section impairs the authority of other Federal agencies
to conduct investigations of an accident under applicable provisions of
law or to obtain information directly from parties involved in, and
witnesses to, the transportation accident. The Safety Board and other
Federal agencies shall assure that appropriate information obtained or
developed in the course of their investigations is exchanged in a timely
manner.
(47 FR 49408, Nov. 1, 1982)
49 CFR 840.6 PART 845 -- RULES OF PRACTICE IN TRANSPORTATION;
ACCIDENT/INCIDENT HEARINGS AND REPORTS
Sec.
845.1 Applicability.
845.2 Nature of hearing.
845.3 Sessions open to the public.
49 CFR 840.6 Subpart A -- Initial Procedure
845.10 Determination to hold hearing.
845.11 Board of inquiry.
845.12 Notice of hearing.
845.13 Designation of parties.
49 CFR 840.6 Subpart B -- Conduct of Hearing
845.20 Powers of chairman of board of inquiry.
845.21 Hearing officer.
845.22 Technical panel.
845.23 Prehearing conference.
845.24 Right of representation.
845.25 Examination of witnesses.
845.26 Evidence.
845.27 Proposed findings.
845.28 Stenographic transcript.
845.29 Payment of witnesses.
49 CFR 840.6 Subpart C -- Board Reports
845.40 Accident report.
845.41 Petitions for reconsideration or modification.
49 CFR 840.6 Subpart D -- Public Record
845.50 Public docket.
845.51 Investigation to remain open.
Authority: Title VII, Federal Aviation Act of 1958, as amended (49
U.S.C. 1441 et seq.); and the Independent Safety Board Act of 1974,
Pub. L. 93-633, 88 Stat. 2166 (49 U.S.C. 1901 et seq.).
Source: 44 FR 34419, June 14, 1979, unless otherwise noted.
49 CFR 845.1 Applicability.
Unless otherwise specifically ordered by the National Transportation
Safety Board (Board), the provisions of this part shall govern all
transportation accident investigation hearings conducted under the
authority of section 304(b) of the Independent Safety Board Act of 1974
(49 U.S.C. 1903(b)) and accident reports issued by the Board.
49 CFR 845.2Nature of hearing.
Transportation accident hearings are convened to assist the Board in
determining cause or probable cause of an accident, in reporting the
facts, conditions, and circumstances of the accident, and in
ascertaining measures which will tend to prevent accidents and promote
transportation safety. Such hearings are factfinding proceedings with
no formal issues and no adverse parties and are not subject to the
provisions of the Administrative Procedure Act (Pub. L. 89-554, 80 Stat.
384 (5 U.S.C. 554)).
(44 FR 34419, June 14, 1979; 44 FR 39181, July 5, 1979)
49 CFR 845.3 Sessions open to the public.
(a) All hearings shall normally be open to the public (subject to the
provision that any person present shall not be allowed at any time to
interfere with the proper and orderly functioning of the board of
inquiry).
(b) Sessions shall not be open to the public when evidence of a
classified nature or which affects national security is to be received.
49 CFR 845.3 Subpart A -- Initial Procedure
49 CFR 845.10Determination to hold hearing.
The Board may order a public hearing as part of an accident
investigation whenever such hearing is deemed necessary in the public
interest: Provided, that if a quorum of the Board is not immediately
available in the event of a catastrophic accident, the determination to
hold a public hearing may be made by the Chairman of the Board.
49 CFR 845.11Board of inquiry.
The board of inquiry shall consist of a Member of the Board who shall
be chairman of the board of inquiry, and such other employees as may be
designated by the chairman of the board of inquiry. Assignment of a
Member to serve as the chairman of each board of inquiry shall be
determined by the Board. The board of inquiry shall examine witnesses
and secure, in the form of a public record, all known facts pertaining
to the accident or incident and surrounding circumstances and conditions
from which cause or probable cause may be determined and recommendations
for corrective action may be formulated.
(49 FR 32853, Aug. 17, 1984)
49 CFR 845.12Notice of hearing.
The chairman of the board of inquiry shall designate a time and place
for the hearing which meets the needs of the Board. Notice to all known
interested persons shall be given.
49 CFR 845.13Designation of parties.
(a) The chairman of the board of inquiry shall designate as parties
to the hearing those persons, agencies, companies, and associations
whose participation in the hearing is deemed necessary in the public
interest and whose special knowledge will contribute to the development
of pertinent evidence. Parties shall be represented by suitable
qualified technical employees or members who do not occupy legal
positions.
(b) No party shall be represented by any person who also represents
claimants or insurers. Failure to comply with this provision shall
result in loss of status as a party.
(44 FR 34419, June 14, 1979, as amended at 51 FR 7278, Mar. 3, 1986)
49 CFR 845.13 Subpart B -- Conduct of Hearing
49 CFR 845.20Powers of chairman of board of inquiry.
The chairman of the board of inquiry, or his designee, shall have the
following powers:
(a) To designate parties to the hearing and revoke such designations;
(b) To open, continue, or adjourn the hearing;
(c) To determine the admissibility of and to receive evidence and to
regulate the course of the hearing;
(d) To dispose of procedural requests or similar matters; and
(e) To take any other action necessary or incident to the orderly
conduct of the hearing.
(44 FR 34419, June 14, 1979; 44 FR 39181, July 5, 1979)
49 CFR 845.21Hearing officer.
The hearing officer, upon designation by the Chairman of the Board,
shall have the following powers:
(a) To give notice concerning the time and place of hearing;
(b) To administer oaths and affirmations to witnesses; and
(c) To issue subpenas requiring the attendance and testimony of
witnesses and production of documents.
49 CFR 845.22Technical panel.
The Director, Bureau of Accident Investigation, or the Director,
Bureau of Field Operations, shall designate members of the Board's
technical staff to participate in the hearing and initially develop the
testimony of witnesses.
(49 FR 32853, Aug. 17, 1984)
49 CFR 845.23 Prehearing conference.
(a) Except as provided in paragraph (d) of this section for expedited
hearings, the chairman of the board of inquiry shall hold a prehearing
conference with the parties to the hearing at a convenient time and
place prior to the hearing. At such prehearing conference, the parties
shall be advised of the witnesses to be called at the hearing, the areas
in which they will be examined, and the exhibits which will be offered
in evidence.
(b) Parties shall submit at the prehearing conference copies of any
additional documentary exhibits they desire to offer. (Copies of all
exhibits proposed for admission by the board of inquiry and the parties
shall be furnished to the board of inquiry and to all parties, insofar
as available at that time.)
(c) A party who, at the time of the prehearing conference, fails to
advise the chairman of the board of inquiry of additional exhibits he
intends to submit, or additional witnesses he desires to examine, shall
be precluded from introducing such evidence unless the chairman of the
board of inquiry determines for good cause shown that such evidence
should be admitted.
(d) Expedited hearings. When time permits, the chairman of the board
of inquiry may hold a prehearing conference. In the event that an
expedited hearing is held, the requirements in paragraphs (b) and (c) of
this section concerning the identification of witnesses, exhibits or
other evidence may be waived by the chairman of the board of inquiry.
49 CFR 845.24 Right of representation.
Any person who appears to testify at a public hearing shall be
accorded the right to be accompanied, represented, or advised by counsel
or by any other duly qualified representative.
49 CFR 845.25 Examination of witnesses.
(a) Witnesses shall be initially examined by the board of inquiry or
its technical panel. Following such examination, parties to the hearing
shall be given the opportunity to examine such witnesses.
(b) Materiality, relevancy, and competency of witness testimony,
exhibits, or physical evidence shall not be the subject of objections in
the legal sense by a party to the hearing or any other person. Such
matters shall be controlled by rulings of the chairman of the board of
inquiry on his own motion. If the examination of a witness by a party
is interrupted by a ruling of the chairman of the board of inquiry,
opportunity shall be given to show materiality, relevancy, or competency
of the testimony or evidence sought to be elicited from the witness.
49 CFR 845.26 Evidence.
The chairman of the board of inquiry shall receive all testimony and
evidence which may be of aid in determining the cause of accident. He
may exclude any testimony or exhibits which are not pertinent to the
investigation or are merely cumulative.
49 CFR 845.27Proposed findings.
Any party may submit proposed findings to be drawn from the testimony
and exhibits, a proposed probable cause, and proposed safety
recommendations designed to prevent future accidents. The proposals
shall be submitted within the time specified by the presiding officer at
the close of the hearing, and shall be made a part of the public docket.
Parties to the hearing shall serve copies of their proposals on all
other parties to the hearing.
(48 FR 52740, Nov. 22, 1983)
49 CFR 845.28 Stenographic transcript.
A verbatim report of the hearing shall be taken. Copies of the
transcript may be obtained by any interested person from the Board or
from the court reporting firm preparing the transcript upon payment of
the fees fixed therefor. (See Part 801, Appendix -- Fee Schedule.)
49 CFR 845.29 Payment of witnesses.
Any witness subpenaed to attend the hearing under this part shall be
paid such fees for his travel and attendance as shall be certified by
the hearing officer.
49 CFR 845.29 Subpart C -- Board Reports
49 CFR 845.40 Accident report.
(a) The Board will issue a detailed narrative accident report in
connection with the investigation into those accidents which the Board
determines to warrant such a report. The report will set forth the
facts, conditions and circumstances relating to the accident and the
probable cause thereof, along with any appropriate recommendations
formulated on the basis of the investigation.
(b) The probable cause and facts, conditions, and circumstances of
all other accidents will be reported in a manner and form prescribed by
the Board.
49 CFR 845.41Petitions for reconsideration or modification.
(a) Petitions for reconsideration or modification of the Board's
findings and determination of probable cause filed by a party to an
investigation or hearing or other person having a direct interest in the
accident investigation will be entertained only if based on the
discovery of new evidence or on a showing that the Board's findings are
erroneous. The petitions shall be in writing. Petitions which are
repetitious of proposed findings submitted pursuant to 845.27, or of
positions previously advanced, and petitions filed by a party to the
hearing who failed to submit proposed findings pursuant to 845.27 will
not be entertained. Petitions based on the discovery of new matter
shall: identify the new matter; contain affidavits of prospective
witnesses, authenticated documents, or both, or an explanation of why
such substantiation is unavailable; and state why the new matter was
not available prior to Board's adoption of its findings. Petitions
based on a claim of erroneous findings shall set forth in detail the
grounds relied upon.
(b) When a petition for reconsideration or modification is filed with
the Board, copies of the petition and any supporting documentation shall
be served on all other parties to the investigation or hearing and proof
of service shall be attached to the petition. The other parties may
file comments no later than 90 days after service of the petition.
(c) Oral presentation before the Board normally will not form a part
of proceedings under this part. However, the Board may permit oral
presentation where a party or interested person makes an affirmative
showing that the written petition for reconsideration or modification is
an insufficient means to present the party's or person's position to the
Board. Where oral presentation is allowed, the Board will specify the
issues to be addressed and all parties to the investigation or hearing
will be given notice and the opportunity to participate.
(48 FR 52740, Nov. 22, 1983)
49 CFR 845.41 Subpart D -- Public Record
49 CFR 845.50Public docket.
(a) The public docket shall include all factual information
concerning the accident. Proposed findings submitted pursuant to
831.12 or 845.27 and petitions for reconsideration and modification
submitted pursuant to 845.41, comments thereon by other parties, and
the Board's rulings, shall also be placed in the public docket.
(b) The docket shall be established as soon as practicable following
the accident, and material shall be added thereto as it becomes
available. Where a hearing is held, the exhibits will be introduced
into the record at the hearing.
(c) A copy of the docket shall be made available to any person for
review at the Washington office of the Board. Copies of the material in
the docket may be obtained, upon payment of the cost of reproduction,
from the Public Inquiries Section, Bureau of Administration, National
Transportation Safety Board, Washington, DC 20594.
(44 FR 34419, June 14, 1979, as amended at 48 FR 52740, Nov. 22,
1983)
49 CFR 845.51 Investigation to remain open.
Accident investigations are never officially closed but are kept open
for the submission of new and pertinent evidence by any interested
person. If the Board finds that such evidence is relevant and
probative, it shall be made a part of the docket and, where appropriate,
parties will be given an opportunity to examine such evidence and to
comment thereon.
49 CFR 845.51 PART 850 -- COAST GUARD -- NATIONAL TRANSPORTATION SAFETY
BOARD MARINE CASUALTY INVESTIGATIONS
Sec.
850.1 Purpose.
850.3 Relationship to Coast Guard marine investigation regulations
and procedures.
850.5 Definitions.
850.10 Preliminary investigation by the Coast Guard.
850.15 Marine casualty investigation by the Board.
850.20 Cause or probable cause determinations from Board
investigation.
850.25 Coast Guard marine casualty investigation for the Board.
850.30 Procedures for Coast Guard investigation.
850.35 Records of the Coast Guard and the Board.
Authority: Sec. 304(a)(1)(E), Independent Safety Board Act of 1974,
Pub. L. 93-633, 88 Stat. 2168 (49 U.S.C. 1903).
Source: 42 FR 61204, Dec. 1, 1977, unless otherwise noted.
49 CFR 850.1Purpose.
This part prescribes the joint regulations of the National
Transportation Safety Board and the Coast Guard for the investigation of
marine casualties.
(47 FR 46089, Oct. 15, 1982)
49 CFR 850.3 Relationship to Coast Guard marine investigation
regulations and procedures.
(a) The Coast Guard's responsibility to investigate marine casualties
is not eliminated nor diminished by the regulations in this part.
(b) In those instances where the Board conducts an investigation in
which the Coast Guard also has responsibility under R.S. 4450 (46 U.S.C.
239), the proceedings are conducted independently, but so as to avoid
duplication as much as possible.
49 CFR 850.5 Definitions.
As used in this part:
(a) Act means Title III of Pub. L. 93-633, the Independent Safety
Board Act of 1974 (49 U.S.C. 1901, et seq.).
(b) Board means the National Transportation Safety Board.
(c) Chairman means the Chairman of the National Transportation Safety
Board.
(d) Commandant means the Commandant of the Coast Guard.
(e) Major marine casualty means a casualty involving a vessel, other
than a public vessel, that results in --
(1) The loss of six or more lives;
(2) The loss of a mechanically propelled vessel of 100 or more gross
tons;
(3) Property damage initially estimated as $500,000 or more; or
(4) Serious threat, as determined by the Commandant and concurred in
by the Chairman, to life, property, or the environment by hazardous
materials.
(f) Public vessel means a vessel owned by the United States, except a
vessel to which the Act of October 25, 1919, c. 82 (41 Stat. 305, 46
U.S.C. 363) applies.
(g) Vessel of the United States means a vessel --
(1) Documented, or required to be documented, under the laws of the
United States;
(2) Owned in the United States; or
(3) Owned by a citizen or resident of the United States and not
registered under a foreign flag.
49 CFR 850.10 Preliminary investigation by the Coast Guard.
(a) The Coast Guard conducts the preliminary investigation of marine
casualties.
(b) The Commandant determines from the preliminary investigation
whether:
(1) The casualty is a major marine casualty; or
(2) The casualty involves a public and a nonpublic vessel and at
least one fatality or $75,000 in property damage; or
(3) The casualty involves a Coast Guard and a nonpublic vessel and at
least one fatality or $75,000 in property damage; or
(4) The casualty is a major marine casualty which involves
significant safety issues relating to Coast Guard safety functions,
e.g., search and rescue, aids to navigation, vessel traffic systems,
commercial vessel safety, etc.
(c) The Commandant notifies the Board of a casualty described in
paragraph (b) of this section.
(42 FR 61204, Dec. 1, 1977, as amended at 47 FR 46089, Oct. 15, 1982)
49 CFR 850.15Marine casualty investigation by the Board.
(a) The Board may conduct an investigation under the Act of any major
marine casualty or any casualty involving public and nonpublic vessels.
Where the Board determines it will convene a hearing in connection with
such an investigation, the Board's rules of practice for transportation
accident hearings in 49 CFR Part 845 shall apply.
(b) The Board shall conduct an investigation under the Act when:
(1) The casualty involves a Coast Guard and a nonpublic vessel and at
least one fatality or $75,000 in property damage; or
(2) The Commandant and the Board agree that the Board shall conduct
the investigation, and the casualty involves a public and a nonpublic
vessel and at least one fatality or $75,000 in property damage; or
(3) The Commandant and the Board agree that the Board shall conduct
the investigation, and the casualty is a major marine casualty which
involves significant safety issues relating to Coast Guard safety
functions.
(47 FR 46090, Oct. 15, 1982)
49 CFR 850.20 Cause or probable cause determinations from Board
investigation.
After an investigation conducted by the Board under 850.15, the
Board determines cause or probable cause and issues a report of that
determination.
49 CFR 850.25Coast Guard marine casualty investigation for the Board.
(a) If the Board does not conduct an investigation under 850.15(a),
(b)(2) or (3), the Coast Guard, at the request of the Board, may conduct
an investigation under the Act unless there is an allegation of Federal
Government misfeasance or nonfeasance.
(b) The Board will request the Coast Guard to conduct an
investigation under paragraph (a) of this section within 48 hours of
receiving notice under 850.10(c).
(c) The Coast Guard will advise the Board within 24 hours of receipt
of a request under paragraph (b) of this section whether the Coast Guard
will conduct an investigation under the Act.
(47 FR 46090, Oct. 15, 1982)
49 CFR 850.30 Procedures for Coast Guard investigation.
(a) The Coast Guard conducts an investigation under 850.25 using the
procedures in 46 CFR 4.01-1 through 4.23-1.
(b) The Board may designate a person or persons to participate in
every phase of an investigation, including on-scene investigation, that
is conducted under the provisions of 850.25.
(c) Consistent with Coast Guard responsibility to direct the course
of the investigation, the person or persons designated by the Board
under paragraph (b) of this section may:
(1) Make recommendations about the scope of the investigation.
(2) Call and examine witnesses.
(3) Submit or request additional evidence.
(d) The Commandant provides a record of the proceedings to the Board
of an investigation of a major marine casualty under paragraph (a) of
this section.
(e) The Board, under the Act, makes its determination of the facts,
conditions, and circumstances, and the cause or probable cause of a
major marine casualty, using the record of the proceedings provided by
the Commandant under paragraph (d) of this section and any additional
evidence the Board may acquire under its own authority.
(f) An investigation by the Coast Guard under this section is both an
investigation under the Act and under R.S. 4450 (46 U.S.C. 239).
49 CFR 850.35 Records of the Coast Guard and the Board.
(a) Records of the Coast Guard made under 850.30 are available to
the public under 49 CFR Part 7.
(b) Records of the Board made under 850.20 and 850.30 are available
to the public under 49 CFR Part 801.
49 CFR 850.35 PARTS 851 -- 999 (RESERVED)
49 CFR 850.35 FINDING AIDS
A list of CFR titles, subtitles, chapters, subchapters and parts and
an alphabetical list of agencies publishing in the CFR are included in
the CFR Index and Finding Aids volume to the Code of Federal Regulations
which is published separately and revised annually.
Material Approved for Incorporation by Reference
Table of CFR Titles and Chapters
Alphabetical List of Agencies Appearing in the CFR
List of CFR Sections Affected
Title 49-Transportation
Material Approved for Incorporation by Reference
Material Approved for Incorporation by Reference
The Director of the Federal Register has approved under 5 U.S.C.
552(a) and 1 CFR Part 51 the incorporation by reference of the following
publications. This list contains only those incorporations by reference
effective as of the revision date of this volume. Incorporations by
reference found within a regulation are effective upon the effective
date of that regulation. For more information on incorporation by
reference, see the preliminary pages of this volume.
49 CFR 850.35 49 CFR CHAPTER V (PARTS 500-599)
NATIONAL HIGHWAY TRAFFIC SAFETY ADMINISTRATION, DEPARTMENT OF
TRANSPORTATION
All materials are available from the Office of Rulemaking, DOT-NHTSA,
400 7th St., SW., Washington, DC 20590
49 CFR
American Association of Textile Chemists and Colorists
Post Office Box 886, Durham, NC
AATCC Chart for Measuring Transference of Color 571.209
Standard Test Method 8-1961 Colorfast to Crocking 571.209
Standard Test Method 30-1957T Fungicides, Evaluation of Textiles;
Mildew and Rot Resistence of Textiles: Section 1C1, Water Leaching;
Section 1C2, Volatilization; Section 1B3, Soil Burial Test 571.209
Standard Test Method 107-1981 Colorfastness to Water 571.209
Geometric Gray Scale 571.209
American National Standards Institute
1430 Broadway, New York, NY 10018
ANSI Z26.1-1977 as suppl. by Z26.1a-80 Safety Code for Safety
Glazing Materials for Glazing Motor Vehicles Operating on Land Highways
571.205
American Society for Testing and Materials (ASTM)
1916 Race St., Philadelphia, PA 19103
ASTM 1003-61 Haze and Luminous Transmittance of Transparent Plastic
571.108
ASTM A 166-61T Tentative Specifications for Electrodeposited Coatings
of Nickel and Chromium on Steel 571.208; 571.209
ASTM B 117-73 Standard Method of Salt Spray (fog) Testing 571.106;
571.125; 571.209
ASTM B 456-79 Standard Specification for Electrodeposited Coatings of
Copper Plus Nickel Plus Chromium and Nickel Plus Chronium 571.209
ASTM C 150-77 Standard Specification for Portland Cement 571.108
ASTM D 362-84 Standard Specification for Industrial Grade Toluene
571.108; 571.205
ASTM D 445-65 Standard Method of Test for Viscosity of Transparent
and Opaque Liquids (Kinematic and Dynamic Viscosity), Appendix 1 571.116
ASTM D 471-64T Tentative Method of Test for Change in Properties of
Elastomeric Volcanizates Resulting from Immersion in Liquids 571.106
ASTM D 484-71 Standard Specifications for Hydrocarbon Dry Cleaning
Solvent 571.301
ASTM D 523-62T Tentative Method of Test for Specular Glass 571.107
ASTM D 756-78 Standard Practice for Determination of Weight and Shape
Changes of Plastics Under Accelerated Service Conditions 571.209
ASTM D 1056-73 Standard Specifications for Flexible Cellular
Materials Sponge or Expanded Rubber 571.213
ASTM D 1121-67 Standard Method of Test for Reserve Alaklinity of
Engine Antifreezes and Antirusts, Appendix A1.1, A1.2, and A1.3 571.116
ASTM D 1123-59 Standard Method of Test for Water in Concentrated
Engine Anti-Freezes by the Iodine Reagent Method 571.116
ASTM D 1193-70 Standard Specifications for Reagent Water 571.116
ASTM D 1415-68 Tentative Method of Test for International Hardness of
Volcanized Natural and Synthetic Rubbers 571.116
ASTM D 1564-71 Standard Method of Testing Flexible Cellular Materials
-- Slab Urethane Foam 571.213
ASTM D 1565-76 Standard Specifications for Flexible Cellular
Materials -- Vinyl Chloride Polymers and Copolymers (Open-Cell Foam)
571.213
ASTM D 2515-66 Standard Specifications for Kinematic Glass Viscosity
571.116
ASTM E 1-68 Standard Specifications for ASTM Thermometers 571.116
ASTM E 4-64 Methods of Verification of Testing Machines 571.106;
571.209
ASTM E 4-72 Methods of Verification of Testing Machines 571.221
ASTM E 4-79 Standard Methods of Load Verification of Testing Machines
571.209
ASTM E 77-66 Standard Method for Inspection, Test and Standardization
of Liquid-in-Glass Thermometers 571.116
ASTM E 274-65T Skid Resistance of Pavements Using a Two Wheel Trailer
571.208; 571.301
ASTM E 274-79 Standard Test Method for Skid Resistance of Paved
Surfaces Using a Full-Scale Tire 571.105; 571.116; 575.104
ASTM E 298-68 Standard Methods for Assay of Organic Peroxides 571.116
ASTM E 501-76 Standard Tire for Pavement Skid Resistance Tests
575.104(f)(1)(ii) and (vii)
ASTM F 377-74 Standard Method for Calibration of Braking Force for
Testing of Pneumatic Tires 575.104(f)(1)(v)
ASTM G 23-81 Standard Practice for Operating Light Exposure Apparatus
(Carbon Arc Type) with and without Water for Exposure of Nonmetallic
Materials 571.209
1985 Annual Book of ASTM Standards, Vol. 5.04, ''Motor Fuels'',
Section I, A2.3.2, A2.3.3. and A2.7 in Annex 2 571.108; 571.205
General Motors Corporation
c/o Docket 74-14, Docket Section, National Highway Traffic Safety
Administration, Room 5109, 400 Seventh Street, S.W., Washington, DC
20590
The Anthropomorphic Test Dummy Parts List, dated December 15, 1987,
and a Parts List Index, dated December 15, 1987 572.31(a)
A listing of Optional Hybrid III Dummy Transducers, dated April 22,
1986 572.31(a)
A General Motors Drawing Package identified by GM drawing No.
78051-218 revision R and subordinate drawings 572.31(a)
Disassembly, Inspection, Assembly and Limbs Adjustment Procedures for
the Hybrid III dummy, dated July 15, 1986 572.31(a)
Sign Convention for the signal outputs of Hybrid III dummy
transducers, dated July 15, 1986 572.31(a)
Exterior Dimensions of the Hybrid III dummy, dated July 15, 1986
572.31(a)
General Services Administration
Superintendent of Documents, U.S. Government Printing Office,
Washington, DC 20402
Federal Specification L-S-300 1965, Sheeting and Tape Reflective:
Nonexposed Lens, Adhesive Backing 571.108
Illuminating Engineering Society of North America
345 East 47th St., New York, NY 10017
LM-45 IES Approved Method for Electrical and Photometric Measurements
of General Service Incandescent Filament Lamps (April 1980) 571.108
Naval Publication and Forms Center
5801 Tabor Ave., Philadelphia, PA 19120
Military Specifications:
MIL-S-13192, Shoes, Men's, Dress, 1976 571.208; 571.214
National Health Survey Data
Superintendent of Documents, U.S. Government Printing Office,
Washington, DC 20402
5th Percentile adult female and 95th Percentile adult male: Public
Health Service Pub. No. 1000, Series 11, No. 8, ''Weight, Height, and
Selected Body Dimensions of Adults'', 1965 571.3
National Highway Traffic Safety Administration
Office of Vehicle Safety Standards, DOT-NHTSA, 400 7th St. SW.,
Washington, DC 20590
Drawing Package, SAS-100-1000, Standard Seat Assembly 571.213
Rowley-Scher Reprographics, Inc., 1216 K Street, NW., Washington,
D.C. 20002, telephone (202) 628-6667, Drawings and Specifications:
SA 150 M010 -- Head Assembly, 1973 Part 572
SA 150 M020 -- Neck Assembly, 1973 Part 572
SA 150 M030 -- Shoulder-thorax Assembly, 1973 Part 572
SA 150 M050 -- Lumbar Spine Assembly, 1973 Part 572
SA 150 M060 -- Pelvis and Abdomen Assembly, 1973 Part 572
SA 150 M070 -- Right Arm Assembly, 1973 Part 572
SA 150 M071 -- Left Arm Assembly, 1973 Part 572
SA 150 M080 -- Right Leg Assembly, 1973 Part 572
SA 150 M081 -- Left Leg Assembly, 1973 Part 572
Operation and Maintenance Manual for Three Year Old Test Dummy, SA
103C, Contract No. DOT-HS-6-01294, dated May 28, 1976 Part 572
SA 103C 010 Head Assembly, 1976 Part 572
SA 103C 020 Neck Assembly, 1976 Part 572
SA 103C 030 Torso Assembly, 1976 Part 572
SA 103C 141 Upper Arm Assembly Left, 1976 Part 572
SA 103C 142 Upper Arm Assembly Right, 1976 Part 572
SA 103C 051 Forearm Hand Assembly Left, 1976 Part 572
SA 103C 052 Forearm Hand Assembly Right, 1976 Part 572
SA 103C 061 Upper Leg Assembly Left, 1976 Part 572
SA 103C 062 Upper Leg Assembly Right, 1976 Part 572
SA 103C 071 Lower Leg Assembly Left, 1976 Part 572
SA 103C 072 Lower Leg Assembly Right, 1976 Part 572
SA 103C 081 Foot Assembly Left, 1976 Part 572
SA 103C 082 Foot Assembly Right, 1976 Part 572
Construction of an Infant Dummy (Mark II) for Dynamic Tests of Crash
Restraint Systems, July 2, 1974 Part 572
SA 1001, 1974 Part 572
Side Impact Dummy Drawings, SA-SID-M010, M030, M050, M060, M080, and
M081, dated August 13, 1987 and subtended drawings 572.41
Side Impact Dummy User's Manual, dated July 1990 572.41
FIR100 Filter Program, Version 1.0, dated July 16, 1990 572.44
Side Impact Moving Deformable Barrier Drawings, DSL-1278 through
DSL-1281 and DSL-1283 through DSL-1286 dated August 20, 1980; and
DSL-1287, dated November 26, 1980 587.6
Society of Automotive Engineers
400 Commonwealth Dr., Warrendale, PA 15096
SAE J186a Supplemental High Mounted Stop and Rear Turn Signal Lamps,
September 1977 571.108
SAE J211-1980 Instrumentation for Impact Tests 571.218; 572.36(i);
572.44
SAE J211a-1971 Instrumentation for Impact Tests 571.213; 571.222
SAE J222-1970 Parking Lamps (Position Lamps) 571.108
SAE J387-NOV 1987 Terminology-Motor Vehicle Lighting Part 571
SAE J449a-1963 Surface Texture Control 581.6(b)(1)
SAE J527-1967 Brazed Double Wall Low Carbon Steel Tubing 571.116
SAE J564a-1964 Headlamp Beam Switching 571.108
SAE J565b-1969 Semi-Automatic Headlamp Beam Switching Devices 571.108
SAE J566-1960 Headlamp Mountings 571.108
SAE J567b-1970 Bulb Sockets 571.108
SAE J571d-1976 Dimensional Specification for Sealed Beam Headlamp
Units 571.108
SAE J573d-1968 Lamp Bulbs and Sealed Units 571.108
SAE J575d-1967 Test for Motor Vehicle Lighting Devices and Components
571.108
SAE J575e-1970 Test for Motor Vehicle Lighting Devices and Components
571.108
SAE J576b-1966 Plastic Materials for Use in Optical Parts, such as
Lenses and Reflectors, of Motor Vehicle Lighting Devices 571.108
SAE J576c-1970 Plastic Materials for Use in Optical Parts, such as
Lenses and Reflectors, of Motor Vehicle Lighting Devices 571.108
SAE J578a-1966 Color Specification for Electric Signal Lighting
Devices 571.108
SAE J578c-1977 Color Specification for Electric Signal Lighting
Devices 571.108
SAE J579-1984 Sealed Beam Headlamp Units for Motor Vehicles 571.108
SAE J579c-1978 Sealed Beam Headlamp Units for Motor Vehicles 571.108
SAE J580b-1974 Sealed Beam Headlamp Assembly 571.108
SAE J580-1986 Sealed Beam Headlamp Assembly 571.108
SAE J584-1964 Motorcycle and Motor Driven Cycle Headlamps 571.108
SAE J585d-1970 Tail Lamps (Rear Position Light) 571.108
SAE J585e-1977 Tail Lamps (Rear Position Lamps) 571.108
SAE J586b-1966 Stop Lamps 571.108
SAE J586c-1970 Stop Lamps 571.108
SAE J586 FEB84 Stop Lamps for Use on Motor Vehicles Less than 2032 mm
in Overall Width 571.108
SAE J587-1981 License Plate Lamps (Rear Registration Plate Lamps)
571.108
SAE J588d-1966 Turn Signal Lamps 571.108
SAE J588e-1970 Turn Signal Lamps 571.108
SAE J588 NOV84 Turn Signal Lamps for Use on Motor Vehicles Less than
2032 mm in Overall Width 571.108
SAE J589-1964 Turn Signal Switch 571.108
SAE J590b-1965 Automotive Turn Signal Flashers 571.108
SAE J592e-1972 Clearance, Side Marker and Identification Lamps
571.108
SAE J593c-1968 Backup Lamps 571.108
SAE J594f-1977 Reflex Reflectors 571.108
SAE J599b-1970 Lighting Inspection Code 581.5(c)
SAE J599c-1973 Lighting Inspection Code 571.108
SAE J602-1980 Headlamps Aiming Device for Mechanically Aimable Sealed
Beam Headlamp Units 571.108
SAE J602a-1970 Headlamp Aiming Device for Mechanically Aimable Sealed
Beam Headlamp Units 581.5(c)
SAE J673a-1967 Automotive Glazing 571.205
SAE J726a-1962 Recommended Practice, Air Cleaner Test Code 571.209
SAE J787(b) 1966 Motor Vehicle Seat Belt Anchorage 571.3
SAE J800b-1965 Recommended Practice, Motor Vehicle Seat Belt
Installations 571.209
SAE J826-1980 Devices for Use in Defining Vehicle Seating
Accommodations 571.3; 571.210; 571.108; 571.208; 571.214
SAE J839b-1965 Passenger Car Side Door Latch System 571.201; 571.206
SAE J843a-1966 Brake System Road Test Code -- Passenger 575.101(e)(2)
SAE J885a-1966 Human Tolerance to Impact Conditions as Related to
Motor Vehicle Design 571.208
SAE J887-1964 School Bus Red Signal Lamps 571.108
SAE J902-1964 Recommended Practice, Passenger Car Windshield
Defrosting Systems 571.103
SAE J902a-1967 Passenger Car Windshield Defrosting Systems 571.103
SAE J903a-1966 Passenger Car Windshield Wiper Systems 571.104
SAE J910-1966 Vehicle Hazard Warning Signal Flasher 571.108
SAE J921-1965 Recommended Practice, Instrument Panel Laboratory
Impact Test Procedure 571.201
SAE J934-1965 Recommended Practice Vehicle Passenger Door Hinge
Systems 571.206
SAE J941-1965 Passenger Car Driver's Eye Range 571.104; 571.107
SAE J942-1965 Passenger Car Windshield Washer System 571.104
SAE J944-1965 Steering Wheel Assembly Laboratory Test Procedure
571.203
SAE J945b-1966 Vehicular Hazard Warning Signal Flashers 571.108
SAE J964a-1974 Test Procedure for Determining Reflectivity of Rear
View Mirrors 571.111
SAE J972-1966 Moving Barrier Collision Test 571.105
SAE J977-1966 Instrumentation for Laboratory Impact Tests 571.201
SAE J1100a Motor Vehicle Demensions 571.3
SAE J1132-1976 Sealed Beam Headlamp Units 571.108
SAE J1383-1985 Performance Requirements for Motor Vehicle Headlamps
571.108
SAE J1395 APR85 Turn Signal Lamps for Use on Motor Vehicles 2032 or
More in Overall Width 571.108
SAE J1398 MAY85 Stop Lamps for Use on Motor Vehicles 2032 mm or More
in Overall Width 571.108
SAE J1703-1983 Motor Vehicle Brake Fluid 571.116
SAE Aero Space and Car and Body Measuring Standard 571.202
Chap.
49 CFR 850.35 Table of CFR Titles and Chapters
49 CFR 850.35 Title 1 -- General Provisions
I Administrative Committee of the Federal Register (Parts 1 -- 49)
II Office of the Federal Register (Parts 50 -- 299)
III Administrative Conference of the United States (Parts 300 -- 399)
IV Miscellaneous Agencies (Parts 400 -- 500)
49 CFR 850.35 Title 2 -- (Reserved)
49 CFR 850.35 Title 3 -- The President
I Executive Office of the President (Parts 100 -- 199)
49 CFR 850.35 Title 4 -- Accounts
I General Accounting Office (Parts 1 -- 99)
II Federal Claims Collection Standards (General Accounting Office --
Department of Justice) (Parts 100 -- 299)
III General Accounting Office (CASB) (Parts 300 -- 499)
49 CFR 850.35 Title 5 -- Administrative Personnel
I Office of Personnel Management (Parts 1 -- 1199)
II Merit Systems Protection Board (Parts 1200 -- 1299)
III Office of Management and Budget (Parts 1300 -- 1399)
IV Advisory Committee on Federal Pay (Parts 1400 -- 1499)
V The International Organizations Employees Loyalty Board (Parts 1500
-- 1599)
VI Federal Retirement Thrift Investment Board (Parts 1600 -- 1699)
VII Advisory Commission on Intergovernmental Relations (Parts 1700 --
1799)
VIII Office of Special Council (Parts 1800 -- 1899)
IX Appalachian Regional Commission (Parts 1900 -- 1999)
XI United States Soldiers' and Airmen's Home (Parts 2100 -- 2199)
XIV Federal Labor Relations Authority, General Counsel of the Federal
Labor Relations Authority and Federal Service Impasses Panel (Parts 2400
-- 2499)
XV Office of Administration, Executive Office of the President (Parts
2500 -- 2599)
XVI Office of Government Ethics (Parts 2600 -- 2699)
49 CFR 850.35 Title 6 -- (Reserved)
49 CFR 850.35 Title 7 -- Agriculture
Subtitle A -- Office of the Secretary of Agriculture (Parts 0 -- 26)
Subtitle B -- Regulations of the Department of Agriculture
I Agricultural Marketing Service (Standards, Inspections, Marketing
Practices), Department of Agriculture (Parts 27 -- 209)
II Food and Nutrition Service, Department of Agriculture (Parts 210
-- 299)
III Animal and Plant Health Inspection Service, Department of
Agriculture (Parts 300 -- 399)
IV Federal Crop Insurance Corporation, Department of Agriculture
(Parts 400 -- 499)
V Agricultural Research Service, Department of Agriculture (Parts 500
-- 599)
VI Soil Conservation Service, Department of Agriculture (Parts 600 --
699)
VII Agricultural Stabilization and Conservation Service (Agricultural
Adjustment), Department of Agriculture (Parts 700 -- 799)
VIII Federal Grain Inspection Service, Department of Agriculture
(Parts 800 -- 899)
IX Agricultural Marketing Service (Marketing Agreements and Orders;
Fruits, Vegetables, Nuts), Department of Agriculture (Parts 900 -- 999)
X Agricultural Marketing Service (Marketing Agreements and Orders;
Milk), Department of Agriculture (Parts 1000 -- 1199)
XI Agricultural Marketing Service (Marketing Agreements and Orders;
Miscellaneous Commodities), Department of Agriculture (Parts 1200 --
1299)
XIV Commodity Credit Corporation, Department of Agriculture (Parts
1400 -- 1499)
XV Foreign Agricultural Service, Department of Agriculture (Parts
1500 -- 1599)
XVI Rural Telephone Bank, Department of Agriculture (Parts 1600 --
1699)
XVII Rural Electrification Administration, Department of Agriculture
(Parts 1700 -- 1799)
XVIII Farmers Home Administration, Department of Agriculture (Parts
1800 -- 2099)
XXI Foreign Economic Development Service, Department of Agriculture
(Parts 2100 -- 2199)
XXII Office of International Cooperation and Development, Department
of Agriculture (Parts 2200 -- 2299)
XXIV Board of Contract Appeals, Department of Agriculture (Parts 2400
-- 2499)
XXV Office of the General Sales Manager, Department of Agriculture
(Parts 2500 -- 2599)
XXVI Office of Inspector General, Department of Agriculture (Parts
2600 -- 2699)
XXVII Office of Information Resources Management, Department of
Agriculture (Parts 2700 -- 2799)
XXVIII Office of Operations, Department of Agriculture (Parts 2800 --
2899)
XXIX Office of Energy, Department of Agriculture (Parts 2900 -- 2999)
XXX Office of Finance and Management, Department of Agriculture
(Parts 3000 -- 3099)
XXXI Office of Environmental Quality, Department of Agriculture
(Parts 3100 -- 3199)
XXXII Office of Grants and Program Systems, Department of Agriculture
(Parts 3200 -- 3299)
XXXIII Office of Transportation, Department of Agriculture (Parts
3300 -- 3399)
XXXIV Cooperative State Research Service, Department of Agriculture
(Parts 3400 -- 3499)
XXXVI National Agricultural Statistics Service, Department of
Agriculture (Parts 3600 -- 3699)
XXXVII Economic Research Service, Department of Agriculture (Parts
3700 -- 3799)
XXXVIII World Agricultural Outlook Board, Department of Agriculture
(Parts 3800 -- 3899)
XXXIX Economic Analysis Staff, Department of Agriculture (Parts 3900
-- 3999)
XL Economics Management Staff, Department of Agriculture (Parts 4000
-- 4099)
XLI National Agricultural Library, Department of Agriculture (Part
4100)
49 CFR 850.35 Title 8 -- Aliens and Nationality
I Immigration and Naturalization Service, Department of Justice
(Parts 1 -- 499)
49 CFR 850.35 Title 9 -- Animals and Animal Products
I Animal and Plant Health Inspection Service, Department of
Agriculture (Parts 1 -- 199)
II Packers and Stockyards Administration, Department of Agriculture
(Parts 200 -- 299)
III Food Safety and Inspection Service, Meat and Poultry Inspection,
Department of Agriculture (Parts 300 -- 399)
49 CFR 850.35 Title 10 -- Energy
I Nuclear Regulatory Commission (Parts 0 -- 199)
II Department of Energy (Parts 200 -- 699)
III Department of Energy (Parts 700 -- 999)
X Department of Energy (General Provisions) (Parts 1000 -- 1099)
XV Office of the Federal Inspector for the Alaska Natural Gas
Transportation System (Parts 1500 -- 1599)
XVII Defense Nuclear Facilities Safety Board (Parts 1700 -- 1799)
49 CFR 850.35 Title 11 -- Federal Elections
I Federal Election Commission (Parts 1 -- 9099)
49 CFR 850.35 Title 12 -- Banks and Banking
I Comptroller of the Currency, Department of the Treasury (Parts 1 --
199)
II Federal Reserve System (Parts 200 -- 299)
III Federal Deposit Insurance Corporation (Parts 300 -- 399)
IV Export-Import Bank of the United States (Parts 400 -- 499)
V Office of Thrift Supervision, Department of The Treasury (Parts 500
-- 599)
VI Farm Credit Administration (Parts 600 -- 699)
VII National Credit Union Administration (Parts 700 -- 799)
VIII Federal Financing Bank (Parts 800 -- 899)
IX Federal Housing Finance Board (Parts 900 -- 999)
XI Federal Financial Institutions Examination Council (Parts 1100 --
1199)
XIII Farm Credit System Assistance Board (Parts 1300 -- 1399)
XIV Farm Credit System Insurance Corporation (Parts 1400 -- 1499)
XV Oversight Board (Parts 1500 -- 1599)
XVI Resolution Trust Corporation (Parts 1600 -- 1699)
49 CFR 850.35 Title 13 -- Business Credit and Assistance
I Small Business Administration (Parts 1 -- 199)
III Economic Development Administration, Department of Commerce
(Parts 300 -- 399)
49 CFR 850.35 Title 14 -- Aeronautics and Space
I Federal Aviation Administration, Department of Transportation
(Parts 1 -- 199)
II Office of the Secretary, Department of Transportation (Aviation
Proceedings) (Parts 200 -- 399)
III Office of Commercial Space Transportation, Department of
Transportation (Parts 400 -- 499)
V National Aeronautics and Space Administration (Parts 1200 -- 1299)
49 CFR 850.35 Title 15 -- Commerce and Foreign Trade
Subtitle A -- Office of the Secretary of Commerce (Parts 0 -- 29)
Subtitle B -- Regulations Relating to Commerce and Foreign Trade
I Bureau of the Census, Department of Commerce (Parts 30 -- 199)
II National Institute of Standards and Technology, Department of
Commerce (Parts 200 -- 299)
III International Trade Administration, Department of Commerce (Parts
300 -- 399)
IV Foreign-Trade Zones Board (Parts 400 -- 499)
VII Bureau of Export Administration, Department of Commerce (Parts
700 -- 799)
VIII Bureau of Economic Analysis, Department of Commerce (Parts 800
-- 899)
IX National Oceanic and Atmospheric Administration, Department of
Commerce (Parts 900 -- 999)
XI Technology Administration, Department of Commerce (Parts 1100 --
1199)
XII United States Travel and Tourism Administration, Department of
Commerce (Parts 1200 -- 1299)
XIII East-West Foreign Trade Board (Parts 1300 -- 1399)
XIV Minority Business Development Agency (Parts 1400 -- 1499)
Subtitle C -- Regulations Relating to Foreign Trade Agreements
XX Office of the United States Trade Representative (Parts 2000 --
2099)
Subtitle D -- Regulations Relating to Telecommunications and
Information
XXIII National Telecommunications and Information Administration,
Department of Commerce (Parts 2300 -- 2399)
49 CFR 850.35 Title 16 -- Commercial Practices
I Federal Trade Commission (Parts 0 -- 999)
II Consumer Product Safety Commission (Parts 1000 -- 1799)
49 CFR 850.35 Title 17 -- Commodity and Securities Exchanges
I Commodity Futures Trading Commission (Parts 1 -- 199)
II Securities and Exchange Commission (Parts 200 -- 399)
IV Department of the Treasury (Parts 400 -- 499)
49 CFR 850.35 Title 18 -- Conservation of Power and Water Resources
I Federal Energy Regulatory Commission, Department of Energy (Parts 1
-- 399)
III Delaware River Basin Commission (Parts 400 -- 499)
VI Water Resources Council (Parts 700 -- 799)
VIII Susquehanna River Basin Commission (Parts 800 -- 899)
XIII Tennessee Valley Authority (Parts 1300 -- 1399)
49 CFR 850.35 Title 19 -- Customs Duties
I United States Customs Service, Department of the Treasury (Parts 1
-- 199)
II United States International Trade Commission (Parts 200 -- 299)
III International Trade Administration, Department of Commerce (Parts
300 -- 399)
49 CFR 850.35 Title 20 -- Employees' Benefits
I Office of Workers' Compensation Programs, Department of Labor
(Parts 1 -- 199)
II Railroad Retirement Board (Parts 200 -- 399)
III Social Security Administration, Department of Health and Human
Services (Parts 400 -- 499)
IV Employees' Compensation Appeals Board, Department of Labor (Parts
500 -- 599)
V Employment and Training Administration, Department of Labor (Parts
600 -- 699)
VI Employment Standards Administration, Department of Labor (Parts
700 -- 799)
VII Benefits Review Board, Department of Labor (Parts 800 -- 899)
VIII Joint Board for the Enrollment of Actuaries (Parts 900 -- 999)
IX Office of the Assistant Secretary for Veterans' Employment and
Training, Department of Labor (Parts 1000 -- 1099)
49 CFR 850.35 Title 21 -- Food and Drugs
I Food and Drug Administration, Department of Health and Human
Services (Parts 1 -- 1299)
II Drug Enforcement Administration, Department of Justice (Parts 1300
-- 1399)
49 CFR 850.35 Title 22 -- Foreign Relations
I Department of State (Parts 1 -- 199)
II Agency for International Development, International Development
Cooperation Agency (Parts 200 -- 299)
III Peace Corps (Parts 300 -- 399)
IV International Joint Commission, United States and Canada (Parts
400 -- 499)
V United States Information Agency (Parts 500 -- 599)
VI United States Arms Control and Disarmament Agency (Parts 600 --
699)
VII Overseas Private Investment Corporation, International
Development Cooperation Agency (Parts 700 -- 799)
IX Foreign Service Grievance Board Regulations (Parts 900 -- 999)
X Inter-American Foundation (Parts 1000 -- 1099)
XI International Boundary and Water Commission, United States and
Mexico, United States Section (Parts 1100 -- 1199)
XII United States International Development Cooperation Agency (Parts
1200 -- 1299)
XIII Board for International Broadcasting (Parts 1300 -- 1399)
XIV Foreign Service Labor Relations Board; Federal Labor Relations
Authority; General Counsel of the Federal Labor Relations Authority;
and the Foreign Service Impasse Disputes Panel (Parts 1400 -- 1499)
XV African Development Foundation (Parts 1500 -- 1599)
XVI Japan-United States Friendship Commission (Parts 1600 -- 1699)
49 CFR 850.35 Title 23 -- Highways
I Federal Highway Administration, Department of Transportation (Parts
1 -- 999)
II National Highway Traffic Safety Administration and Federal Highway
Administration, Department of Transportation (Parts 1200 -- 1299)
III National Highway Traffic Safety Administration, Department of
Transportation (Parts 1300 -- 1399)
49 CFR 850.35 Title 24 -- Housing and Urban Development
Subtitle A -- Office of the Secretary, Department of Housing and
Urban Development (Parts 0 -- 99)
Subtitle B -- Regulations Relating to Housing and Urban Development
I Office of Assistant Secretary for Equal Opportunity, Department of
Housing and Urban Development (Parts 100 -- 199)
II Office of Assistant Secretary for Housing-Federal Housing
Commissioner, Department of Housing and Urban Development (Parts 200 --
299)
III Government National Mortgage Association, Department of Housing
and Urban Development (Parts 300 -- 399)
V Office of Assistant Secretary for Community Planning and
Development, Department of Housing and Urban Development (Parts 500 --
599)
VI Office of Assistant Secretary for Community Planning and
Development, Department of Housing and Urban Development (Parts 600 --
699)
VII Office of the Secretary, Department of Housing and Urban
Development (Section 8 Housing Assistance Programs and Public and Indian
Housing Programs) (Parts 700 -- 799)
VIII Office of the Assistant Secretary for Housing -- Federal Housing
Commissioner, Department of Housing and Urban Development (Section 8
Housing Assistance Programs and Section 202 Direct Loan Program) (Parts
800 -- 899)
IX Office of Assistant Secretary for Public and Indian Housing,
Department of Housing and Urban Development (Parts 900 -- 999)
X Office of Assistant Secretary for Housing -- Federal Housing
Commissioner, Department of Housing and Urban Development (Interstate
Land Sales Registration Program) (Parts 1700 -- 1799)
XI Solar Energy and Energy Conservation Bank, Department of Housing
and Urban Development (Parts 1800 -- 1899)
XII Office of Inspector General, Department of Housing and Urban
Development (Parts 2000 -- 2099)
XV Mortgage Insurance and Loan Programs under the Emergency
Homeowners' Relief Act, Department of Housing and Urban Development
(Parts 2700 -- 2799)
XX Office of Assistant Secretary for Housing -- Federal Housing
Commissioner, Department of Housing and Urban Development (Parts 3200 --
3699)
XXV Neighborhood Reinvestment Corporation (Parts 4100 -- 4199)
49 CFR 850.35 Title 25 -- Indians
I Bureau of Indian Affairs, Department of the Interior (Parts 1 --
299)
II Indian Arts and Crafts Board, Department of the Interior (Parts
300 -- 399)
III National Indian Gaming Commission (Parts 500 -- 599)
IV Office of Navajo and Hopi Indian Relocation (Parts 700 -- 799)
49 CFR 850.35 Title 26 -- Internal Revenue
I Internal Revenue Service, Department of the Treasury (Parts 1 --
799)
49 CFR 850.35 Title 27 -- Alcohol, Tobacco Products and Firearms
I Bureau of Alcohol, Tobacco and Firearms, Department of the Treasury
(Parts 1 -- 299)
49 CFR 850.35 Title 28 -- Judicial Administration
I Department of Justice (Parts 0 -- 199)
III Federal Prison Industries, Inc., Department of Justice (Parts 300
-- 399)
V Bureau of Prisons, Department of Justice (Parts 500 -- 599)
VI Offices of Independent Counsel, Department of Justice (Parts 600
-- 699)
VII Office of Independent Counsel (Parts 700 -- 799)
49 CFR 850.35 Title 29 -- Labor
Subtitle A -- Office of the Secretary of Labor (Parts 0 -- 99)
Subtitle B -- Regulations Relating to Labor
I National Labor Relations Board (Parts 100 -- 199)
II Bureau of Labor-Management Relations and Cooperative Programs,
Department of Labor (Parts 200 -- 299)
III National Railroad Adjustment Board (Parts 300 -- 399)
IV Office of Labor-Management Standards, Department of Labor (Parts
400 -- 499)
V Wage and Hour Division, Department of Labor (Parts 500 -- 899)
IX Construction Industry Collective Bargaining Commission (Parts 900
-- 999)
X National Mediation Board (Parts 1200-1299)
XII Federal Mediation and Conciliation Service (Parts 1400-1499)
XIV Equal Employment Opportunity Commission (Parts 1600-1699)
XVII Occupational Safety and Health Administration, Department of
Labor (Parts 1900 -- 1999)
XX Occupational Safety and Health Review Commission (Parts 2200 --
2499)
XXV Pension and Welfare Benefits Administration, Department of Labor
(Parts 2500 -- 2599)
XXVI Pension Benefit Guaranty Corporation (Parts 2600 -- 2699)
XXVII Federal Mine Safety and Health Review Commission (Parts 2700 --
2799)
49 CFR 850.35 Title 30 -- Mineral Resources
I Mine Safety and Health Administration, Department of Labor (Parts 1
-- 199)
II Minerals Management Service, Department of the Interior (Parts 200
-- 299)
III Board of Surface Mining and Reclamation Appeals, Department of
the Interior (Parts 300 -- 399)
IV Geological Survey, Department of the Interior (Parts 400 -- 499)
VI Bureau of Mines, Department of the Interior (Parts 600 -- 699)
VII Office of Surface Mining Reclamation and Enforcement, Department
of the Interior (Parts 700 -- 999)
49 CFR 850.35 Title 31 -- Money and Finance: Treasury
Subtitle A -- Office of the Secretary of the Treasury (Parts 0 -- 50)
Subtitle B -- Regulations Relating to Money and Finance
I Monetary Offices, Department of the Treasury (Parts 51 -- 199)
II Fiscal Service, Department of the Treasury (Parts 200 -- 399)
IV Secret Service, Department of the Treasury (Parts 400 -- 499)
V Office of Foreign Assets Control, Department of the Treasury (Parts
500 -- 599)
VI Bureau of Engraving and Printing, Department of the Treasury
(Parts 600 -- 699)
VII Federal Law Enforcement Training Center, Department of the
Treasury (Parts 700 -- 799)
49 CFR 850.35 Title 32 -- National Defense
Subtitle A -- Department of Defense
I Office of the Secretary of Defense (Parts 1 -- 399)
V Department of the Army (Parts 400 -- 699)
VI Department of the Navy (Parts 700 -- 799)
VII Department of the Air Force (Parts 800 -- 1099)
Subtitle B -- Other Regulations Relating to National Defense
XII Defense Logistics Agency (Parts 1200-1299)
XVI Selective Service System (Parts 1600-1699)
XIX Central Intelligence Agency (Parts 1900 -- 1999)
XX Information Security Oversight Office (Parts 2000 -- 2099)
XXI National Security Council (Parts 2100 -- 2199)
XXIV Office of Science and Technology Policy (Parts 2400 -- 2499)
XXVII Office for Micronesian Status Negotiations (Parts 2700 -- 2799)
XXVIII Office of the Vice President of the United States (Parts 2800
-- 2899)
49 CFR 850.35 Title 33 -- Navigation and Navigable Waters
I Coast Guard, Department of Transportation (Parts 1 -- 199)
II Corps of Engineers, Department of the Army (Parts 200 -- 399)
IV Saint Lawrence Seaway Development Corporation, Department of
Transportation (Parts 400 -- 499)
49 CFR 850.35 Title 34 -- Education
Subtitle A -- Office of the Secretary, Department of Education (Parts
1 -- 99)
Subtitle B -- Regulations of the Offices of the Department of
Education
I Office for Civil Rights, Department of Education (Parts 100 -- 199)
II Office of Elementary and Secondary Education, Department of
Education (Parts 200 -- 299)
III Office of Special Education and Rehabilitative Services,
Department of Education (Parts 300 -- 399)
IV Office of Vocational and Adult Education, Department of Education
(Parts 400 -- 499)
V Office of Bilingual Education and Minority Languages Affairs,
Department of Education (Parts 500 -- 599)
VI Office of Postsecondary Education, Department of Education (Parts
600 -- 699)
VII Office of Educational Research and Improvement, Department of
Education (Parts 700 -- 799)
49 CFR 850.35 Title 35 -- Panama Canal
I Panama Canal Regulations (Parts 1 -- 299)
49 CFR 850.35 Title 36 -- Parks, Forests, and Public Property
I National Park Service, Department of the Interior (Parts 1 -- 199)
II Forest Service, Department of Agriculture (Parts 200 -- 299)
III Corps of Engineers, Department of the Army (Parts 300 -- 399)
IV American Battle Monuments Commission (Parts 400 -- 499)
V Smithsonian Institution (Parts 500 -- 599)
VII Library of Congress (Parts 700 -- 799)
VIII Advisory Council on Historic Preservation (Parts 800 -- 899)
IX Pennsylvania Avenue Development Corporation (Parts 900-999)
XI Architectural and Transportation Barriers Compliance Board (Parts
1100 -- 1199)
XII National Archives and Records Administration (Parts 1200 -- 1299)
49 CFR 850.35 Title 37 -- Patents, Trademarks, and Copyrights
I Patent and Trademark Office, Department of Commerce (Parts 1 --
199)
II Copyright Office, Library of Congress (Parts 200 -- 299)
III Copyright Royalty Tribunal (Parts 300 -- 399)
IV Assistant Secretary for Technology Policy, Department of Commerce
(Parts 400-499)
V Under Secretary for Technology, Department of Commerce (Parts 500
-- 599)
49 CFR 850.35 Title 38 -- Pensions, Bonuses, and Veterans' Relief
I Department of Veterans Affairs (Parts 0 -- 99)
49 CFR 850.35 Title 39 -- Postal Service
I United States Postal Service (Parts 1-999)
III Postal Rate Commission (Parts 3000 -- 3099)
49 CFR 850.35 Title 40 -- Protection of Environment
I Environmental Protection Agency (Parts 1 -- 799)
V Council on Environmental Quality (Parts 1500-1599)
49 CFR 850.35 Title 41 -- Public Contracts and Property Management
Subtitle B -- Other Provisions Relating to Public Contracts
50 Public Contracts, Department of Labor (Parts 50-1 -- 50-999)
51 Committee for Purchase from the Blind and Other Severely
Handicapped (Parts 51-1 -- 51-99)
60 Office of Federal Contract Compliance Programs, Equal Employment
Opportunity, Department of Labor (Parts 60-1 -- 60-999)
61 Office of the Assistant Secretary for Veterans Employment and
Training, Department of Labor (Parts 61-1 -- 61-999)
Subtitle C -- Federal Property Management Regulations System
101 Federal Property Management Regulations (Parts 101-1 -- 101-99)
105 General Services Administration (Parts 105-1 -- 105-999)
109 Department of Energy Property Management Regulations (Parts 109-1
-- 109-99)
114 Department of the Interior (Parts 114-1 -- 114-99)
115 Environmental Protection Agency (Parts 115-1 -- 115-99)
128 Department of Justice (Parts 128-1 -- 128-99)
132 Department of the Air Force (Parts 132-1 -- 132-99)
Subtitle D -- Other Provisions Relating to Property Management
(Reserved)
Subtitle E -- Federal Information Resources Management Regulations
System
201 Federal Information Resources Management Regulation (Parts 201-1
-- 201-99)
Subtitle F -- Federal Travel Regulation System
301 Travel Allowances (Parts 301-1 -- 301-99)
302 Relocation Allowances (Parts 302-1 -- 302-99)
303 Payment of Expenses Connected with the Death of Certain Employees
(Parts 303-1 -- 303-99)
304 Payment from a non-Federal source for travel expenses (Parts
304-1 -- 304-99)
49 CFR 850.35 Title 42 -- Public Health
I Public Health Service, Department of Health and Human Services
(Parts 1 -- 199)
IV Health Care Financing Administration, Department of Health and
Human Services (Parts 400 -- 499)
V Office of Inspector General-Health Care, Department of Health and
Human Services (Parts 1000 -- 1999)
49 CFR 850.35 Title 43 -- Public Lands: Interior
Subtitle A -- Office of the Secretary of the Interior (Parts 1 --
199)
Subtitle B -- Regulations Relating to Public Lands
I Bureau of Reclamation, Department of the Interior (Parts 200 --
499)
II Bureau of Land Management, Department of the Interior (Parts 1000
-- 9999)
49 CFR 850.35 Title 44 -- Emergency Management and Assistance
I Federal Emergency Management Agency (Parts 0 -- 399)
IV Department of Commerce and Department of Transportation (Parts 400
-- 499)
49 CFR 850.35 Title 45 -- Public Welfare
Subtitle A -- Department of Health and Human Services, General
Administration (Parts 1 -- 199)
Subtitle B -- Regulations Relating to Public Welfare
II Office of Family Assistance (Assistance Programs), Family Support
Administration, Department of Health and Human Services (Parts 200 --
299)
III Office of Child Support Enforcement (Child Support Enforcement
Program), Family Support Administration, Department of Health and Human
Services (Parts 300 -- 399)
IV Office of Refugee Resettlement, Family Support Administration,
Department of Health and Human Services (Parts 400 -- 499)
V Foreign Claims Settlement Commission of the United States,
Department of Justice (Parts 500 -- 599)
VI National Science Foundation (Parts 600 -- 699)
VII Commission on Civil Rights (Parts 700 -- 799)
VIII Office of Personnel Management (Parts 800 -- 899)
X Office of Community Services, Family Support Administration,
Department of Health and Human Services (Parts 1000 -- 1099)
XI National Foundation on the Arts and the Humanities (Parts 1100 --
1199)
XII ACTION (Parts 1200 -- 1299)
XIII Office of Human Development Services, Department of Health and
Human Services (Parts 1300 -- 1399)
XVI Legal Services Corporation (Parts 1600 -- 1699)
XVII National Commission on Libraries and Information Science (Parts
1700 -- 1799)
XVIII Harry S. Truman Scholarship Foundation (Parts 1800 -- 1899)
XX Commission on the Bicentennial of the United States Constitution
(Parts 2000 -- 2099)
XXI Commission on Fine Arts (Parts 2100 -- 2199)
XXII Christopher Columbus Quincentenary Jubilee Commission (2200 --
2299)
49 CFR 850.35 Title 46 -- Shipping
I Coast Guard, Department of Transportation (Parts 1 -- 199)
II Maritime Administration, Department of Transportation (Parts 200
-- 399)
III Coast Guard (Great Lakes Pilotage), Department of Transportation
(Parts 400 -- 499)
IV Federal Maritime Commission (Parts 500 -- 599)
49 CFR 850.35 Title 47 -- Telecommunication
I Federal Communications Commission (Parts 0 -- 199)
II Office of Science and Technology Policy and National Security
Council (Parts 200 -- 299)
III National Telecommunications and Information Administration,
Department of Commerce (Parts 300 -- 399)
49 CFR 850.35 Title 48 -- Federal Acquisition Regulations System
1 Federal Acquisition Regulation (Parts 1 -- 99)
2 Department of Defense (Parts 200 -- 299)
3 Department of Health and Human Services (Parts 300 -- 399)
4 Department of Agriculture (Parts 400 -- 499)
5 General Services Administration (Parts 500 -- 599)
6 Department of State (Parts 600 -- 699)
7 Agency for International Development (Parts 700 -- 799)
8 Department of Veterans Affairs (Parts 800 -- 899)
9 Department of Energy (Parts 900 -- 999)
10 Department of the Treasury (Parts 1000 -- 1099)
12 Department of Transportation (Parts 1200 -- 1299)
13 Department of Commerce (Parts 1300 -- 1399)
14 Department of the Interior (Parts 1400 -- 1499)
15 Environmental Protection Agency (Parts 1500 -- 1599)
16 Office of Personnel Management Federal Employees Health Benefits
Acquisition Regulation (Parts 1600 -- 1699)
17 Office of Personnel Management (Parts 1700 -- 1799)
18 National Aeronautics and Space Administration (Parts 1800 -- 1899)
19 United States Information Agency (Parts 1900 -- 1999)
22 Small Business Administration (Parts 2200 -- 2299)
24 Department of Housing and Urban Development (Parts 2400 -- 2499)
25 National Science Foundation (Parts 2500 -- 2599)
28 Department of Justice (Parts 2800 -- 2899)
29 Department of Labor (Parts 2900 -- 2999)
34 Department of Education Acquisition Regulation (Parts 3400 --
3499)
35 Panama Canal Commission (Parts 3500 -- 3599)
44 Federal Emergency Management Agency (Parts 4400 -- 4499)
51 Department of the Army Acquisition Regulations (Parts 5100 --
5199)
52 Department of the Navy Acquisition Regulations (Parts 5200 --
5299)
53 Department of the Air Force Federal Acquisition Regulation
Supplement (Parts 5300 -- 5399)
57 African Development Foundation (Parts 5700 -- 5799)
61 General Services Administration Board of Contract Appeals (Parts
6100 -- 6199)
63 Department of Transportation Board of Contract Appeals (Parts 6300
-- 6399)
99 Cost Accounting Standards Board, Office of Federal Procurement
Policy, Office of Management and Budget (Parts 9900 -- 9999)
49 CFR 850.35 Title 49 -- Transportation
Subtitle A -- Office of the Secretary of Transportation (Parts 1 --
99)
Subtitle B -- Other Regulations Relating to Transportation
I Research and Special Programs Administration, Department of
Transportation (Parts 100 -- 199)
II Federal Railroad Administration, Department of Transportation
(Parts 200 -- 299)
III Federal Highway Administration, Department of Transportation
(Parts 300 -- 399)
IV Coast Guard, Department of Transportation (Parts 400 -- 499)
V National Highway Traffic Safety Administration, Department of
Transportation (Parts 500 -- 599)
VI Urban Mass Transportation Administration, Department of
Transportation (Parts 600 -- 699)
VII National Railroad Passenger Corporation (AMTRAK) (Parts 700 --
799)
VIII National Transportation Safety Board (Parts 800 -- 899)
X Interstate Commerce Commission (Parts 1000 -- 1399)
49 CFR 850.35 Title 50 -- Wildlife and Fisheries
I United States Fish and Wildlife Service, Department of the Interior
(Parts 1 -- 199)
II National Marine Fisheries Service, National Oceanic and
Atmospheric Administration, Department of Commerce (Parts 200 -- 299)
III International Regulatory Agencies (Fishing and Whaling) (Parts
300 -- 399)
IV Joint Regulations (United States Fish and Wildlife Service,
Department of the Interior and National Marine Fisheries Service,
National Oceanic and Atmospheric Administration, Department of
Commerce); Endangered Species Committee Regulations (Parts 400 -- 499)
V Marine Mammal Commission (Parts 500 -- 599)
VI Fishery Conservation and Management, National Oceanic and
Atmospheric Administration, Department of Commerce (Parts 600 -- 699)
49 CFR 850.35 CFR Index and Finding Aids Subject/Agency Index
List of Agency Prepared Indexes Parallel Tables of Statutory Authorities
and Rules Acts Requiring Publication in the Federal Register List of CFR
Titles, Chapters, Subchapters, and Parts
49 CFR 850.35 Alphabetical List of Agencies Appearing in the CFR
CFR Title, Subtitle or
Agency
Chapter
ACTION 45, XII
Administrative Committee of the Federal Register 1, I
Administrative Conference of the United States 1, III
Advisory Commission on Intergovernmental Relations 5, VII
Advisory Committee on Federal Pay 5, IV
Advisory Council on Historic Preservation 36, VIII
African Development Foundation 22, XV; 48, 57
Agency for International Development 22, II; 48, 7
Agricultural Marketing Service 7, I, IX, X, XI
Agricultural Research Service 7, V
Agricultural Stabilization and Conservation Service 7, VII
Agriculture Department
Agricultural Marketing Service 7, I, IX, X, XI
Agricultural Research Service 7, V
Agricultural Stabilization and Conservation Service 7, VII
Animal and Plant Health Inspection Service 7, III; 9, I
Commodity Credit Corporation 7, XIV
Contract Appeals, Board of 7, XXIV
Cooperative State Research Service 7, XXXIV
Economic Analysis Staff 7, XXXIX
Economic Research Service 7, XXXVII
Economics Management Staff 7, XL
Energy, Office of 7, XXIX
Environmental Quality, Office of 7, XXXI
Farmers Home Administration 7, XVIII
Federal Acquisition Regulation 48, 4
Federal Crop Insurance Corporation 7, IV
Federal Grain Inspection Service 7, VIII
Finance and Management, Office of 7, XXX
Food and Nutrition Service 7, II
Food Safety and Inspection Service 9, III
Foreign Agricultural Service 7, XV
Foreign Economic Development Service 7, XXI
Forest Service 36, II
General Sales Manager, Office of 7, XXV
Grants and Program Systems, Office of 7, XXXII
Information Resources Management, Office of 7, XXVII
Inspector General, Office of 7, XXVI
International Cooperation and Development Office 7, XXII
National Agricultural Library 7, XLI
National Agricultural Statistics Service 7, XXXVI
Operations Office 7, XXVIII
Packers and Stockyards Administration 9, II
Rural Electrification Administration 7, XVII
Rural Telephone Bank 7, XVI
Secretary of Agriculture, Office of 7, Subtitle A
Soil Conservation Service 7, VI
Transportation, Office of 7, XXXIII
World Agriculture Outlook Board 7, XXXVIII
Air Force Department 32, VII; 41, Subtitle C, Ch. 132
Federal Acquisition Regulation Supplement 48, 53
Alaska Natural Gas Transportation System, Office of the Federal
Inspector 10, XV
Alcohol, Tobacco and Firearms, Bureau of 27, I
AMTRAK 49, VII
American Battle Monuments Commission 36, IV
Animal and Plant Health Inspection Service 7, III; 9, I
Appalachian Regional Commission 5, IX
Architectural and Transportation Barriers Compliance Board 36, XI
Arms Control and Disarmament Agency, U.S. 22, VI
Army Department 32, V
Engineers, Corps of 33, II; 36, III
Federal Acquisition Regulation 48, 51
Assistant Secretary for Technology Policy, Department of Commerce 37,
IV
Benefits Review Board 20, VII
Bicentennial of the United States Constitution, Commission on the 45,
XX
Bilingual Education and Minority Languages Affairs, Office of 34, V
Blind and Other Severely Handicapped, Committee for Purchase from 41,
51
Board for International Broadcasting 22, XIII
Budget, Office of Management and 5, III
Census Bureau 15, I
Central Intelligence Agency 32, XIX
Child Support Enforcement, Office of 45, III
Christopher Columbus Quincentenary Jubilee Commission 45, XXII
Civil Rights Commission 45, VII
Civil Rights, Office for (Education Department) 34, I
Claims Collection Standards, Federal 4, II
Coast Guard 33, I; 46, I, III; 49, IV
Commerce Department 44, IV
Census Bureau 15, I
Assistant Secretary for Technology Policy 37, IV
Economic Affairs, Under Secretary 37, V
Economic Analysis, Bureau of 15, VIII
Economic Development Administration 13, III
Endangered Species Committee 50, IV
Export Administration Bureau 15, VII
Federal Acquisition Regulation 48, 13
Fishery Conservation and Management 50, VI
International Trade Administration 15, III; 19, III
National Institute of Standards and Technology 15, II
National Marine Fisheries Service 50, II, IV
National Oceanic and Atmospheric Administration 15, IX; 50, II, III,
IV, VI
National Telecommunications and Information Administration 15, XXIII;
47, III
Patent and Trademark Office 37, I
Productivity, Technology and Innovation, Assistant Secretary for 37,
IV
Secretary of Commerce, Office of 15, Subtitle A
Technology Administration 15, XI
Under Secretary for Technology 37, V
United States Travel and Tourism Administration 15, XII
Commercial Space Transportation, Office of, Department of
Transportation 14, III
Commission on the Bicentennial of the United States Constitution 45,
XX
Committee for Purchase from the Blind and Other Severely Handicapped
41, 51
Commodity Credit Corporation 7, XIV
Commodity Futures Trading Commission 17, I
Community Planning and Development, Office of Assistant Secretary for
24, V, VI
Community Services, Office of 45, X
Comptroller of the Currency 12, I
Construction Industry Collective Bargaining Commission 29, IX
Consumer Product Safety Commission 16, II
Contract Appeals, Board of 7, XXIV
Cooperative State Research Service 7, XXXIV
Copyright Office 37, II
Copyright Royalty Tribunal 37, III
Cost Accounting Standards Board, Office of Federal Procurement Policy
48, 99
Council on Environmental Quality 40, V
Customs Service, United States 19, I
Defense Department 32, Subtitle A
Air Force Department 32, VII; 41, Subtitle C, Ch. 132
Army Department 32, V; 33, II; 36, III, 48, 51
Engineers, Corps of 33, II; 36, III
Federal Acquisition Regulation 48, 2
Navy Department 32, VI; 48, 52
Secretary of Defense, Office of 32, I
Defense Logistics Agency 32, XII
Defense Nuclear Facilities Safety Board 10, XVII
Delaware River Basin Commission 18, III
Drug Enforcement Administration 21, II
East-West Foreign Trade Board 15, XIII
Economic Affairs, Under Secretary (Commerce) 37, V
Economic Analysis, Bureau of 15, VIII
Economic Analysis Staff, Department of Agriculture 7, XXXIX
Economic Development Administration 13, III
Economics Management Staff 7, XL
Economic Research Service 7, XXXVII
Education, Department of
Bilingual Education and Minority Languages Affairs, Office of 34, V
Civil Rights, Office for 34, I
Educational Research and Improvement, Office of 34, VII
Elementary and Secondary Education, Office of 34, II
Federal Acquisition Regulation 48, 34
Postsecondary Education, Office of 34, VI
Secretary of Education, Office of 34, Subtitle A
Special Education and Rehabilitative Services, Office of 34, III
Vocational and Adult Education, Office of 34, IV
Educational Research and Improvement, Office of 34, VII
Elementary and Secondary Education, Office of 34, II
Employees' Compensation Appeals Board 20, IV
Employees Loyalty Board, International Organizations 5, V
Employment and Training Administration 20, V
Employment Standards Administration 20, VI
Endangered Species Committee 50, IV
Energy, Department of 10, II, III, X; 41, 109
Federal Acquisition Regulation 48, 9
Federal Energy Regulatory Commission 18, I
Energy, Office of, Department of Agriculture 7, XXIX
Engineers, Corps of 33, II; 36, III
Engraving and Printing, Bureau of 31, VI
Environmental Protection Agency 40, I; 41, 115; 48, 15
Environmental Quality, Office of (Agriculture Department) 7, XXXI
Equal Employment Opportunity Commission 29, XIV
Equal Opportunity, Office of Assistant Secretary for 24, I
Executive Office of the President 3, I
Administration, Office of 5, XV
Export Administration Bureau 15, VII
Export-Import Bank of the United States 12, IV
Family Assistance, Office of 45, II
Family Support Administration 45, II, III, IV, X
Farm Credit Administration 12, VI
Farm Credit System Assistance Board 12, XIII
Farm Credit System Insurance Corporation 12, XIV
Farmers Home Administration 7, XVIII
Federal Acquisition Regulation 48, 1
Federal Aviation Administration 14, I
Federal Claims Collection Standards 4, II
Federal Communications Commission 47, I
Federal Contract Compliance Programs, Office of 41, 60
Federal Crop Insurance Corporation 7, IV
Federal Deposit Insurance Corporation 12, III
Federal Election Commission 11, I
Federal Emergency Management Agency 44, I; 48, 44
Federal Energy Regulatory Commission 18, I
Federal Financial Institutions Examination Council 12, XI
Federal Financing Bank 12, VIII
Federal Grain Inspection Service 7, VIII
Federal Highway Administration 23, I, II; 49, III
Federal Home Loan Mortgage Corporation 1, IV
Federal Housing Finance Board 12, IX
Federal Information Resources Management Regulations 41, Subtitle E,
Ch. 201
Federal Inspector for the Alaska Natural Gas Transportation System,
Office of 10, XV
Federal Labor Relations Authority, and General Counsel of the Federal
Labor Relations Authority 5, XIV; 22, XIV
Federal Law Enforcement Training Center 31, VII
Federal Maritime Commission 46, IV
Federal Mediation and Conciliation Service 29, XII
Federal Mine Safety and Health Review Commission 29, XXVII
Federal Pay, Advisory Committee on 5, IV
Federal Prison Industries, Inc. 28, III
Federal Procurement Policy Office 48, 99
Federal Property Management Regulations 41, 101
Federal Property Management Regulations System 41, Subtitle C
Federal Railroad Administration 49, II
Federal Register, Administrative Committee of 1, I
Federal Register, Office of 1, II
Federal Reserve System 12, II
Federal Retirement Thrift Investment Board 5, VI
Federal Service Impasses Panel 5, XIV
Federal Trade Commission 16, I
Federal Travel Regulation System 41, Subtitle F
Finance and Management, Department of Agriculture 7, XXX
Fine Arts Commission 45, XXI
Fiscal Service 31, II
Fish and Wildlife Service, United States 50, I, IV
Fishery Conservation and Management 50, VI
Fishing and Whaling, International Regulatory Agencies 50, III
Food and Drug Administration 21, I
Food and Nutrition Service 7, II
Food Safety and Inspection Service 9, III
Foreign Agricultural Service 7, XV
Foreign Assets Control, Office of 31, V
Foreign Claims Settlement Commission of United States 45, V
Foreign Economic Development Service 7, XXI
Foreign Service Grievance Board 22, IX
Foreign Service Impasse Disputes Panel 22, XIV
Foreign Service Labor Relations Board 22, XIV
Foreign-Trade Zones Board 15, IV
Forest Service 36, II
General Accounting Office 4, I, II, III
General Sales Manager, Office of 7, XXV
General Services Administration
Contract Appeals Board 48, 61
Federal Acquisition Regulation 48, 5
Federal Information Resources Management Regulations 41, Subtitle E,
Ch. 201
Federal Property Management Regulations System 41, 101, 105
Federal Travel Regulation System 41, Subtitle F
Payment of Expenses Connected With the Death of Certain Employees 41,
303
Reduction in Meeting and Training Allowance Payments 41, 304
Relocation Allowances 41, 302
Travel Allowances 41, 301
Geological Survey 30, IV
Government Ethics, Office of 5, XVI
Government National Mortgage Association 24, III
Grants and Program Systems, Office of 7, XXXII
Great Lakes Pilotage 46, III
Harry S. Truman Scholarship Foundation 45, XVIII
Health and Human Services, Department of 45, Subtitle A
Child Support Enforcement, Office of 45, III
Community Services, Office of 45, X
Family Assistance, Office of 45, II
Family Support Administration 45, II, III, IV, X
Federal Acquisition Regulation 48, 3
Food and Drug Administration 21, I
Health Care Financing Administration 42, IV
Human Development Services Office 45, XIII
Inspector General, Office of 42, V
Public Health Service 42, I
Refugee Resettlement, Office of 45, IV
Social Security Administration 20, III; 45, IV
Health Care Financing Administration 42, IV
Housing and Urban Development, Department of
Community Planning and Development, Office of Assistant Secretary for
24, V, VI
Equal Opportunity, Office of Assistant Secretary for 24, I
Federal Acquisition Regulation 48, 24
Government National Mortgage Association 24, III
Housing -- Federal Housing Commissioner, Office of Assistant
Secretary for 24, II, VIII, X, XX
Inspector General, Office of 24, XII
Mortgage Insurance and Loan Programs Under Emergency Homeowners'
Relief Act 24, XV
Public and Indian Housing, Office of Assistant Secretary for 24, IX
Secretary, Office of 24, Subtitle B, VII
Solar Energy and Energy Conservation Bank 24, XI
Housing -- Federal Housing Commissioner, Office of Assistant
Secretary for 24, II, VIII, X, XX
Human Development Services Office 45, XIII
Immigration and Naturalization Service 8, I
Indian Affairs, Bureau of 25, I
Indian Arts and Crafts Board 25, II
Information Agency, United States 22, V; 48, 19
Information Resources Management, Office of, Agriculture Department
7, XXVII
Information Security Oversight Office 32, XX
Inspector General, Office of, Agriculture Department 7, XXVI
Inspector General, Office of, Health and Human Services Department
42, V
Inspector General, Office of, Housing and Urban Development
Department 24, XII
Inter-American Foundation 22, X
Intergovernmental Relations, Advisory Commission on 5, VII
Interior Department
Endangered Species Committee 50, IV
Federal Acquisition Regulation 48, 14
Federal Property Management Regulations System 41, 114
Fish and Wildlife Service, United States 50, I, IV
Geological Survey 30, IV
Indian Affairs, Bureau of 25, I
Indian Arts and Crafts Board 25, II
Land Management Bureau 43, II
Minerals Management Service 30, II
Mines, Bureau of 30, VI
National Park Service 36, I
Reclamation Bureau 43, I
Secretary of the Interior, Office of 43, Subtitle A
Surface Mining and Reclamation Appeals, Board of 30, III
Surface Mining Reclamation and Enforcement, Office of 30, VII
United States Fish and Wildlife Service 50, I, IV
Internal Revenue Service 26, I
International Boundary and Water Commission, United States and Mexico
22, XI
International Cooperation and Development Office, Department of
Agriculture 7, XXII
International Development, Agency for 22, II
International Development Cooperation Agency 22, XII
International Development, Agency for 22, II
Overseas Private Investment Corporation 22, VII
International Joint Commission, United States and Canada 22, IV
International Organizations Employees Loyalty Board 5, V
International Regulatory Agencies (Fishing and Whaling) 50, III
International Trade Administration 15, III; 19, III
International Trade Commission, United States 19, II
Interstate Commerce Commission 49, X
Japan-United States Friendship Commission 22, XVI
Joint Board for the Enrollment of Actuaries 20, VIII
Justice Department 28, I; 41, 128
Drug Enforcement Administration 21, II
Federal Acquisition Regulation 48, 28
Federal Claims Collection Standards 4, II
Federal Prison Industries, Inc. 28, III
Foreign Claims Settlement Commission of the United States 45, V
Immigration and Naturalization Service 8, I
Offices of Independent Counsel 28, VI
Prisons, Bureau of 28, V
Labor Department
Benefits Review Board 20, VII
Employees' Compensation Appeals Board 20, IV
Employment and Training Administration 20, V
Employment Standards Administration 20, VI
Federal Acquisition Regulation 48, 29
Federal Contract Compliance Programs, Office of 41, 60
Federal Procurement Regulations System 41, 50
Labor-Management Relations and Cooperative Programs, Bureau of 29, II
Labor-Management Standards, Office of 29, IV
Mine Safety and Health Administration 30, I
Occupational Safety and Health Administration 29, XVII
Pension and Welfare Benefits Administration 29, XXV
Public Contracts 41, 50
Secretary of Labor, Office of 29, Subtitle A
Veterans' Employment and Training, Office of the Assistant Secretary
for 41, 61; 20, IX
Wage and Hour Division 29, V
Workers' Compensation Programs, Office of 20, I
Labor-Management Relations and Cooperative Programs, Bureau of 29, II
Labor-Management Standards, Office of 29, IV
Land Management, Bureau of 43, II
Legal Services Corporation 45, XVI
Library of Congress 36, VII
Copyright Office 37, II
Management and Budget, Office of 5, III; 48, 99
Marine Mammal Commission 50, V
Maritime Administration 46, II
Merit Systems Protection Board 5, II
Micronesian Status Negotiations, Office for 32, XXVII
Mine Safety and Health Administration 30, I
Minerals Management Service 30, II
Mines, Bureau of 30, VI
Minority Business Development Agency 15, XIV
Miscellaneous Agencies 1, IV
Monetary Offices 31, I
Mortgage Insurance and Loan Programs Under the Emergency Homeowners'
Relief Act, Department of Housing and Urban Development 24, XV
National Aeronautics and Space Administration 14, V; 48, 18
National Agricultural Library 7, XLI
National Agricultural Statistics Service 7, XXXVI
National Archives and Records Administration 36, XII
National Bureau of Standards 15, II
National Capital Planning Commission 1, IV
National Commission for Employment Policy 1, IV
National Commission on Libraries and Information Science 45, XVII
National Credit Union Administration 12, VII
National Foundation on the Arts and the Humanities 45, XI
National Highway Traffic Safety Administration 23, II, III; 49, V
National Indian Gaming Commission 25, III
National Institute of Standards and Technology 15, II
National Labor Relations Board 29, I
National Marine Fisheries Service 50, II, IV
National Mediation Board 29, X
National Oceanic and Atmospheric Administration 15, IX; 50, II, III,
IV, VI
National Park Service 36, I
National Railroad Adjustment Board 29, III
National Railroad Passenger Corporation (AMTRAK) 49, VII
National Science Foundation 45, VI; 48, 25
National Security Council 32, XXI
National Security Council and Office of Science and Technology Policy
47, II
National Telecommunications and Information Administration 15, XXIII;
47, III
National Transportation Safety Board 49, VIII
Office of Navajo and Hopi Indian Relocation 25, IV
Navy Department 32, VI; 48, 52
Neighborhood Reinvestment Corporation 24, XXV
Nuclear Regulatory Commission 10, I
Occupational Safety and Health Administration 29, XVII
Occupational Safety and Health Review Commission 29, XX
Office of Independent Counsel 28, VII
Offices of Independent Counsel, Department of Justice 28, VI
Operations Office, Department of Agriculture 7, XXVIII
Overseas Private Investment Corporation 22, VII
Oversight Board 12, XV
Packers and Stockyards Administration 9, II
Panama Canal Commission 48, 35
Panama Canal Regulations 35, I
Patent and Trademark Office 37, I
Payment of Expenses Connected With the Death of Certain Employees 41,
303
Peace Corps 22, III
Pennsylvania Avenue Development Corporation 36, IX
Pension and Welfare Benefits Administration, Department of Labor 29,
XXV
Pension Benefit Guaranty Corporation 29, XXVI
Personnel Management, Office of 5, I; 45, VIII; 48, 17
Federal Employees Health Benefits Acquisition Regulation 48, 16
Postal Rate Commission 39, III
Postal Service, United States 39, I
Postsecondary Education, Office of 34, VI
President's Commission on White House Fellowships 1, IV
Presidential Documents 3
Prisons, Bureau of 28, V
Productivity, Technology and Innovation, Assistant Secretary
(Commerce) 37, IV
Property Management Regulations System, Federal 41, Subtitle C
Public Contracts, Department of Labor 41, 50
Public Health Service 42, I
Railroad Retirement Board 20, II
Reclamation Bureau 43, I
Reduction in Meeting and Training Allowance Payments 41, 304
Refugee Resettlement, Office of 45, IV
Regional Action Planning Commissions 13, V
Relocation Allowances 41, 302
Research and Special Programs Administration 49, I
Resolution Trust Corporation 12, XVI
Rural Electrification Administration 7, XVII
Rural Telephone Bank 7, XVI
Saint Lawrence Seaway Development Corporation 33, IV
Science and Technology Policy, Office of 32, XXIV
Science and Technology Policy, Office of, and National Security
Council 47, II
Secret Service 31, IV
Securities and Exchange Commission 17, II
Selective Service System 32, XVI
Small Business Administration 13, I; 48, 22
Smithsonian Institution 36, V
Social Security Administration 20, III; 45, IV
Soil Conservation Service 7, VI
Solar Energy and Energy Conservation Bank, Department of Housing and
Urban Development 24, XI
Soldiers' and Airmen's Home, United States 5, XI
Special Counsel, Office of 5, VIII
Special Education and Rehabilitative Services, Office of 34, III
State Department 22, I
Federal Acquisition Regulation 48, 6
Surface Mining and Reclamation Appeals, Board of 30, III
Susquehanna River Basin Commission 18, VIII
Technology Administration 15, XI
Tennessee Valley Authority 18, XIII
Thrift Supervision Office, Department of the Treasury 12, V
Trade Representative, United States, Office of 15, XX
Transportation, Department of 44, IV
Coast Guard 33, I; 46, I, III; 49, IV
Commercial Space Transportation, Office of 14, III
Contract Appeals Board 48, 63
Federal Acquisition Regulation 48, 12
Federal Aviation Administration 14, I
Federal Highway Administration 23, I, II; 49, III
Federal Railroad Administration 49, II
Maritime Administration 46, II
National Highway Traffic Safety Administration 23, II, III; 49, V
Research and Special Programs Administration 49, I
Saint Lawrence Seaway Development Corporation 33, IV
Secretary of Transportation, Office of 14, II; 49, Subtitle A
Urban Mass Transportation Administration 49, VI
Transportation, Office of, Department of Agriculture 7, XXXIII
Travel Allowance 41, 301
Travel and Tourism Administration, United States 15, XII
Treasury Department 17, IV
Alcohol, Tobacco and Firearms, Bureau of 27, I
Comptroller of the Currency 12, I
Customs Service, United States 19, I
Engraving and Printing, Bureau of 31, VI
Federal Acquisition Regulation 48, 10
Federal Law Enforcement Training Center 31, VII
Fiscal Service 31, II
Foreign Assets Control, Office of 31, V
Internal Revenue Service 26, I
Monetary Offices 31, I
Secret Service 31, IV
Secretary of the Treasury, Office of 31, Subtitle A
Thrift Supervision Office 12, V
United States Customs Service 19, I
Truman, Harry S. Scholarship Foundation 45, XVIII
Under Secretary for Technology, Department of Commerce 37, V
United States and Canada, International Joint Commission 22, IV
United States Arms Control and Disarmament Agency 22, VI
United States Customs Service 19, I
United States Fish and Wildlife Service 50, I, IV
United States Information Agency 22, V; 48, 19
United States International Development Cooperation Agency 22, XII
United States International Trade Commission 19, II
United States Postal Service 39, I
United States Soldiers' and Airmen's Home 5, XI
United States Trade Representative, Office of 15, XX
United States Travel and Tourism Adminstration 15, XII
Urban Mass Transportation Administration 49, VI
Veterans Affairs Department 38, I; 48, 8
Veterans' Employment and Training, Office of the Assistant Secretary
for 41, 61; 20, IX
Vice President of the United States, Office of 32, XXVIII
Vocational and Adult Education, Office of 34, IV
Wage and Hour Division 29, V
Water Resources Council 18, VI
Workers' Compensation Programs, Office of 20, I
World Agriculture Outlook Board 7, XXXVIII
49 CFR 850.35 49 CFR (10-1-91 Edition)
49 CFR 850.35 List of CFR Sections Affected
49 CFR 850.35 List of CFR Sections Affected
All changes in this volume of the Code of Federal Regulations which
were made by documents published in the Federal Register since January
1, 1986, are enumerated in the following list. Entries indicate the
nature of the changes effected. Page numbers refer to Federal Register
pages. The user should consult the entries for chapters and parts as
well as sections for revisions.
For the period before January 1, 1986, see the ''List of CFR Sections
Affected, 1949-1963, 1964-1972, and 1973-1985,'' published in seven
separate volumes.
49 CFR 850.35 1986
49 CFR
51 FR
Page
Chapter IV
420 -- 424 (Subchapter A) Removed 22813
420 Removed 22813
421 Removed 22813
422 Removed 22813
423 Removed 22813
424 Removed 22813
Chapter V
501 Revised 12707
509.2 Table amended 29555
531 Authority citation revised 35620
531.5 (b) introductory text republished; (b)(2) revised 12856
(a) revised 35620
533.5 (a) Table II and (d) revised 15346
541 Petitions denied 8831
Appendix A added 11920
Appendix A revised; Appendixes A-I and A-II added 42578
543 Added 713
565 Petition denied 11309
571 Authority citation revised 9456
571.106 Amended 605, 16697
571.108 Amended 9456, 16327, 24153, 28239, 40981
Corrected 11310, 18795, 22285, 35222, 35357
Amended; eff. in part 11-3-86 16849
571.109 Amended 16520
571.115 Petition denied 11309
571.116 Amended 16698
571.208 Amended (eff. date pending in part) 9810
Corrected 12856
Amended 21914, 31771, 37033
Amended; eff. 10-23-86 26710
571.209 Amended 9813, 31774
571.210 Amended 9813, 29555
571.213 Amended 5339
572 Authority citation revised 26701
572.30 -- 572.36 (Subpart E) Added; eff. 10-23-86 26701
573 Authority citation revised 398
573.6 Revised 398
585 Added 9813
585.4 Revised 37033
585.5 (b)(1) revised 37033
Chapter VI
635.3 (c) revised 36403
661.6 Added 22286
661.12 Added 22286
661.13 (b) revised 22287
Chapter VIII
807 Added 4579
807.103 Corrected 7543
807.150 (c) corrected 7543
807.170 (c) revised 4579
845 Authority citation revised 7278
845.13 (a) amended 7278
49 CFR 850.35 1987
49 CFR
52 FR
Page
Chapter V
509.2 Revised (OMB numbers) 29858
533.5 (a) Table II revised 6575
543 Revised; eff. 10-8-87 33829
544 Added 76
567.4 (g)(5)(ii) revised 28562
571.100 Added 7151
571.101 Amended; eff. in part 9-1-89 3247
Amended 7157, 19874, 33417
571.105 Amended 19874
571.106 Petition denied 46479
571.108 Corrected 4774
Amended; eff. 10-14-87 34655
Amended 38428
Petition denied 46480
Heading and text corrected 48691
571.112 Amended; eff. 10-23-87 35710
571.121 Amended 20605
571.204 Revised 44897
571.207 Amended 7868
571.208 Amended 10103, 44908
Corrected 36423
Petition denied 42440
571.209 Amended 44912
(d) revised 6576
575 Authority citation revised 27810
575.6 (a) amended; authority citation removed 27810
575.7 Authority citation removed 27810
575.104 Authority citation removed 27810
Chapter VI
604 Revised 11933
622.101 (Subpart A) Revised; eff. 11-27-87 32660
630 Revised; eff. 10-26-87 36186
Chapter VII
701 Authority citation revised 15321
701.2 (b) amended 15321
701.3 (a) amended; (b) revised 15321
701.4 (a)(4) and (d) revised; (c) amended; (e) added 15321
701.7 Revised 15321
(e)(1) amended 31407
Chapter VIII
830.5 (a) (6) and (7) added 30371
Chapter IX
Chapter removed 12916
901 Removed 12916
903 Removed 12916
932 Removed 12916
49 CFR 850.35 1988
49 CFR
53 FR
Page
Chapter V
501 Revised 26258
510.4 Revised 26261
511 Authority citation revised 15782
511.3 (a) (9) and (11) revised; (a) (13) and (14) added 15782
511.14 (a) revised 15782
511.16 (a) revised 15783
511.17 Revised 15783
511.26 (h) revised 15783
511.31 (h) revised 15783
511.35 (e)(2) revised 15783
511.38 (b) revised 15783
(b), (d) and (f) revised 26261
511.42 (e) revised 15783
511.48 Revised 15783
511.67 Revised 15783
511.73 (b) revised 15783
511.75 (a) revised 15784
511.78 (e)(1), (2)(ii), (3), (4) and (5) revised 15784
531.5 (a) table revised 39302
533.5 (a) Table II and (d) revised 11090
541 Appendix A revised; Appendix A-I removed; Appendix A-II
redesignated as Appendix A-I and revised 134
Appendix A amended 13274
544 Appendixes A and B revised 1638
Appendixes A and B revised; eff. 10-11-88 35074
565 Authority citation revised 1034
565.4 (b) Table I revised 1034
566.6 Corrected 20119
571 Petition denied 50221
571.105 Amended 8200
571.108 Petition denied 9944, 17053
Amended 31009
Corrected 33898
571.109 Amended 17951
571.116 Amended; eff. 12-27-88 24276
571.118 Amended; eff. in part 12-21-88 23769
571.121 Amended 7937,
8201, 30681, 35076
571.207 Corrected 30434
571.208 Petitions denied 5579
Amended 8764
Amended; eff. 1-3-89 25343
Corrected 27106
571.209 Petitions denied 5579
571.213 Amended 1784
571.218 Amended; eff. 10-3-88 11288
Appendix corrected 12529
571.301 Amended 8204, 49990
572.31 (a) introductory text republished; (a) (1) and (3) and (b)
revised 8764
572.33 (b)(1)(i) revised 8765
572.34 (a), (b), and (c)(2) revised 8765
572.35 (b) revised 8765
572.36 (b) through (f) and (h) revised 8765
575.104 (g) Table 1 revised 17952
580 Revised; eff. in part 4-29-89 29476
585 Authority citation revised 30434
Chapter VI
604.9 (b) (5), (6), and (7) added 53355
604 Appendixes A and B added 53355
653 Added 47174
661 Authority citation revised 618
661.7 Appendix A revised 618
Chapter VII
701.8 Added 5581
Chapter VIII
830 Revised; eff. 10-24-88 36982
831 Revised 15847
840.3 Revised 49152
49 CFR 850.35 1989
49 CFR
54 FR
Page
Chapter V
501.8 (f) introductory text, (1) and (g) revised 14814
512 Revised 48895
531 Petition denied 22899
531.5 (b) introductory text republished; (b)(2) revised 42304
541 Appendix A revised 13069
Appendix A-I revised 13069
Appendixes A and A-I revised 38685
Appendix A-II added 38685
Petition denied 24344
541 Appendix A-II amended 52033
544 Appendixes A and B revised 46253
565.2 Amended 41844
567 Authority citation revised 46256
567.4 (k)(4)(i) revised; (l) added 46256
571.5 (b)(6) redesignated as (b)(7); new (b)(6) added 20083
571.102 Amended 29045
571.105 Amended 22905
Amended; eff. 9-1-91 40082
571.108 Amended; eff. in part 12-1-89 20071
Amended 21624,
27368, 30224, 31841
Amended; interim 31688
Tables I, II, III, and IV amended 20082
Amended 49297, 53070
571.109 Section and Appendix A amended 38386
571.115 Amended 41844, 46257
571.119 Amended 38386
571.120 Amended 38386
571.121 Amended 18899-18903, 25462
Amended; eff. 9-1-91 40083
571.202 Amended; eff. 11-9-89 39187
571.208 Amended; eff. 12-4-89 23988
CFR correction 24557
Amended; eff. 12-11-89 25278
Amended; eff. 1-8-90 29042
Amended 29049, 32346
Amended; eff. in part 9-1-91 46266
571.210 Amended; eff. 12-11-89 25278
Amended 46268
571.222 Amended 46268
575.2 (c) amended 48749
575.6 (a) redesignated as (a)(1); (a)(2) added 48749
580 Petition granted 980,
981, 982, 8747, 8748, 8749, 8750, 11729, 11730-11733, 15197-15205,
17950-17956, 18507-18516
Petition denied 9816
580.3 Amended 35887
580.4 (d) revised 7773
Revised; interim 9814
Revised 35887
580.5 (h) revised; interim 9814
(c), (f), and (h) amended 35887
580.6 Introductory text and (a) revised; (c) added 35888
580.8 (c) added; interim 9815
(c) revised 35888
580.13 Added; interim 9815
Revised 35888
(f) revised 40083
580.14 Added; interim 9815
Revised 35888
580.15 Added; interim 9816
Revised 35889
580.16 Added 35889
580 Appendix E added; interim 9816
Appendix E amended 35889
591 Added; eff. 1-31-90 40078
592 Added; eff. 10-30-89 40090
592.5 (c) and (d) amended 47088
592.6 (a) amended; second (b) redesignated in part as (c) and (c)
through (i) redesignated as (d) through (j) 47088
592.8 (g) amended 47088
593 Added; eff. 10-30-89 40099
594 Added 40107
Chapter VI
633 Added; eff. 10-2-89 36711
665 Added; interim; eff. 10-1-89 to 9-30-90 35162
665 Comment time delayed 49297
Chapter VIII
800.25 (c) revised 10331
800.28 (c) revised 10331
805.735-2 Revised 10332
821.14 (c) revised 12203
821.33 (a) introductory text republished; (a)(1) revised 12203
821.50 (e) revised 12203
826 Authority citation revised 10332
826.4 (b) (1), (2) and (5) revised 10332
49 CFR 850.35 1990
49 CFR
55 FR
Page
Chapter V
501.8 (d)(2) amended 26208
531.5 (b) introductory text republished; (b)(7) revised; (b)(8) and
(9) added 12486
(b) introductory text republished; (b)(11) added 34018
(b) introductory text republished; (b)(2) revised; eff. 10-11-90
37326
533.5 (a) Table III and (e) added 12497
538 Added 17616
541 Appendixes A through A-II revised 37327
544.3 Revised 25609
544.6 (a)(2) revised 25610
544 Appendix C added 25610
571.108 Safety standard evaluation plan 1586
Amended 4429, 13139, 21039, 46670
Amended; eff. in part 12-1-90 20161
Figure 8 revised; figures 24 through 26 added 13141
Corrected; CFR correction 19630
Regulation at 55 FR 20161 effective date delayed to 12-1-91 50184
Amended; eff. 12-1-91 50184
571.109 Amended 41191,49620-49622
571.110 Amended 29589
571.114 Amended; eff. 9-1-92 21875
571.116 Amended 37329
571.120 Amended 29589
571.121 Amended 33320, 48850
571.129 Added 29590
Figures 1 and 2 added 29594
571.208 Amended 18892, 21876
Amended; eff. 1-28-91 and 9-1-91 30918
Amended; interim 39284
571.210 Amended; eff. in part 9-1-92 17983
Amended; eff. 9-1-92 24241
571.213 Amended 30467
571.214 Amended 45752
572.16 (a) and (b) revised 30468
572.17 (a) revised 30468
572.21 (a), (b), and (c) revised 30468
572.40 -- 572.44 (Subpart F) Added 45766
574.4 Amended 29596
574.5 Amended 29596
574.6 Revised 29596
575.104 (d)(2)(i) revised; eff. 11-15-91 47771
(e) revised 47771
Effective date and (e)(2)(viii)(F)(2) corrected 49478
(f)(2)(viii) amended; Table 1 revised 49622
Table 2 revised 49623
580 Petitions denied 6257
586 Added 45769
587 Added 45779
591 Authority citation and heading revised 11378
591.1 Revised 11378
591.2 Revised 11378
591.3 Revised 11378
591.4 Amended 3747
Introductory text revised 11378
591.5 (b), (e), (f)(1) and (j) amended; (h) and (j)(5) revised 3747
Introductory text republished; (a), (b), (c), (d) introductory text,
(e), (f) introductory text, (1), (g) introductory text, (h) introductory
text, (i)(2), and (j) introductory text revised; (g)(5), (6), and (7),
and (k) added 11378
(b) and (h) introductory text amended 17439
591.6 (f) amended; (g) added 3747
(c) and (g) amended 6994
(c) revised 11379
591.7 (c) removed 6994
591.8 Added 11379
591.9 Added 11380
591 Appendix A added 11380
Appendix B added 11381
592.5 (a)(1) amended 37330
592.8 (b) amended 37330
593.5 (b)(2) amended 37330
593.7 (g) redesignated as (f) 37330
594.3 Revised 40667
594.5 (c), (d), (e), and (g) revised 40667
594.6 (a) introductory text corrected 78
(a), (b), (d), (h) and (i) amended 40667
594.7 (e) revised; (f) added 40667
594.8 Revised 40667
594.9 Revised 40667
Chapter VI
604.11 (b)(3) revised 34932
653 Suspended 2527
665.3 Revised; interim 41176
665.5 Amended; interim 41176
665.11 (b)(3) revised; interim 41176
Chapter VIII
835 Revised 41541
49 CFR 850.35 1991
49 CFR
56 FR
Page
Chapter V
531.5 (b) introductory text republished; (b)(11) revised 20363
(b) introductory text republished; (b)(11) revised 37479
533 Petition denied 15839
533.5 (a) Table III revised 13784
541 Appendix A amended 4737
Appendix A revised 43712
Appendixes A-1 and A-2 revised 43713
544 Appendixes A, B and C revised 12463
567.2 (b) revised 22356
567.4 (g)(1) introductory text and (l)(1) amended 22356
571 Petition denied 13784
Policy statement 43556
571.3 Amended; eff. 9-1-92 38086
571.102 Amended 12471
571.106 Amended 7591
571.108 Amended 10188, 12124, 12464, 26344, 26345
Amended; eff. 9-1-93 16020, 16021
571.109 Figure 1 Table revised 6289
Table II corrected 11589
571.110 Amended 19311
571.114 Amended; eff. 9-1-92 12468
571.116 Amended 11110-11112, 49427
571.118 Revised; eff. 9-1-92 15294
571.120 Amended 19311
571.121 Amended 21619, 49427
Amended; eff. 12-9-91 26931, 26933
571.129 Amended 19312
571.131 Added; eff. 9-1-92 20370
571.201 Amended 26039
571.205 Amended 12674, 18531
Corrected 49149
571.208 Amended 3223, 8283, 12484, 15299, 19307, 26042
571.209 Amended 15299
571.214 Amended; eff. 9-1-93 27437
Corrected 47008, 47011
Figure 2 correctly revised 47009
Figure 3 correctly revised 47010
571.216 Amended; eff. 9-1-93 15517
572.44 (c) corrected 47011
572.80 -- 572.86 (Subpart J) Added; eff. 2-15-92 41080
575.104 Table 1 and Table 2 corrected 11589
(d)(2)(i) revised; eff. 9-1-93; (e)(1) and (2)(i) through (viii)
revised; effective to 8-31-93 26772
(e)(1) and (2)(i) through (viii) revised; eff. 9-1-93 26773
(e)(2)(ix)(F) revised; eff. 9-1-93 26774
Appendix A amended; eff. 12-16-91 47012
574 Authority citation revised 49427
574.7 (a) revised 49427
574.8 (a)(3) revised 49427
580.3 Amended; eff. 10-21-91 47686
580.5 (c) introductory text revised; eff. 6-22-92 47686
580.11 (a) and (c) revised; eff. 10-21-91 47686
580.13 (f) revised; eff. 10-21-91 47686
585.1 Revised 12486
585.2 Revised 12486
585.3 Revised 12486
585.4 Revised 12486
585.5 Revised 12486
585.6 Revised 12487
586.6 Correctly revised 47011
587.6 (c) correctly revised 47011
594.6 (a), (b), (d), (h) and (i) amended 49429
594.7 (e) amended 49429
594.9 (c) revised 49429
Chapter VI
661 Revised 932
663 Added; eff. 10-24-91 48395
665.3 Amended 46573
49
Transportation
PARTS 400 TO 999
Revised as of October 1, 1991
CONTAINING
A CODIFICATION OF DOCUMENTS
OF GENERAL APPLICABILITY
AND FUTURE EFFECT
AS OF OCTOBER 1, 1991
With Ancillaries
Published by
the Office of the Federal Register
National Archives and Records
Administration
as a Special Edition of
the Federal Register
49 CFR 850.35 Table of Contents
Page
Explanation v
Title 49:
Subtitle B -- Other Regulations Relating to Transportation --
Continued:
Chapter IV -- Coast Guard, Department of Transportation
Chapter V -- National Highway Traffic Safety Administration,
Department of Transportation
Chapter VI -- Urban Mass Transportation Administration, Department of
Transportation
Chapter VII -- National Railroad Passenger Corporation (AMTRAK)
Chapter VIII -- National Transportation Safety Board
Finding Aids:
Material Approved for Incorporation by Reference
Table of CFR Titles and Chapters
Alphabetical List of Agencies Appearing in the CFR
List of CFR Sections Affected
49 CFR 850.35 Explanation
The Code of Federal Regulations is a codification of the general and
permanent rules published in the Federal Register by the Executive
departments and agencies of the Federal Government. The Code is divided
into 50 titles which represent broad areas subject to Federal
regulation. Each title is divided into chapters which usually bear the
name of the issuing agency. Each chapter is further subdivided into
parts covering specific regulatory areas.
ISSUE DATES
Each volume of the Code is revised at least once each calendar year
and issued on a quarterly basis approximately as follows:
Title 1 through Title 16 as of January 1
Title 17 through Title 27 as of April 1
Title 28 through Title 41 as of July 1
Title 42 through Title 50 as of October 1
The appropriate revision date is printed on the cover of each volume.
LEGAL STATUS
The contents of the Federal Register are required to be judicially
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie
evidence of the text of the original documents (44 U.S.C. 1510).
HOW TO USE THE CODE OF FEDERAL REGULATIONS
The Code of Federal Regulations is kept up to date by the individual
issues of the Federal Register. These two publications must be used
together to determine the latest version of any given rule.
To determine whether a Code volume has been amended since its
revision date (in this case, October 1, 1991), consult the ''List of CFR
Sections Affected (LSA),'' which is issued monthly, and the ''Cumulative
List of Parts Affected,'' which appears in the Reader Aids section of
the daily Federal Register. These two lists will identify the Federal
Register page number of the latest amendment of any given rule.
EFFECTIVE AND EXPIRATION DATES
Each volume of the Code contains amendments published in the Federal
Register since the last revision of that volume of the Code. Source
citations for the regulations are referred to by volume number and page
number of the Federal Register and date of publication. Publication
dates and effective dates are usually not the same and care must be
exercised by the user in determining the actual effective date. In
instances where the effective date is beyond the cut-off date for the
Code a note has been inserted to reflect the future effective date. In
those instances where a regulation published in the Federal Register
states a date certain for expiration, an appropriate note will be
inserted following the text.
OMB CONTROL NUMBERS
The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires Federal
agencies to display an OMB control number with their information
collection request. Many agencies have begun publishing numerous OMB
control numbers as amendments to existing regulations in the CFR. These
OMB numbers are placed as close as possible to the applicable
recordkeeping or reporting requirements.
OBSOLETE PROVISIONS
Provisions that become obsolete before the revision date stated on
the cover of each volume are not carried. Code users may find the text
of provisions in effect on a given date in the past by using the
appropriate numerical list of sections affected. For the period before
January 1, 1986, consult either the List of CFR Sections Affected,
1949-1963, 1964-1972, or 1973-1985, published in seven separate volumes.
For the period beginning January 1, 1986, a ''List of CFR Sections
Affected'' is published at the end of each CFR volume.
INCORPORATION BY REFERENCE
What is incorporation by reference? Incorporation by reference was
established by statute and allows Federal agencies to meet the
requirement to publish regulations in the Federal Register by referring
to materials already published elsewhere. For an incorporation to be
valid, the Director of the Federal Register must approve it. The legal
effect of incorporation by reference is that the material is treated as
if it were published in full in the Federal Register (5 U.S.C. 552(a)).
This material, like any other properly issued regulation, has the force
of law.
What is a proper incorporation by reference? The Director of the
Federal Register will approve an incorporation by reference only when
the requirements of 1 CFR part 51 are met. Some of the elements on
which approval is based are:
(a) The incorporation will substantially reduce the volume of
material published in the Federal Register.
(b) The matter incorporated is in fact available to the extent
necessary to afford fairness and uniformity in the administrative
process.
(c) The incorporating document is drafted and submitted for
publication in accordance with 1 CFR part 51.
Properly approved incorporations by reference in this volume are
listed in the Finding Aids at the end of this volume.
What if the material incorporated by reference cannot be found? If
you have any problem locating or obtaining a copy of material listed in
the Finding Aids of this volume as an approved incorporation by
reference, please contact the agency that issued the regulation
containing that incorporation. If, after contacting the agency, you
find the material is not available, please notify the Director of the
Federal Register, National Archives and Records Administration,
Washington DC 20408, or call (202) 523-4534.
CFR INDEXES AND TABULAR GUIDES
A subject index to the Code of Federal Regulations is contained in a
separate volume, revised annually as of January 1, entitled CFR Index
and Finding Aids. This volume contains the Parallel Table of Statutory
Authorities and Agency Rules (Table I), and Acts Requiring Publication
in the Federal Register (Table II). A list of CFR titles, chapters, and
parts and an alphabetical list of agencies publishing in the CFR are
also included in this volume.
An index to the text of ''Title 3 -- The President'' is carried
within that volume.
The Federal Register Index is issued monthly in cumulative form.
This index is based on a consolidation of the ''Contents'' entries in
the daily Federal Register.
A List of CFR Sections Affected (LSA) is published monthly, keyed to
the revision dates of the 50 CFR titles.
REPUBLICATION OF MATERIAL
There are no restrictions on the republication of material appearing
in the Code of Federal Regulations.
INQUIRIES AND SALES
For a summary, legal interpretation, or other explanation of any
regulation in this volume, contact the issuing agency. Inquiries
concerning editing procedures and reference assistance with respect to
the Code of Federal Regulations may be addressed to the Director, Office
of the Federal Register, National Archives and Records Administration,
Washington, DC 20408 (telephone 202-523-3517). Sales are handled
exclusively by the Superintendent of Documents, Government Printing
Office, Washington, DC 20402 (telephone 202-783-3238).
Martha L. Girard,
Director,
Office of the Federal Register.
October 1, 1991.
49 CFR 850.35 THIS TITLE
Title 49 -- Transportation is composed of seven volumes. The parts
in these volumes are arranged in the following order: Parts 1-99, parts
100-177, parts 178-199, parts 200-399, parts 400-999, parts 1000-1199,
part 1200 to End. The first volume (parts 1-99) contains current
regulations issued under subtitle A -- Office of the Secretary of
Transportation; the second volume (parts 100-177) and the third volume
(parts 178-199) contain the current regulations issued under chapter I
-- Research and Special Programs Administration (DOT); the fourth
volume (parts 200-399) contains the current regulations issued under
chapter II -- Federal Railroad Administration (DOT), and chapter III --
Federal Highway Administration (DOT); the fifth volume (parts 400-999)
contains the current regulations issued under chapter IV -- Coast Guard
(DOT), chapter V -- National Highway Traffic Safety Administration
(DOT), chapter VI -- Urban Mass Transportation Administration (DOT),
chapter VII -- National Railroad Passenger Corporation (AMTRAK), and
chapter VIII -- National Transportation Safety Board; the sixth volume
(parts 1000-1199) and the seventh volume (part 1200 to End) both contain
current regulations issued under chapter X -- Interstate Commerce
Commission. The contents of these volumes represent all current
regulations codified under this title of the CFR as of October 1, 1991.
In the volume containing parts 100-177, see 172.101 for the
Hazardous Materials Table, and 172.102 for the Optional Hazardous
Materials Table. An Identification Number Cross Reference Index to
Proper Shipping Names in 172.101 and 172.102 appears at the beginning
of part 172. Part 325 and parts 350-399 of chapter III contain a
Subject Index to the Federal Motor Carrier Safety Regulations and
related regulations. The Federal Motor Vehicle Safety Standards appear
in part 571.
Redesignation tables for chapter X -- Interstate Commerce Commission
appear in the Finding Aids section of the sixth and seventh volumes.
For this volume Kent H. Giles was the Chief Editor. The Code of
Federal Regulations publication program is under the direction of
Richard L. Claypoole, assisted by Alomha S. Morris.
49 CFR 0.0 49 CFR Ch. X (10-1-91 Edition)
49 CFR 0.0 Interstate Commerce Commission
49 CFR 0.0 Title 49 -- Transportation
49 CFR 0.0 (This book contains parts 1000 to 1199)
SUBTITLE B -- Other Regulations Relating to Transportation --
Continued:
Part
chapter x -- Interstate Commerce Commission 1000
49 CFR 0.0 49 CFR Ch. X (10-1-91 Edition)
49 CFR 0.0 Interstate Commerce Commission
49 CFR 0.0 Subtitle B -- Other Regulations Relating to Transportation -- Continued
49 CFR 0.0 49 CFR Ch. X (10-1-91 Edition)
49 CFR 0.0 Interstate Commerce Commission
49 CFR 0.0 CHAPTER X -- INTERSTATE COMMERCE
49 CFR 0.0 COMMISSION
49 CFR 0.0
49 CFR 0.0 Subchapter A -- General Rules and Regulations
49 CFR 0.0 PARTS 1000-1019 -- GENERAL PROVISIONS
Part
Page
1000 The Commission
1001 Inspection of records
1002 Fees
1003 List of forms
1004 Interpretations and routing regulations
1005 Principles and practices for the investigation and voluntary
disposition of loss and damage claims and processing salvage
1007 Records containing information about individuals
1008 Procedures governing the processing, investigation, and
disposition of overcharge, duplicate payment, or overcollection claims
1011 Commission organization; delegations of authority
1012 Meetings of the Commission
1013 Guidelines for the proper use of voting trusts
1014 Enforcement of nondiscrimination on the basis of handicap in
programs or activities conducted by the Interstate Commerce Commission
1016 Special procedures governing the recovery of expenses by parties
to Commission adjudicatory proceedings
1017 Debt collection -- collection by offset from indebted government
and former government employees
49 CFR 0.0
49 CFR 0.0 PARTS 1020-1029 -- ENFORCEMENT
1020 Examination of records and accounts by agents of Commission
1021 Administrative collection of enforcement claims
1022 Cooperative agreements with States
1023 Standards for registration of certificates and permits with
States
49 CFR 0.0
49 CFR 0.0 PARTS 1030-1039 -- CARRIERS SUBJECT TO PART I, INTERSTATE
COMMERCE ACT
1030 Filing of contracts by common carriers
1033 Car service
1034 Routing of traffic
1035 Bills of lading
1037 Rules for the handling of bulk grain and grain products in
interstate commerce, and the filing, investigation, and disposition of
claims for loss and damage incident thereto, which supersede the rules
prescribed in Ex Parte No. 263, loss and damage claims, 340 I.C.C. 515
(37 FR 20943)
1039 Exemptions
49 CFR 0.0
49 CFR 0.0 PARTS 1040-1069 -- MOTOR CARRIERS -- BROKERS -- GENERAL
1043 Surety bonds and policies of insurance
1044 Designation of process agent
1045 Brokers of property
1047 Exemptions
1048 Commercial zones
1049 Terminal areas
1051 Receipts and bills
1052 Handling of c.o.d. shipments
1053 Contracts for transportation of property
1054 Incidental charter rights
1055 Discrimination in operations of interstate motor common carriers
of passengers
1056 Transportation of household goods in interstate or foreign
commerce
1057 Lease and interchange of vehicles
1058 Identification of vehicles
1061 Limitation of smoking on interstate passenger carrier vehicles
1063 Adequacy of intercity motor common carrier passenger service
1064 Notice of and procedures for baggage excess value declaration
1067 Fitness procedures
49 CFR 0.0
49 CFR 0.0 PARTS 1070-1079 -- WATER CARRIERS -- GENERAL
1070 Harbors
1071 Exemption of water carrier operations
49 CFR 0.0
49 CFR 0.0 PARTS 1080-1089 -- FREIGHT FORWARDERS -- GENERAL
1081 Bills of lading
1084 Surety bonds and policies of insurance
49 CFR 0.0
49 CFR 0.0 PARTS 1090-1099 -- INTERMODAL TRANSPORTATION
1090 Practices of carriers involved in the intermodal movement of
containerized freight
1091 Alaskan motor-ocean-motor (AMOM) substituted service
49 CFR 0.0
49 CFR 0.0 Subchapter B -- Rules of Practice
49 CFR 0.0 PARTS 1100-1129 -- RULES OF GENERAL APPLICABILITY
1100 General provisions
1101 Definitions and construction
1102 Communications
1103 Practitioners
1104 Filing with the commission-copies-verification-service-pngs,
generally
1105 Procedures for implementation of Environmental Laws
1106-1109 (Reserved)
1110 Procedures governing informal rulemaking proceedings
1111 Complaint and investigation procedures
1112 Modified procedures
1113 Oral hearing
1114 Evidence; discovery
1115 Appellate procedures
1116 Oral argument before the Commission
1117 Petitions (for relief) not otherwise covered
1118 Procedures in informal proceedings before certain employee
boards
1119 Compliance with Commission decisions
1120 Use of 1977-1978 study of motor carrier platform handling
factors
1121 Rail exemption procedures
1122-1129 (Reserved)
49 CFR 0.0
49 CFR 0.0 PARTS 1130-1149 -- RATE PROCEDURES
1130 Informal complaints
1131 Formal rate complaints, rail intrastate petitions and
investigations
1132 Protests against tariffs; procedures in certain suspension and
long and short haul restriction matters
1133 Recovery of damages
1134 Procedures for the elimination of discrimination against
recyclables
1135 Railroad cost recovery procedures
1136 Rail passenger carrier commutation or suburban fare increases
1137 Procedures relating to Railroad Revitalization and Regulatory
Reform Act of 1976
1138 Procedures for requesting costs and revenues from rail carriers
cancelling the application of a joint rate pursuant to 49 U.S.C. section
10705a(c)
1139 Procedures in motor carrier revenue proceedings
1140 Reasonably expected costs under 49 U.S.C. 10705a
1141 Procedures to calculate interest rates
1142 Special rules for filing and handling complaints against bus
rates and fares under the zone of rate freedom (49 U.S.C. 10708(d)(4),
10708(d)(5), 10708(e), section 11 of the Bus Regulatory Reform Act of
1982)
1143 Preemption of State jurisdiction; passenger rates
1144 Intramodal rail competition
1145 Railroad rates on recyclable commodities
1146-1149 (Reserved)
49 CFR 0.0
49 CFR 0.0 PARTS 1150-1174 -- LICENSING PROCEDURES
49 CFR 0.0 PARTS 1150-1159 -- RAIL LICENSING PROCEDURES
1150 Certificate to construct, acquire, or operate railroad lines
1151 Feeder railroad development program
1152 Abandonment and discontinuance of rail lines and rail
transportation under 49 U.S.C. 10903
1153 Train or ferry discontinuance or change of operation
1154 Determination of avoidable losses
1155 Standards for determining rail service continuation subsidies
1156 Submission of cost data to justify reimbursement for directed
service
1157 Standards for determining commuter rail service continuation
subsidies
1158-1159 (Reserved)
49 CFR 0.0 PARTS 1160-1174 -- NONRAIL LICENSING PROCEDURES
1160 Rules governing applications for operating authority
1161 Issuance under 49 U.S.C. 10931 of certificates of registration
to single-state motor carriers
1162 Temporary authority (TA) and emergency temporary authority (ETA)
procedures under 49 U.S.C. 10928
1163 Temporary operating authorities and approvals
1164 Owner-operator food transportation
1166 Extension of operations by water common carrier
1167 Compensated intercorporate hauling
1169 Preemption of State jurisdiction: passenger exit
1170 Employee protection for motor passenger carriers
1171 Rules governing applications for certificates of registration by
foreign motor carriers and foreign motor private carriers under 49
U.S.C. 10530
1172-1174 (Reserved)
49 CFR 0.0 PARTS 1175-1199 -- FINANCE PROCEDURES
49 CFR 0.0 PARTS 1175-1179 -- SECURITIES, SECURITY INTERESTS, AND
FINANCIAL STRUCTURES
1175 Exempt issuance of securities and assumption of obligations
1176 (Reserved)
1177 Recordation of documents
1178-1179 (Reserved)
49 CFR 0.0 PARTS 1180-1189 -- COMBINATIONS AND OWNERSHIP
1180 Railroad acquisition, control, merger, consolidation project,
trackage rights, and lease procedures
1181 Transfers of operating rights under 49 U.S.C. 10926
1182 Purchase, merger, and control of motor passenger carriers and
water carriers
1184 Motor carrier pooling operations
1185 Interlocking officers
1186 Exemption of certain transactions under 49 U.S.C. 11343
1187 Temporary authority in motor and water carrier finance
proceedings
1188 Gross operating revenues of carriers involved in finance
proceedings
1189-1199 (Reserved)
49 CFR 0.0
49 CFR 0.0 49 CFR Ch. X (10-1-91 Edition)
49 CFR 0.0 Interstate Commerce Commission
49 CFR 0.0 SUBCHAPTER A -- GENERAL RULES AND REGULATIONS
49 CFR 0.0 PARTS 1000-1019 -- GENERAL PROVISIONS
49 CFR 0.0 PART 1000 -- THE COMMISSION
49 CFR 0.0 Subpart A -- General
Sec.
1000.1 Description of official seal.
1000.5 Credentials required by special agents, accountants, and
examiners.
1000.10 Availability of statements of policy, interpretations, and
other matters not required to be published in the Federal Register.
49 CFR 0.0 Subpart B -- Canons of Conduct
1000.735-11 General standard of conduct.
1000.735-12 Interpretation and advisory service.
1000.735-13 Prohibited financial interests
1000.735-14 Disqualifying interests.
1000.735-15 Gifts, entertainment, and favors.
1000.735-16 Disclosure and misuse of information.
1000.735-17 Outside employment and other activity.
1000.735-18 Future employment.
1000.735-19 Ex parte communication.
1000.735-20 Use of Federal property.
1000.735-21 Use of intoxicants.
1000.735-22 Prohibited conduct.
1000.735-23 Intermediaries.
1000.735-24 Gambling, betting, and lotteries.
1000.735-25 Miscellaneous statutory provisions.
1000.735-26 Statements of employment and financial interests.
1000.735-27 Review of statements of employment and financial
interests.
1000.735-28 Disclosure of employment of parent, spouse, child, or
other relative.
1000.735-29 Specific provisions governing special Government
employees.
1000.735-30 Sexual harassment.
1000.735-31 Disciplinary and other remedial action.
Appendix -- Miscellaneous Statutory Provisions
49 CFR 0.0 Subpart C -- Additional Canons of Conduct for Members
1000.736-1 General policy.
1000.736-2 Maintaining independence.
1000.736-3 Official duties.
1000.736-4 Extra-official activities.
1000.736-5 Qualification to participate.
49 CFR 0.0 Subpart D -- Administrative Enforcement of Improper
Post-Employment Activity
1000.737-1 General.
1000.737-2 Initiation of enforcement action.
1000.737-3 Review and investigation.
1000.737-4 Notice of proceeding and opportunity for a hearing.
1000.737-5 Presiding official.
1000.737-6 Time, date, and place of hearing.
1000.737-7 Hearing rights.
1000.737-8 Burden of proof.
1000.737-9 Hearing decision.
1000.737-10 Administrative sanctions.
1000.737-11 Judicial review.
49 CFR 0.0 Subpart A -- General
Authority: 49 U.S.C. 10303, 10321, 11144 and 11145.
Source: 32 FR 20004, Dec. 20, 1967, unless otherwise noted.
49 CFR 1000.1 Description of official seal.
(a) Description. A constellation of 13 stars above an American bald
eagle with wings displayed and inverted holding in his dexter talon an
olive branch and in his sinister a bundle of seven arrows, in his beak a
scroll inscribed ''E Pluribus Unum,'' bearing a shield paleways of 13
pieces argent and gules, a chief azure; all within an encircling
inscription ''Interstate Commerce Commission, 1887,'' and a decorative
outer border.
(b) Colors. When illustrated in color, the background is National
Flag blue, the eagle and olive branch proper, and the arrows, stars,
scroll and encircling inscription white. The motto is of the same blue
as the background, and the blue of the shield is a medium shade. The
outer border of the seal and the edge of the shield are gold color.
49 CFR 1000.5 Credentials required by special agents, accountants, and
examiners.
(a) Carrier records and property subject to inspection and
examination.
(1) Persons appointed as special agents, accountants, and examiners
of the Commission are authorized to enter upon, to inspect and examine
any and all lands, buildings, and equipment of carriers and other
persons subject to the Interstate Commerce Act and related Acts, and to
inspect and copy any and all accounts, books, records, memoranda,
correspondence, and other documents of carriers, and other persons
subject to the Act.
(2) Inspection or copying authority with respect to persons who
furnish railroad cars or protective service against heat or cold to or
on behalf of a carrier or an express company, shall be limited to
accounts, books, records, memoranda, correspondence, and other documents
which pertain or relate to cars or protective service.
(3) Carriers and other persons subject to the Act shall submit their
accounts, books, records, memoranda, correspondence, and other documents
for inspection and copying, and such carriers and other persons shall
submit their lands, buildings, and equipment for examination and
inspection, to any special agent, accountant, or examiner of the
Commission upon demand and the display of a Commission credential
identifying him as a special agent, accountant, or examiner.
(b) Definition of other persons subject to the Act. The term other
persons subject to the Act, as used in this section, includes:
(1) Brokers subject to part II of the Interstate Commerce Act,
freight forwarders subject to part IV of the Act, lessors of carrier
operating rights, receivers, trustees, administrators, executors, and
other persons having custody, possession, or control of barrier
operations or the business of other persons subject to the Act;
(2) Persons who furnish railroad cars or protective service against
heat or cold to or on behalf of railroads or express companies (but only
with respect to records pertaining to the cards or protective services
to be furnished);
(3) Associations of carriers or brokers subject to the Act which
perform any service or engage in any activities in connection with any
traffic, transportation, or facilities subject to the Act;
(4) And, to the extent specified in orders of the Commission issued
under section 5 of the Act, persons controlling two or more carriers.
(c) Definition of special agents, accountants, and examiners. The
duties of the following described employees or positions, and such other
employees of the Commission as the Chairman shall specify in writing,
include those of special agent, accountant or examiner, and they are
hereby authorized to inspect and copy records and to inspect and examine
lands, buildings, and equipment in the same manner and to the same
extent as special agents, accountants, and examiners:
Chairman
Vice Chairman
Commissioners
Bureau and Office Heads and Directors; Associate, Assistant and
Deputy Heads and Directors; Assistants to Heads and Directors; Chiefs
and Assistant Chiefs of Sections; and Branch Chiefs of all Headquarters
Bureaus, Offices and Sections
Public Information Officer and Assistant
Chairpersons of Employee Boards
Regional Directors
Assistant and Associate Regional Directors
Regional Counsel
Assistant Regional Counsel
Branch Chiefs, Field Offices
Trial Attorneys
Transportation Assistants and Consumer Specialists
Transportation Industry Analysts
Railroad Car Service Agents
District Supervisors
Auditors and Financial Analysts
Economists
Investigators
Administrative Law Judges
(d) Facsimile of the Commission's credentials:
(38 FR 7229, Mar. 19, 1973, as amended at 45 FR 80292, Dec. 4, 1980;
46 FR 30502, June 9, 1981)
49 CFR 1000.10 Availability of statements of policy, interpretations,
and other matters not required to be published in the Federal Register.
(a) The Interstate Commerce Commission, in performing its duties
under the Interstate Commerce Act, frequently formulates and adopts
statements of general policy, or interpretations of general
applicability, and other matters not required to be published in the
Federal Register in rendering decisions in proceedings involving the
operating rights, financial structures, or rates and practices of
brokers, electric railways, express companies, freight forwarders, motor
carriers, pipelines, private car companies, rail carriers, and water
carriers. Because such statements of policy and interpretations of
general applicability are scattered throughout more than 320,000 pages
in over 400 volumes of Commission reports and because such policies and
interpretations must be revised or repealed from time to time as
required by changing technology and economic conditions, it is not
feasible, and is wholly impractical, to state them separately and
publish them in the Federal Register. Further, to be fully understood,
such statements of general policy or interpretations of general
applicability must be read in context in the Commission's reports where
they are explained, revised, or repealed in relation to the factual
situations to which they are applicable. Notice is hereby given that
those portions of the printed reports of decisions of the Interstate
Commerce Commission which contain statements of general policy or
interpretations of general applicability are digested, arranged
topically, and indexed both in the multivolume set ''Interstate Commerce
Acts Annotated'' (supplemented monthly by the ''Advance Bulletin of
Interstate Commerce Acts Annotated'') and in the index-digests in the
backs of bound volumes of Interstate Commerce Commission reports. The
multivolume set, ''Interstate Commerce Acts Annotated'' and the three
series of Interstate Commerce Commission reports (i.e., I.C.C., M.C.C.
and Val. Rep.) are published and sold by the Government Printing Office,
and are sent free to Depository Libraries (44 U.S.C. 82), which include
all State libraries, two libraries in each congressional district, the
libraries of land grant colleges, and other libraries. Copies are also
available for public examination in the Interstate Commerce Commission
Library in Washington, D.C. The indexes in these publications are
maintained in compliance with the provision in 5 United States Code
552(a)(2). The ''Advance Bulletin of Interstate Commerce Acts
Annotated'' and recent reports, which have not yet been included in
published indexes, are available upon request from the Office of the
Secretary, Interstate Commerce Commission.
(b) Because of the large volume of reports, it is the policy of the
Commission to print for publication in bound volumes only reports of
those cases decided by the entire Commission or by a division thereof
and more significant reports of employee boards. With few exceptions,
reports and orders of employee boards are duplicated (''no print reports
and orders'') and distributed to the parties and made available to the
press. From time to time ''no print reports and orders'' are cited as
precedents in other cases. Therefore, notice is hereby given that
duplicated ''no print reports and orders'', are indexed by docket number
and title, and filed by subject matter and are available for public
inspection in the Section of Reference Services of the Commission in
Washington, DC. These indexes and files are maintained in compliance
with the provision in 5 United States Code 552(a)(2). Persons outside
Washington, DC, can obtain information about, or copies of, such
duplicated reports by writing to the Secretary of the Commission.
49 CFR 1000.10 Subpart B -- Canons of Conduct
Authority: Sec. 6, 36 Stat. 915, as amended, secs. 12, 20, 24
Stat. 383, as amended, 386 as amend, sec. 25, 41 Stat. 498, as
amended, sec 220, 49 Stat. 563 as amended, sec. 313, 54 Stat. 944, as
amended, sec, 412, 56 Stat. 294, as amended; 45 U.S.C. 29, 49 U.S.C.
12, 20, 26, 320, 913, 1012, 5 CFR Part 735.
Source: 44 FR 4610, Jan. 22, 1979, unless otherwise noted.
49 CFR 1000.735-11 General standard of conduct.
Members and employees of the Commission hold a public trust. To
honor that trust, they must maintain unusually high standards of
honesty, integrity, and impartiality in all aspects of their official
conduct. They shall perform their duties fairly and expeditiously and
with a view to carrying out the national transportation policy. They
shall be courteous and prompt in serving the public.
49 CFR 1000.735-12 Interpretation and advisory service.
(a) The Managing Director's Counsel shall be the Commission's Ethics
Counselor. The Director of Personnel shall be the principal Deputy
Ethics Counselor. The Ethics Counselor, with the approval of the
Chairman, shall designate additional Deputy Ethics Counselors as he or
she deems necessary or appropriate to carry out his or her
responsibilities under these Canons.
(b) On June 30 of each year, the Ethics Counselor shall report to the
Commission on the operation of the Canons and guidelines with any
recommendations the Ethics Counselor deems advisable.
(c) The Director of Personnel shall furnish copies of the Canons of
Conduct and guidelines to each new member and new employee upon his or
her entrance on duty. The Ethics Counselor shall annually, or as
circumstances may warrant, bring to the attention of each member or
employee the Canons of Conduct and guidelines. The Ethics Counselor
shall inform all members and employees of the names of the Deputy Ethics
Counselors and of the procedures for seeking advice concerning the
interpretation and application of these Canons.
(44 FR 4610, Jan. 22, 1979, as amended at 48 FR 30880, July 5, 1983;
55 FR 23937, June 13, 1990)
49 CFR 1000.735-13 Prohibited financial interests.
Members and employees shall not be employed by, or hold any official
relation to, or own any securities of, or be in any manner pecuniarily
interested in carriers to the extent prohibited by the Interstate
Commerce Act. This Canon prohibits: (a) Any direct interest in any
for-hire transportation company whether or not subject to the Interstate
Commerce Act, (b) any interest in any company that (1) owns or controls
and (2) has more than two percent of its assets invested in or derives
more than two percent of its income from a for-hire transportation
company whether or not subject to the Interstate Commerce Act, and (c)
any interest in any company, mutual fund, or other enterprise which in
turn has an interest of more than ten percent of its assets invested in
or derives more than ten percent of its income from for-hire
transportation companies whether or not subject to the Interstate
Commerce Act.
The two-percent and ten-percent limitations of (b) and (c) should be
interpreted as applying only to direct holdings of a company, mutual
fund, or other enterprise, and not to indirect holdings. In determining
whether these limitations are applicable, members and employees may rely
on the most recent financial statement issued by the enterprise to
security holders.
Where a previously-proper holding of a member or employee becomes
prohibited because of the enterprise's acquisition of an interest in a
for-hire transportation company, the holding must be disposed of within
nine months.
The financial interests prohibited by this section are absolute
unless a waiver, based on serious financial hardship or remoteness of
interest, is obtained from the Ethics Counselor.
49 CFR 1000.735-14 Disqualifying interests.
(a) Members and employees shall not participate in any matter in
which they have a substantial pecuniary interest or in which their
impartiality might reasonably be questioned.
(b) Once members or employees have been disqualified from
participating in any matter, they shall not engage in any discussion or
be present during any action relating to the matter.
Members and employees should disqualify themselves whenever, in their
own judgment, a disqualifying interest exists. If an employee's
disqualification to participate in a matter is questioned by someone
else and the employee declines to disqualify himself or herself, the
final determination as to whether the employee should be disqualified
will be made by the Chairman. A member is the sole judge of his or her
own disqualification.
A ''substantial pecuniary interest'' should be interpreted to include
any situation in which members or employees, or their parents, spouses,
children, or other relatives (including in-laws) residing in the same
household, have a direct or indirect financial interest that could be
materially affected.
Matters in which members or employees' ''impartiality might
reasonably be questioned'' should be interpreted to include, among other
things, any matter in which they or their parents, spouses, children, or
other relatives (including in-laws) residing in the same household have
a past or present association with a party or a representative of a
party affected by the matter which reasonably appears to affect their
decision.
49 CFR 1000.735-15 Gifts, entertainment, and favors.
(a) Members and employees of the Commission shall not solicit or
accept, directly or indirectly, any gift, gratuity, entertainment,
favor, loan, or any other thing of monetary value, from any person,
association, or group, that: (1) Has, or is seeking to obtain,
contractual or other business or financial relationships with the
Commission; or (2) conducts operations or activities that are subject
to regulation by the Commission; or (3) has interests which may be
substantially affected by the member's or employee's performance or
nonperformance of his or her official duty; or (4) is in any way
attempting to affect the member's or employee's official actions. The
requirements of this paragraph do not apply to: (i) Obvious family or
personal relationships when the circumstances make it clear that it is
those relationships rather than the business of the persons concerned
which are the motivating factors; (ii) acceptance of food or
refreshments of nominal value on infrequent occasions in the course of a
luncheon, dinner, or other meeting or an inspection tour where a member
or employee may properly be in attendance; (iii) acceptance of
unsolicited advertising or promotional material of nominal intrinsic
value, such as pens, pencils, note pads, calendars, and other similar
items; or (iv) acceptance of loans from banks or other financial
institutions on customary terms of finance for proper and usual
activities of members or employees, such as home mortgage loans.
(b) Members and employees shall avoid any action, whether or not
specifically prohibited, which might result in, or create the appearance
of: (1) Using public office for private gain; (2) giving preferential
treatment to any person; (3) impeding Commission efficiency or economy;
(4) losing complete independence or impartiality; (5) making a
Commission decision outside official channels; or (6) affecting
adversely the confidence of the public in the integrity of the
Commission.
(c) Members and employees shall not solicit a contribution from any
other member or employee, or make a donation for a gift to a member or
employee in a superior official position, or accept gifts from members
or employees receiving less salary than themselves. This paragraph does
not prohibit a voluntary gift or donation of nominal value made on a
special occasion such as marriage, illness, or retirement.
(d) Members and employees shall not accept a gift, present,
decoration, or other thing from a foreign government unless authorized
by Congress as provided by the Constitution and in 5 U.S.C. 7342.
(e) Neither this section nor 1000.735-17 precludes a member or
employee from receipt of bona fide reimbursement, unless prohibited by
law, for expenses of travel and such other necessary subsistence as is
compatible with this part for which no Government payment or
reimbursement is made. However, this paragraph does not allow a member
or employee to be reimbursed or payment to be made on his behalf, for
excessive personal living expenses, gifts, entertainment, or other
personal benefits, nor does it allow a member or employee to be
reimbursed by a person for travel on official business under agency
orders when reimbursement is proscribed by Decision B-128527 of the
Comptroller General dated March 7, 1967 (46 Comp. Gen. 689).
(1) This canon is designed to prohibit conduct which gives the
appearance of or creates an actual conflict of interest for members or
employees.
The term gift, gratuity, entertainment, favor, loan, or any other
thing of monetary value includes such things as invitations to lunches,
dinners, parties, or other social events; tickets to cultural or
sporting events; free use of facilities such as hotels or other
accommodations; free transportation; free use of club privileges or
similar facilities.
The persons, associations, and groups from whom gifts and other
things of value may not be accepted include, but are not limited to,
regulated entities, associations of regulated entities, and individuals
or firms whose work involves to a substantial extent the representation
of regulated entities.
A policy favoring the prohibitions of this canon rather than
stretching the exceptions is intended.
(2) Members and employees considering possible proposals for future
employment with persons, associations, or groups described in the canon
and these guidelines may accept reimbursement for reasonable travel and
subsistence expenses actually incurred during employment negotiations
provided they promptly report the relevant details concerning the
reimbursement to the Director of Personnel, who shall treat the reports
as strictly confidential. At a minimum, the following information
should be reported: name and address of prospective employer; dates of
any travel and hotel accommodations; statement of amount reimbursed,
itemized to show travel, lodging, and meals. These reports will be kept
strictly confidential and will not be considered in any personnel
actions affecting the persons filing them, unless they show evidence of
improper conduct.
While this guideline permits members and employees to accept
reimbursement for reasonable expenses related to bona fide employment
negotiations, it should not under any circumstances be interpreted to
permit reimbursement for lavish or excessive personal expenses. Members
and employees are also reminded of the requirements of Canon 18
governing withdrawal from participation in matters affecting a
prospective employer both during and after negotiations.
(3) The ''obvious family or personal relationship'' exception permits
the exchange of gifts and entertainment where it is clear that the
offering is prompted by the personal of family relationship. If the
donor's business interests might be the motivating factor behind the
gift or entertainment, the member or employee should carefully consider
the circumstances surrounding the offer before accepting. The purpose
of this exception is to avoid interfering with a member's or employee's
personal relationships which unrelated to his or her job.
A gift or entertainment from a relative is mormally permissible,
unless it appears that it is motivated by the relative's business
interests. In the case of personal friends who would otherwise be
forbidden donors, members and employees should carefully consider the
circumstances surrounding gifts and entertainment and should take
reasonable steps to avoid the appearance of a conflict of interest. For
example, members and employees are free to meet such personal friends
for lunch or dinner but to avoid the appearance of a conflict of
interest should pay their own checks. Similarly, members and employees
may accept gifts from such personal friends on a special occasion, such
as a birthday, wedding, or Christmas, if such gifts are normally
exchanged by them. But members and employees should consider whether
the donor would have offered the item of value if he or she were in a
different business and if the recipient were not a Commission employee.
If there is doubt concerning the application of the exception, the gift
should not be accepted.
(4) Exception (ii) applies to those events at which members and
employees may properly be in attendance.
Members may attend any event which in their own opinion will benefit
the Commission and assist in performing their official duties, as long
as attendance will not reflect adversely on their impartiality. In
deciding whether to attend an event members should carefully consider:
(1) The identity of the sponsor, (2) the location, (3) the duration, (4)
the purpose, and (5) the persons expected to attend.
Employees may properly attend events sponsored by a person or entity
subject to Commission regulation if the event can reasonably be
classified as a business meeting involving a formal program designed to
be informative or educational. Attendance at events of this nature is
subject to approval by the head of the Bureau or Office involved. Where
an event is primarily social in character, employees may attend only
where their attendance is ruled to be proper by the Chairman or the
Ethics Counselor. Attendance will be authorized only if it will further
the interests of and provide benefits to the Commission, in light of the
employee's job duties and level of responsibility.
Attendance at primarily social events sponsored by a broadly-based
group with members from many different organizations or companies, such
as the ICC Practitioners, and attended by large numbers of persons in
addition to Commission members or employees, will normally be
authorized, unless the circumstances create an appearance of
impropriety. Attendance at events sponsored by one or a few companies,
or by other narrowly-based groups, or at events to which only Commission
members and employees are invited, will be closely scrutinized;
attendance will be authorized only if there is a clear benefit to the
Commission and the public interest.
When authorizing an employee to attend an event which is sponsored by
a person or entity subject to Commission regulation and which is to last
more than one day, the approving official will designate the period of
time the employee may be in attendance, based on his or her judgment as
to which segments of the event are relevant to the employee's
responsibilities. An employee authorized to attend an out-of-town event
may remain at the event for a longer period only upon the express
approval of his or her Bureau or Office head. An employee's time away
from the office beyond that spent attending that portion of an event
which is relevant to the employee's responsibilities will be charged to
annual leave.
When attending a meeting or other event, members and employees may
accept a plaque or similar memento in honor of their appearance and any
item of nominal value given to all participants.
(5) The phrase luncheon, dinner, or other meeting, as used in
exception (ii), refers primarily to working sessions that are integrated
with a lunch, dinner, or refreshments. For example, an employee in
attendance at a day-long seminar that includes a luncheon or dinner as
part of the program, or an employee speaking to a luncheon or dinner
gathering, may accept the accompanying meal.
The exception also extends to a social hour or dinner event connected
with an authorized working session if the social hour or meal is not
significantly removed in time from the working session and would not be
considered lavish entertainment. For example, an employee scheduled to
address a convention meeting or to participate in a panel discussion
ordinarily may attend a related social hour sponsored by the host
organization on the evening before or the evening after the working
meeting, if it is reasonable to expect that attendance may lead to
business-related discussions that will further the purposes sought to be
served by the employee's participation in the working portion of the
conference.
Employees may not otherwise accept invitations to primarily social
gatherings sponsored by entities within the class identified in the
canon unless authorized to do so by the Chairman or the Ethics
Counselor.
The phrase nominal value, as used in exception (ii), does not lend
itself to precise quantification. It may have a different meaning in
different situations. In some circumstances, food and refreshments
served as part of a working lunch may properly be viewed as of nominal
value if the cost is less than ten dollars. The nominal value
limitation in that context is designed to preclude lavish meals or
entertainment. In connection with an inspection tour, by contrast, only
refreshments worth about one dollar or less -- the equivalent, for
example, of coffee and a doughnut -- may ordinarily be viewed as of
nominal value. The purpose of the nominal value limitation in the
inspection tour context is to allow an employee to accept normal social
courtesies but not to accept more substantial food or refreshment that
is unwarranted in light of the circumstances.
(6) The advertising or promotional material exception is intended to
include only inexpensive items that businesses commonly distribute to
large numbers of persons. While acceptance of such items is permitted,
their display in Commission offices is not encouraged, and discretion
should be exercised so that an appearance of impropriety is not created.
Candy, fruit, alcoholic beverages, and similar items do not ordinarily
fall within this exception.
(7) Paragraph (e) of this section does not allow for reimbursement of
travel and subsistence expenses when members or employees travel on
official business. The agency has no authority to accept gifts and
acceptance of reimbursement would constitute an improper augmentation of
the agency's appropriations. Payments from tax exempt organizations (as
described by 26 U.S.C. 501(c)(3)) for travel incident to attendance at
meetings is permitted.
Examples of the types of organizations described in 26 U.S.C.
501(c)(3) include, inter alia, corporations, any community chest, fund,
or foundation, organized and operated exclusively for religious,
charitable, scientific, testing for public safety, literary, or
educational purposes and that otherwise meet the criteria outlined in
the statute.
Acceptance of reimbursement from individuals or organizations which
would otherwise represent a conflict of interest is prohibited except as
provided in Guideline (2) of this section.
(8) Although the canon allows members and employees to accept some
gifts, it does not require acceptance of anything. Members and
employees may always decline gifts that the canon permits them to
accept.
(9) Subsection (c) does not prohibit the voluntary exchange of
inexpensive gifts on occasions such as birthdays or holidays.
(44 FR 4610, Jan. 22, 1979, as amended at 48 FR 30880, July 5, 1983)
49 CFR 1000.735-16 Disclosure and misuse of information.
Members and employees of the Commission shall not use for personal
gain or disclose to unauthorized persons confidential information not
available to the general public. They shall not disclose or release
official information prior to the time authorized for its release.
Confidential information not available to the general public includes
proprietary information submitted to the Commission with the reasonable
expectation that it will be treated confidentially. ''Official
information'' includes decisional orders and other agency actions that
have not yet been served or otherwise officially released to the public.
This canon prohibits disclosure or release of information in either
category to persons not employed by the Commission or employees whose
official responsibilities do not require access to the information. The
Chairman of the Commission may authorize disclosure or release of
confidential information or official information prior to the official
release date if he or she determines, in individual cases or in an
appropriate class of cases, that such disclosure or release would
further important interests of the Commission or the public and would
neither significantly compromise the rights of any person nor allow any
person improperly to use such information for private financial gain.
49 CFR 1000.735-17 Outside employment and other activity.
(a) Members and employees shall not engage in any outside employment
or other outside activity, including teaching, lecturing, writing,
consultation, discussion, or appearance, with or without compensation,
in circumstances which might: (1) Reasonably result in a conflict of
interest or an apparent conflict of interest between their private
interests and their official Government duties and responsibilities, or
(2) interfere with the efficient performance of their official duties.
(b) Advance authorization for employees to engage in outside
employment or other outside activity described in paragraph (a) of this
section shall, in any event, be obtained from the Director of Personnel,
via supervising channels. See Manual -- Administration 22-781 and
24-311.
(c) Members shall not receive compensation or anything of monetary
value for any consultation, lecture, discussion, writing, or appearance
the subject matter of which is devoted substantially to the
responsibilities, programs, or operations of the Commission, or which
draws substantially on official data or ideas that have not become part
of the body of public information.
Outside employment will not be authorized unless it is confined
strictly to nonworking hours and will not interfere with employees'
performance of their official duties.
49 CFR 1000.735-18 Future employment.
If a member or employee of the Commission entertains a proposal for
future employment by any entity, the member or employee must refrain
from participating in the decision or disposition of any matter in which
the entity is known to have a direct or substantial interest during such
negotiations. If employment is accepted, the member or employee must
continue to refrain from participating in such matters until he or she
severs the connection with the Commission.
Members and employees are considered to be entertaining a proposal if
they: (1) are engaged in negotiations; (2) have submitted applications
for employment (including resumes) and have been advised that their
applications are being considered, interview with prospective employers
or engage in discussions with potential employers concerning the
possibility of an offer of employment; or (3) do not immediately reject
an unsolicited offer of employment.
(44 FR 4610, Jan. 22, 1979, as amended at 48 FR 30881, July 5, 1983)
49 CFR 1000.735-19 Ex parte communication.
Members and employees of the Commission must conform to the standards
adopted by the Commission reprinted in 1102.2.
(44 FR 4610, Jan. 22, 1979, as amended at 50 FR 30275, July 25, 1985)
49 CFR 1000.735-20 Use of Federal property.
Members and employees of the Commission shall not directly or
indirectly use, or allow the use of, Federal property of any kind,
including property leased to the Government, for other than officially
approved activities. They also have a positive duty and responsibility
to protect and conserve all Federal property, which is entrusted or
issued to them.
49 CFR 1000.735-21 Use of intoxicants.
Members and employees of the Commission shall not use alcohol, drugs,
or other intoxicants so as to impede the discharge of their official
duties.
49 CFR 1000.735-22 Prohibited conduct.
Members and employees shall not engage in criminal or dishonest
conduct, conduct that significantly interferes with their effective
performance of official responsibilities, or conduct that is materially
incompatible with their official position.
This canon is intended to prohibit unlawful or dishonest conduct. It
will not be construed to prohibit legitimate private conduct or to
prevent members or employees from exercising rights guaranteed by the
laws and Constitution of the United States.
49 CFR 1000.735-23 Intermediaries.
Members and employees of the Commission shall not recommend or
suggest the use of any nongovernment intermediary (individual, firm,
corporation, or other entity) offering any service as consultant, agency
representative, attorney, expeditor, or specialist for the purpose of
assisting in any negotiations, transactions, or other business with or
before this Commission. However, making available general reference
lists of non-governmental intermediaries, the use of which is authorized
by the Secretary of the Commission, will not be deemed to violate this
section.
General reference lists refers only to such lists of licensed
attorneys and registered practitioners as may be compiled and maintained
by a state or local bar association, the ICC Practitioners Association,
the Motor Carrier Lawyers Association, and similar organizations. Lists
compiled by employees on the basis of their own knowledge or experience
are not ''general reference lists'' within the meaning of the Canon.
49 CFR 1000.735-24 Gambling, betting, and lotteries.
Members and employees shall not participate, while on federally owned
or leased property or while on duty for the Commission, in any gambling
activity including the operation of a gambling device, in conducting a
lottery or pool, in a game for money or property, or in selling or
purchasing a numbers slip, ticket, chance, voice, share, or any similar
item.
49 CFR 1000.735-25 Miscellaneous statutory provisions.
Members and employees shall acquaint themselves with the statutory
provisions described in Appendix to this subpart, which relate to
ethical and other conduct as a member and employee of the Commission and
the Government.
(44 FR 4610, Jan. 22, 1979, as amended at 48 FR 30881, July 5, 1983)
49 CFR 1000.735-26 Statements of employment and financial interests.
(a) All employees in the positions specified by the Director of
Personnel in accordance with 5 CFR 735.403 shall submit to the Director
of Personnel within 30 days after their entrance on duty a confidential
statement of employment and financial interests on ICC Form No. 1164.
Pursuant to the grievance procedures enumerated in the
Manual-Administration 22-725, employees so specified may file and have
reviewed a complaint that the positions have been improperly designated
as requiring the submission of a statement of employment and financial
interests. Grievances shall be decided by the Director of Personnel.
Appeals of initial decisions shall be decided by the Managing Director.
(b) Any changes in, or additions to, the information contained in an
employee's statement of employment and financial interests shall be
reported in a supplementary statement as of June 30 each year. Where no
changes or additions occur, a negative report is required.
The financial statements required by this section are in addition to,
and not in substitution for, or in derogation of, any similar
requirement imposed by law, order, or regulation. The submission of
financial statements by employees does not permit them or any other
person to participate in matters in which participation is prohibited by
law, order, or regulation. Notwithstanding the filing of these
statement, employees shall at all times avoid acquiring financial
interests or taking other actions that would result in a violation of
the conflict-of-interest provisions of 18 U.S.C. 208 or these Canons of
Conduct.
In the event that any required information, including holdings placed
in trust, is not known to the employee but is known to another person,
the employee should request that other person to submit the information
on his or her behalf and should report the request in Part IV of ICC
Form 1164.
The interest, if any, of a spouse, minor child, or any relative
(including in-laws) residing in an employee's immediate household shall
be reported as his or her interest. If that information is to be
supplied by others, this should be indicated in Part IV of ICC Form
1164. Information will not be required if the reporting individual
certifies that he or she has no knowledge of the required information,
has made every reasonable effort to obtain it, and neither derives nor
expects to derive any benefit from the financial interests involved.
Employees are not required to submit any information relating to
their connection with, or interest in, a professional society or a
charitable, religious, social, fraternal, recreational, public service,
civil, or political organization or any similar organization not
conducted as a business enterprise or engaged in the ownership or
operation of a business enterprise. Educational and other institutions
doing research and development or related work involving grants of money
from contracts with the Government are deemed ''business enterprises''
for reporting purposes and should be included.
Any person designated to serve in an ''acting'' status in one of the
positions listed in Appendix I shall file a financial statement in
accordance with this canon within 30 days after serving in an ''acting''
capacity for 30 days.
(44 FR 4610, Jan. 22, 1979, as amended at 48 FR 30881, July 5, 1983)
49 CFR 1000.735-27 Review of statements of employment and financial
interests.
(a) The Director of Personnel shall review employees' annual
statements and supplementary statements of employment and financial
interests to ascertain conflicts of interest or the appearance of
conflicts of interest.
(b) Financial statements shall be kept confidential. The Director of
Personnel is responsibile for maintaining the statements in confidence
and shall not allow access to, or allow information to be disclosed
from, these statements except as provided by law or regulation.
(c) The Chief Administrative Law Judge shall review the financial
statements of all Administrative Law Judges to avoid conflicts of
interest in the assignment of cases. This review shall be in addition
to the review by the Director of Personnel.
Whenever, following review of the annual and supplementary statements
of employment and financial interests, a conflict of interest may exist
or appear to exist, the Director of Personnel shall notify the employee
concerned, who shall promptly submit an explanation to the Director of
Personnel regarding the existence or the appearance of a conflict of
interest.
If, after reviewing the employee's explanation and after consulting
with the Ethics Counselor, the Director of Personnel concludes that the
conflict or appearance of a conflict of interest does exist, the
Director of Personnel shall advise the employee of the steps necessary
to remedy the situation.
49 CFR 1000.735-28 Disclosure of employment of parent, spouse, child,
or other relative.
Each employee whose parent, spouse, or child, or any other relative
(including in-laws) residing in the immediate household, is employed by
an entity subject to regulation by the Commission shall promptly notify
the Director of Personnel of the relative's employment and furnish a
detailed statement of the relative's job duties and responsibilities.
The employee shall promptly notify the Director of Personnel of any
change in the relative's employment, including a change in job duties or
responsibilities.
The term employed by an entity subject to regulation by the
Commission includes those who represent and perform a majority of their
services for such an entity, as well as those directly employed by such
an entity.
Each notification furnished under subparagraph (a) will be reviewed
by the Director of Personnel to determine whether the situation presents
a conflict of interest or appearance of a conflict of interest.
Whenever, in the opinion of the Director of Personnel, the situation
may present a conflict of interest or appearance of a conflict of
interest, the Director of Personnel shall notify the employee, who shall
promptly submit an explanation regarding the existence or the appearance
of a conflict of interest, together with any additional information
requested by the Director of Personnel.
If, after reviewing the submitted explanation and information and
after consulting with the Ethics Counselor, the Director of Personnel
concludes that the situation does present a conflict of interest or an
appearance of a conflict of interest, the Director of Personnel shall
advise the employee of the necessary steps to remedy the situation. The
Director of Personnel may, after consulting with the employee and the
employee's Bureau or Office Head, take any personnel action that may be
appropriate to eliminate the conflict of interest or appearance of a
conflict of interest.
49 CFR 1000.735-29 Specific provisions governing special Government
employees.
(a) Special Government employees, as defined in 18 U.S.C. 202, shall
not use: (1) Their Government employment for a purpose that is, or
gives the appearance of being, motivated by a desire for private gain
for themselves or another person, particularly one with whom they have
family, business, or financial ties; (2) any inside information
obtained as a result of Government employment for private gain for
themselves or another person either by direct action on their part or by
counsel, recommendation, or suggestion to another person, particularly
one with whom they have family, business, or financial ties; (3) the
Government to coerce, or give the appearance of coercing, a person to
provide financial benefit to themselves, or another person, particularly
one with whom they have family, business, or financial ties.
(b) Special Government employees shall adhere to all Canons of
Conduct specified in this subpart except 1000.735-17(b) and
1000.735-26. In lieu thereof, each special Government employee shall
submit a statement of his or her employment and financial interest on
ICC Form No. 1163 to the Director of Personnel at the time of his or
her employment and shall keep the statement current throughout
employment by submitting supplementary statements whenever any change in
or addition to the information contained in the statement occurs.
49 CFR 1000.735-30 Sexual harassment.
(a) Members and employees shall not engage in harassment on the basis
of sex. Unwelcome sexual advances, requests for sexual favors, and
other verbal or physical conduct of a sexual nature constitute sexual
harassment when (1) submission to such conduct is made either explicitly
or implicitly a term or condition of an individual's employment, (2)
submission to or rejection of such conduct by an individual is used as
the basis for employment decisions affecting such individual, or (3)
such conduct has the purpose or effect of interfering with an
individual's work performance or creating an intimidating, hostile,
offensive or unpleasant working environment.
(b) Employees and applicants may follow the standard equal employment
opportunities complaint process if they believe they have a work related
sexual harassment problem. This requires that the employee or applicant
contact an EEO Counselor within 30 days of the alleged harassment, or,
if a personnel action is involved within 30 days of its effective date.
(c) The principles involved in this Canon apply to harassment based
on race, color, religion, or national origin.
(48 FR 30881, July 5, 1983)
49 CFR 1000.735-31 Disciplinary and other remedial action.
Any violation of these Canons of Conduct by an employee shall be
cause for appropriate disciplinary or other remedial action as provided
in the Manual -- Administration 22-751, which may be in addition to any
penalty prescribed by law.
(44 FR 4610, Jan. 22, 1979. Redesignated at 48 FR 30881, July 5,
1983)
49 CFR 1000.735-31 Pt. 1000, Subpt. B, App.
49 CFR 1000.735-31 Appendix -- Miscellaneous Statutory Provisions
Members and employees have an affirmative duty to acquaint themselves
with all statutory provisions relating to the lawfulness and propriety
of their official conduct. The following provisions, most of which
apply to federal employees and officials in general, are presented in
summary form. The actual text should be consulted for the particulars
of prohibited conduct, as well as for specific exceptions and
exemptions.
1. Code of Ethics for Government Service
All members and employees shall observe those fundamental principles
of conduct in public service declared in House Concurrent Resolution
175, Code of Ethics for Government Service, which states in general
terms those concepts of high obligations and responsibilities, as well
as rights and privileges, attendant upon service for our Government.
(72 Stat. B 12).
2. Compensation to public officials for claims, contracts, etc. (18
U.S.C. 203)
No public official shall directly or indirectly receive or solicit
compensation for services rendered by himself or herself, or another, in
relation to any application, contract, claim, controversy, or other
matter in which the United States has a direct and substantial interest.
No person shall knowingly directly or indirectly give, promise, or
offer any compensation to a public official for services rendered.
Violation of these prohibitions is punishable by a maximum fine of
$10,000, or imprisonment for not more than two years, or both; and
removal.
3. Prosecution of claims against and other matters affecting the
Government by officers and employees (18 U.S.C. 205)
No officer or employee of the United States shall act as agent or
attorney, or receive any gratuity, for the prosecution or assistance in
the prosecution of any claim against the United States.
No officer or employee of the United States shall act as agent or
attorney for anyone in connection with any proceeding, application,
contract, controversy or other matter in which the United States has a
direct and substantial interest.
Violation of these prohibitions is punishable by a maximum fine of
$10,000, or imprisonment for not more than two years, or both.
4. Post employment conflict of interest (18 U.S.C. 207)
A. The Ethics in Government Act (Pub. L. 95-521) (the Act) broadened
and added new restrictions to the existing provisions of 18 U.S.C. 207,
which generally prohibit a former Government employee from acting as
another person's representative to the Government in matters in which
the employee had been involved while in the Government. Criminal
penalties or fines of not more than $10,000 and imprisonment for not
more than two years, as well as administrative sanctions are provided
for violation of the Act.
1. Post-Employment Generally. It is important to note that nothing
in the Act requires a former employee to decline employment with any
organization regardless of dealings with that organization while a
Government employee.
2. Required Nexus. With the exception of the 207(c) bar, what is
prohibited depends upon the former employee's degree of involvement in
the matter while with the Government and whether he or she was one of a
specified group of high-ranking employees (''Senior Employees'').
A. Permanent Bar. (18 U.S.C. 207(a); 5 CFR 737.5). After leaving
Government employment, a former employee may not serve as another
person's representative to the Government on a case, contractual matter
or other similar application or proceeding, formal or informal, in which
he or she participated personally and substantially while a Government
employee.
1. There are two important limitations to this prohibition which
attacks ''switching sides.'' First, the former employee is not
restricted unless the matter in which he or she previously participated
was (i) a ''particular matter involving specific parties'' and (ii) is
the same matter in which he or she now attempts to represent another
before the Government. Thus, where an employee's prior involvement was
limited to, say, the design of program policy, general rulemaking, or
technical concepts, he or she is not restricted by this prohibition as
to any specific matters which may involve his or her prior work.
Second, this bar requires that the employee has been personally involved
in the matter in a substantial way.
2. The kind of representation that is restricted includes not only
acting as another's attorney or agent, but any other kind of
representation or communication made with the intent to influence the
United States. This includes promotional and contract representation.
B. Two-Year Bar. (18 U.S.C. 207(b)(i); 5 CFR 737.7). This is
basically the same bar as above, except that it applies for only two
years and covers all particular matters which were actually pending
under the former employee's ''official responsibility'' in his or her
last year of Government service. An employee's official responsibility
is usually defined by statute, regulation, written delegation of
authority or job description.
1. There may be times when a former employee is in doubt as to
whether a matter was under his or her official responsibility, whether
it is the same ''particular matter'' as that with which he or she was
involved or whether the United States still has an interest in the
matter. His or her former agency has an obligation to advise promptly
on those questions as provided in the regulations issued by the Office
of Personnel Management (5 CFR part 737).
A. Two-Year Bar on Assisting in Representing. (18 U.S.C.
207(b)(ii); 5 CFR 737.9) For two years after leaving Government
employment, a former Senior Employee may not assist in the
representation of another person by personal presence at an appearance
before the Government on any particular matter in which he or she could
not act as the person's actual representative because of his or her
substantial personal participation in the matter while in Government.
1. It is important to note that this restriction does not bar a
Senior Employee from assisting on a matter in which he or she
participated while in Government but only from assisting ''in
representing'' while personally present at a formal or informal
appearance. Thus, such employee could work on a contract with which he
or she was involved while in Government and could manage a company,
institution or university where such former employee's decisions
determine the manner in which his or her organization will perform under
a Government contract or grant.
B. One-Year Bar on Attempts to Influence Former Agency. (18 U.S.C.
207(c); 5 CFR 737.11) For one year after leaving Government employment,
a former Senior Employee may not represent anyone in an attempt to
influence his or her former agency on a matter before, or of substantial
interest to such agency.
1. This ''revolving door'' provision is different from the previous
restrictions in the following ways:
a. It does not require that the former employee have had any prior
involvement in the matter.
b. The matters covered are broader; they need not involve specific
parties, so the former employee could not, for example, attempt to
influence rulemaking or policy formation.
c. It is limited to contact with his or her former agency; he or she
may appear before, or act to influence, any other part of the Government
in regard to a matter not otherwise covered.
d. The matter must be pending before, or of substantial interest to,
his or her former agency.
e. The restriction covers the former employee's self-representation
except for those matters outlined in subsection 2 below.
2. There are a number of matters to which the restriction does not
apply, among these are:
a. Purely social or informational communications.
b. Transmission of filings which do not require Governmental action.
c. Personal matters.
d. Representing oneself in any judicial or administrative proceeding.
e. Any expression of personal views where the former employee has no
pecuniary interest.
f. Response to the former agency's request for information.
g. Participation as the principal research under Government grants.
737.25)
A. There are four groups of Senior Employees, two are named
automatically by statute: (i) civilians paid at the Executive Level and
(ii) active duty uniformed service officers serving in grade 0-9 and
above. Two other groups, (iii) civilians at or equivalent to GS-17 or
above and (iv) uniformed service officers in grades 0-7 and 0-8, having
significant decision-making or supervisory responsibility, must first be
designated by the Director of the Office of Government Ethics (OGE)
before they are chargeable as Senior Employees. OGE has designated all
Senior Executive Service positions as senior employee positions for
purposes of the Act unless exempted by the Director. 5 CFR
737.25(b)(1). A list of current senior employee positions not exempted
is found at 5 CFR 737.33.
1. Those automatically covered by the statute were made subject to
the Act's special restrictions on Senior Employees as of July 1, 1979.
2. Those designated by the Director, OGE, were covered as of February
28, 1980.
5. Annual public financial disclosure requirements (Sections 201-211
of the Ethics in Government Act of 1978)
Each Government officer or employee, whose position is classified at
GS-16 or above, shall file with the designated agency official at the
agency by which he or she is employed, on or before May 15 of each year,
a report containing the following information concerning the preceding
calendar year:
(1) The source, type, and amount of earned income from any source
other than current employment by the United States Government;
(2) The source, date, and amount of honoraria earned, aggregating
$100 or more in value;
(3) The source and type of unearned income received exceeding $100 in
amount or value, that amount or value to be listed by category, for
example, ''not more than $1,000'';
(4) The source and a brief description of any gifts of
transportation, lodging, food, or entertainment, aggregating $250 or
more in value received from any source other than a relative. Items
received as personal hospitality or with a fair market value of $35 or
less need not be aggregated;
(5) The source and brief description of all other gifts aggregating
$100 or more in value. Gifts received from a relative or with a fair
market value of $35 or less need not be aggregated;
(6) The source and a brief description of reimbursements received
from any source aggregating $250 or more in value;
(7) The identity and category of value of any interest in property
held in a business, or for investment or the production of income, which
has a fair market value exceeding $1,000;
(8) The identity and category of value of the total liabilities owed
to any creditor, other than a relative, which exceeds $10,000 at any
time during the preceding year, excluding any mortgage secured by the
reporting individual's personal residence, or motor vehicle loan;
(9) The date, category of value, and a brief description of any
purchase, sale, or exchange in real property (other than a personal
residence), stocks, bonds, and other forms of securities, which exceeds
$1,000;
(10) The identity of all positions held with any business enterprise,
non-profit organization, labor organization, and educational or other
institution. Positions held with any religious, social, or political
entity, or of an honorary nature need not be reported;
(11) A description of the date, parties, and terms of any agreement
with respect to future employment, leave of absence, continuation of
payments by a former employer, and continuing participation in an
employee benefit plan;
(12) Required information described in numbers 1 through 9 of this
provision shall be included in each report with respect to the spouse
and dependent children of the reporting individual, with certain
modifications;
(13) A description of holdings of an income from a trust or other
financial arrangement. Holdings of or the source of income from any
qualified blind trust, as defined in this section, need not be reported,
but the individual shall report the category of the amount of income
received;
Any report filed under this provision will be available to the public
upon request.
Any individual who knowingly and willfully falsifies or fails to file
or report required information shall be liable to a maximum civil
penalty of $5,000, and personnel or other action in accordance with
applicable law or regulation.
6. Acts affecting a personal financial interest (18 U.S.C. 208)
No officer or employee of the United States shall participate
personally and substantially, through decision, in relation to any
judicial or other proceeding, application, contract, claim, controversy,
or other matter in which he or she has a direct or indirect financial
interest.
Prior full disclosure of financial interest and written determination
that such interest is not substantial may permit such participation.
Violation of this prohibition is punishable by a maximum fine of
$10,000, or imprisonment for not more than two years, or both.
7. Unathorized use of documents relating to claims (18 U.S.C. 285)
No one, without authority, shall remove or use any document prepared,
or intended to be used, to procure the payment of any claim against the
United States.
Violation of this prohibitions is punishable by a maximum fine of
$5,000, or imprisonment for not more than five years, or both.
8. Salary of government officials and employees payable only by
United States (18 U.S.C. 209)
No official or employee of the United States shall receive
compensation for services as an officer or employee of the Government
from any source other than the Government of the United States.
No individual or entity shall pay or supplement the salary of any
such officer or employee for services as an officer or employee of the
United States.
Violation of these prohibition is punishable by a maximum fine of
$5,000, or imprisonment for more than one year, or both.
9. Bribery of public officials (18 U.S.C. 201)
No person or entity shall directly or indirectly give, offer, or
promise anything of value to a public official with intent to: (a)
Influence any official act, (b) influence such public official to commit
or allow the commission of any fraud on the United States, or (c) induce
such public official to act in violation of his or her lawful duty.
No public official shall directly or indirectly solicit, accept, or
agree to receive anything of value for himself or herself, or another,
in return for: (a) Being influenced in the performance of any official
act, (b) being influenced to commit or allow the commission of any fraud
on the United States, or (c) being induced to act in violation of his or
her official duty.
Violation of these prohibitions is punishable by a fine of not more
than $20,000 or three times the monetary equivalent of the thing of
value, whichever is greater, or a maximum of 15 years' imprisonment, or
both; and removal.
10. Acceptance or solicitation to obtain appointive public office (18
U.S.C. 211)
No one shall solicit or receive money or anything of value in
consideration for assistance in obtaining for any person appointive
office or employment with the United States.
Violation of this prohibition is punishable by a maximum fine of
$1,000, or imprisonment for not more than one year, or both.
11. Gifts to superior (5 U.S.C. 7351)
No employee shall: (a) Solicit a contribution from another employee
for a gift to a superior, (b) make a donation as a gift to a superior,
or (c) accept a gift from one to whom he or she is an official superior.
Violation of these prohibitions is punishable by a maximum penalty of
removal.
12. Lobbying with appropriated funds (18 U.S.C. 1913)
No officer or employee of the United States, in the absence of
express authorization by Congress, shall use, directly or indirectly,
money appropriated by Congress to pay for any personal service, written
matter, or other device intended to influence a Member of Congress to
favor or oppose any legislation or appropriation by Congress.
Violation of this prohibition is punishable by a maximum fine of
$500, or imprisonment for not more than one year, or both; and removal.
13. Diclosure of confidential information (18 U.S.C. 1905)
No officer or employee of the United States shall publish, disclose,
or make known in any manner or to any extent not authorized by law, any
confidential information made known to him or her in the course of his
or her employment or official duties.
Violation of this prohibition is punishable by a maximum fine of
$1,000, or imprisonment for not more than one year, or both; and
removal.
14. Disclosure of classified information (18 U.S.C. 798)
No one shall knowingly and willfully communicate or otherwise make
available to an unauthorized person, or publish or use in any manner
prejudicial to the interest of the United States, any classified
information.
Violation of this prohibition is punishable by a maximum fine of
$10,000, or imprisonment for not more than ten years, or both.
15. Excessive and habitual use of intoxicants (5 U.S.C. 7352)
No individual shall habitually use intoxicating beverages to excess.
Violation of this prohibition is punishable by removal.
16. Misuse of franking privilege (18 U.S.C. 1719)
No one shall make use of any official envelope, label, or endorsement
authorized by law, to avoid the payment of postage on private letters,
packages, or other matters in the mail.
Violation of this prohibition is punishable by a maximum fine of
$300.
17. Interference with Civil Service Examinations (18 U.S.C. 1917)
No member or employee of the United States Civil Service Commission
or an individual in the public service shall willfully and corruptly
obstruct an individual in respect of his or her right of examination for
competitive service, or falsely grade or report on the examination or
proper standing of an individual examined; or make a false
representation concerning the examination grade or proper standing of an
individual examined; or furnish to an individual any special
information for the purpose of improving or harming the prospects of an
individual examined, being employed, or promoted.
Violation of these prohibitions is punishable, for each offense, by a
maximum fine of $1,000, or imprisonment for not more than one year, or
both.
18. Fraud and false statements (18 U.S.C. 1001)
No one, concerning any matter within the jurisdiction of the United
States, shall knowingly and willfully falsify or conceal a material
fact, or make any false, fictitious, or fraudulent statements, or make
or use any document knowing such document to contain any false,
fictitious, or fraudulent statement.
Violation of these prohibitions is punishable by a maximum fine of
$10,000, or imprisonment for not more than five years, or both.
19. Concealment, mutilation, or destruction of Government documents
(18 U.S.C. 2071)
No one shall willfully and unlawfully conceal, remove, mutilate,
falsify, destroy, or intentionally carry away any Government document.
Violation of this prohibition is punishable by a maximum fine of
$2,000, or imprisonment for not more than three years, or both.
Violation by one having custody of such document shall result in the
custodian's removal from office.
20. Forgery of Government transportation requests (18 U.S.C. 508)
No one shall forge or counterfeit, knowingly alter, use, or sell any
form or request provided by the Government for transportation by common
carrier.
Violation of this prohibition is punishable by a maximum fine of
$5,000, or imprisonment for not more than ten years, or both.
21. Misuse of Government vehicles (31 U.S.C. 638a(c))
No officer or employee of the Government shall willfully use or
authorize the use of any Government-owned or leased passenger motor
vehicle or aircraft for other than official purposes.
Violation of this prohibition is punishable by a maximum penalty of
removal.
22. Accounting for public money (18 U.S.C. 643)
An officer or employee of the United States who receives public money
which he or she is not authorized to retain as salary must render an
account of such money as provided by law.
An officer or employee who fails to render such an account is guilty
of embezzlement, and shall be fined a sum equal to the amount of money
embezzled, or imprisoned for not more than ten years, or both.
23. Theft of Government money or property (18 U.S.C. 641)
No one shall embezzle, steal, or knowingly convert, or, without
authority, sell or convey documents, money, or things of value of the
United States.
No one shall receive or retain such items knowing them to be
embezzled, stolen or converted.
Violation of these prohibitions is punishable by a maximum fine of
$10,000, and imprisonment for not more than ten years, or both.
24. Wrongful conversion of property of another (18 U.S.C. 654)
No officer or employee of the United States shall embezzle or
wrongfully convert to his or her own use money or property of another
which comes into his or her control in the execution of such employment
of office.
Violation of this prohibition is punishable by a fine of not more
than the value of the money or property thus converted, or imprisonment
for not more than ten years, or both.
25. Restrictions on political activities (5 U.S.C. 7321-7327)
No federal employee shall use his or her official authority or
influence for the purpose of interfering with or affecting the result of
an election; or shall take an active part in political management, or
in political campaigns (5 U.S.C. 7324).
Violation of these prohibitions is punishable by a maximum penalty of
removal.
26. Solicitation of political contributions (18 U.S.C. 602)
No public official or employee of the United States shall directly or
indirectly solicit or receive contributions for any political purpose
whatever from any other such officer or employee.
Violation of this prohibition is punishable by a maximum fine of
$5,000, or imprisonment for not more than three years, or both.
27. Solicitation of political contributions in federal buildings (18
U.S.C. 603)
No one shall solicit or receive any contribution of money or other
thing of value for any political purpose in any Federal building.
Violation of this prohibition is punishable by a maximum fine of
$5,000, or imprisonment for not more than three years, or both.
28. Pecuniary interest in regulated carrier (49 U.S.C. 10301(d),
10306(e), and 10344(e))
No Commission member, administrative law judge, employee board
member, or joint board member may have a pecuniary interest in, hold an
official relation to, or own stock in or bonds of, a carrier providing
transportation by any mode.
29. Members' outside employment (49 U.S.C. 10301(d))
A member of the Commission may not engage in another business,
vocation, or employment.
30. Officers and employees acting as agents of foreign principals (18
U.S.C. 219)
No officer or employee of the United States shall act as an agent of
a foreign principal registered under the Foreign Agents Registration Act
of 1938, as amended. (22 U.S.C. 611 et seq.)
Violation of this prohibition is punishable by a maximum fine of
$10,000, or imprisonment for not more than two years, or both.
31. Striking against the Government (15 U.S.C. 7311(3), 18 U.S.C.
1918(3))
An individual shall not accept or hold a position in the Government
of the United States, if he or she participates in a strike against the
Government.
Violation of this prohibition is punishable by a maximum fine of
$1,000, or imprisonment for not more than one year and a day, or both.
(44 FR 4610, Jan. 22, 1979. Redesignated and amended at 48 FR 30881,
July 5, 1983)
49 CFR 1000.735-31 Subpart C -- Additional Canons of Conduct for
Members
Authority: Sec. 6, 36 Stat. 915, as amended, secs. 12, 20, 24
Stat. 383, as amended, 386, as amended, sec. 25, 41 Stat. 498, as
amended, sec. 220, 49 Stat. 563 as amended, sec. 313, 54 Stat. 944,
as amended, sec. 412, 56 Stat. 294, as amended; 45 U.S.C. 29, 49
U.S.C. 12, 20, 26, 320, 913, 1012, 5 CFR Part 735.
Source: 44 FR 4617, Jan. 22, 1979, unless otherwise noted.
49 CFR 1000.736-1 General policy.
Members of the Interstate Commerce Commission should participate in
establishing, maintaining, and enforcing, and should themselves observe,
high standards of conduct so that the integrity and independence of the
Commission may be preserved. The provisions of these canons should be
construed and applied to further that objective. Members of the
Commission shall observe the standards of personal conduct in the Canons
of Conduct for Members and Employees as set forth in subpart B of this
part.
49 CFR 1000.736-2 Maintaining independence.
Members should not allow their family, social, or other relationships
to influence their official conduct or judgment. They should not lend
the prestige of their office to advance the private interests of others;
nor should members convey the impression that they are subject to
influence by others. Members should not change or tailor their views to
appease any particular interest or group.
49 CFR 1000.736-3 Official duties.
(a) Official duties, both administative and adjudicative, should be
carried out diligently and impartially. Insofar as it is consistent
with the dignity and responsibilities of their official positions,
members should maintain contact with the persons outside the agency who
may be affected by their functions.
(b) Members have the obligation to urge the Congress, whenever
necessary, to amend, modify, or repeal particular parts of the statutes
they administer.
(c) The members' decision to investigate should be based only on the
facts known to them and the reasonable inferences from those facts. A
member should never suggest, vote for, or participate in an
investigation for reasons of animus, prejudice, or vindictiveness.
(d) Members have the obligation to adopt rules necessary to carry out
the national transportation policy. The rules should not be burdensome;
on the other hand, necessary rules should be adopted, modified, or
repealed as changing requirements demand.
49 CFR 1000.736-4 Extra-official activities.
Members must not engage in any business, employment, or vocation
while in office, nor may they use the power of their offices or the
influence of their names to promote the business interests of others.
Members may participate in nonbusiness endeavors, such as civic and
charitable activities, that do not reflect adversely upon their
impartiality or interfere with the performance of official duties.
49 CFR 1000.736-5 Qualification to participate.
Members should disqualify themselves in any matter in which their
impartiality might reasonably be questioned. They should weigh
carefully the question of their qualification in any matter where they
or their relatives or former business associates or clients are
involved. If an interested person suggests that a member should
disqualify himself or herself in a particular matter because of bias or
prejudice, the member shall be the sole judge of his or her own
qualification.
49 CFR 1000.736-5 Subpart D -- Administrative Enforcement of Improper
Post-Employment Activity
Authority: 18 U.S.C. 207(j), 49 U.S.C. 10321 and 5 U.S.C. 553.
Source: 48 FR 30882, July 5, 1983, unless otherwise noted.
49 CFR 1000.737-1 General.
A violation of 18 U.S.C. 207 (See 49 CFR part 1000 subpart B,
appendix, paragraph (4)) or the regulations set forth in 5 CFR part 737
may be cause for appropriate administrative action which may be in
addition to any penalty prescribed by law. This subpart is established
pursuant to the provisions of 18 U.S.C. 207(j) and 5 CFR 737.27 to
implement agency procedures for administrative enforcement of
post-employment restrictions.
49 CFR 1000.737-2 Initiation of enforcement action.
Information regarding a possible violation of 18 U.S.C. 207 by a
former Commissioner or former Commission employee may be brought to the
attention of the Commission by filing such information with the Ethics
Counselor.
49 CFR 1000.737-3 Review and investigation.
(a) Upon receipt of information regarding a possible violation of 18
U.S.C. 207, and after determining that such information appears
non-frivolous, the Ethics Counselor shall forward the information to the
Commission with any recommendations he or she may wish to make on
administrative action; the Counselor shall also expeditiously provide
such information, along with any comments or Commission regulations, to
the Director of the Office of Government Ethics and to the Criminal
Division, Department of Justice. The Commission shall coordinate any
investigation or administrative action with the Department of Justice to
avoid prejudicing criminal proceedings, unless the Department of Justice
communicates to the Commission that it does not intend to initiate
criminal prosecution.
(b) Whenever the Commission has determined after appropriate review
that there is reasonable cause to believe that a former Commissioner or
Commission employee has violated 18 U.S.C. 207, it may designate the
matter for an administrative disciplinary proceeding.
49 CFR 1000.737-4 Notice of proceeding and opportunity for a hearing.
(a) Upon designating such matter for an administrative disciplinary
proceeding, the Commission shall provide the former Commissioner or
former Commission employee with notice of an intention to institute a
proceeding and an opportunity for a hearing. Such notice shall include:
(1) A statement of allegations (and the basis thereof) sufficiently
detailed to enable the former government employee to prepare an adequate
defense;
(2) Notification of the right to a hearing; and
(3) An explanation of the method by which a hearing may be requested.
(b) If such former Commissioner or Commission employee fails to
request a hearing within ten (10) calendar days of receipt of the notice
or has waived the opportunity for a hearing, the Commission may take
such administrative action as outlined in 1000.737-10, of this subpart.
The former employee shall submit a written request for a hearing to the
Chairman, Interstate Commerce Commission, 12th and Constitution Ave.,
NW., Washington, DC 20423.
49 CFR 1000.737-5 Presiding official.
(a) The presiding official at proceedings under this section shall be
the Chairman or an individual designated by the Chairman to make an
initial decision. This person shall be called the examiner.
(b) The examiner at such proceeding must be a Commissioner, a member
of a Review Board, an Administrative Law Judge or an attorney employed
by the Commission. An employee selected and appointed as an examiner
shall be authorized, in writing, by the Chairman to administer oaths or
affirmations under 5 U.S.C. 2903(b)(2). The examiner shall be provided
with appropriate administrative and secretarial support.
(c) The examiner shall be impartial. No individual who has
participated in any manner in the decision to initiate the proceedings
may serve as the examiner in those proceedings.
49 CFR 1000.737-6 Time, date, and place of hearing.
(a) The hearing shall be conducted at a reasonable time, date and
place. In setting a hearing date, the examiner shall give due regard to
the former government employee's need for adequate time to prepare a
defense and an expeditious resolution of allegations that may be
damaging to his or her reputation.
(b) Official notice of the time, date and place shall be sent by
registered mail, return receipt requested, to the former employee. The
mailing shall include a copy of these procedures.
(c) Hearings will be closed unless an open hearing is requested by
the former employee. A request for an open hearing shall be made at
least ten (10) days prior to the hearing date.
49 CFR 1000.737-7 Hearing rights.
The hearing shall include, at a minimum the following rights for all
parties:
(a) To represent oneself or to be represented by counsel;
(b) To introduce and examine witnesses and to submit physical
evidence;
(c) To confront and cross-examine adverse witnesses and to submit
physical evidence;
(d) To present oral argument; and
(e) To a transcript or recording of proceedings, on request.
49 CFR 1000.737-8 Burden of proof.
In any hearing under this subpart, the Commission shall have the
burden of proof and must establish substantial evidence of a violation.
49 CFR 1000.737-9 Hearing decision.
(a) The examiner shall make a determination based exclusively on
matters of record in the proceeding, and shall set forth in the decision
all findings of fact and conclusions of law relevant to the matters at
issue. Copies of the decision shall be furnished promptly to the former
employee and his or her counsel.
(b) Within 30 days after the initial decision either party to the
proceeding may appeal the decision to the Commission. Unless the
Commission orders otherwise, other parties to the proceeding may file
comments within 20 days after such appeal is filed, and the party that
filed such appeal may file a reply within 10 days after the period for
filing comments has expired. The Commission shall base its decision on
such appeal solely on the record of the proceedings or those portions
thereof cited by the parties to limit the issues.
(c) If the Commission modifies or reverses the initial decision, it
shall specify such findings of fact and conclusions of law as are
different from those of the presiding official. The Commission's
decision to uphold, modify, or reverse the examiner's initial decision
shall be the final agency decision on the matter.
49 CFR 1000.737-10 Administrative sanctions.
The Commission may take appropriate action in the case of any
individual found in violation of 18 U.S.C. 207 (a), (b) or (c) after a
final administrative decision, or in the case of any individual who
failed to request a hearing, after having received adequate notice.
Appropriate action may include:
(a) Prohibiting the individual from making on behalf of any other
person except the United States, any formal or informal appearance
before, or with the intent to influence, any oral or written
communication to, such department or agency on any matter of business
for a period not to exceed five years, which may be accomplished by
directing agency employees to refuse to participate in any such
communication; or
(b) Taking other appropriate disciplinary action.
49 CFR 1000.737-11 Judicial review.
Any person found to have participated in a violation of 18 U.S.C.
207 (a), (b) or (c) may seek judicial review of the administrative
determination in an appropriate United States District Court.
49 CFR 1000.737-11 PART 1001 -- INSPECTION OF RECORDS
Sec.
1001.1 Records available at the Commission's Washington office.
1001.2 Records available at the Commission's regional and detached
offices.
1001.3 Certified copies of records, etc.
1001.4 Requests to inspect other records not considered public under
5 U.S.C. 552.
1001.5 Predisclosure notification procedures for confidential
commercial information.
Authority: 5 U.S.C. 552 and 49 U.S.C. 10301 and 10321.
49 CFR 1001.1 Records available at the Commission's Washington office.
The following specific files and records in the custody of the
Secretary are available to the public under 49 U.S.C 10303 and may be
inspected at the Commission's Washington office upon reasonable request
during business hours between 8:30 a.m. and 5:00 p.m., Monday through
Friday.
(a) Copies of tariffs, rate schedules, quotations or tenders under 49
U.S.C. 10721(b)(2); classifications, powers of attorney, concurrences,
and contracts filed with the Commission pursuant to 49 U.S.C. 10762,
10764, 10765, 10766, 10721.
(b) Annual and other periodic reports filed with the Commission
pursuant to 49 U.S.C. 11145.
(c) Annual and other periodic reports, maps, profiles, and other data
filed with the Commission pursuant to 49 U.S.C. 10783.
(d) All docket files, including pleadings, depositions, exhibits,
transcripts of testimony, recommended and proposed reports, exceptions,
briefs, and reports and decisions of the Commission in any proceeding
and carrier operating authorities granted in such proceedings. This
does not apply to matters arising under 49 U.S.C 10928, Temporary
Authority for Motor and Water Carriers, which are filed in a Regional
Office until a petition for reconsideration is ripe for decision.
(e) File and index of instruments or documents recorded pursuant to
49 U.S.C 11303.
(f) ICC Manual -- Administration.
(5 U.S.C. 553; 49 U.S.C. 10301, 10303)
(46 FR 54948, Nov. 5, 1981)
49 CFR 1001.2 Records available at the Commission's regional and
detached offices.
Copies of certain rate schedules, tariffs, reports and operating
authorities filed by and applicable to motor and water carriers and
household goods freight forwarders, and docket files in matters arising
under 49 U.S.C. 10928 are available for inspection at field offices
whose locations are set forth in the appendix in this part. These
records are available upon reasonable request during its regular
business hours, Monday through Friday. Records not available at the
field offices may be obtained and inspected in accordance with the
provisions of 1001.1.
(45 FR 3583, Jan. 18, 1980, as amended at 51 FR 44297, Dec. 9, 1986)
49 CFR 1001.3 Certified copies of records, etc.
Copies of and extracts from public records will be certified by the
Secretary, under the seal of the Commission. Persons requesting the
Commission to prepare such copies should clearly state the material to
be copied, and whether it shall be certified. Charges will be made for
certification and for the preparation of copies as provided in part 1002
of this chapter.
(32 FR 20008, Dec. 20, 1967)
49 CFR 1001.4 Requests to inspect other records not considered public
under 5 U.S.C. 552.
Requests to inspect records other than those now deemed to be of a
public nature shall be in writing and addressed to the Freedom of
Information Officer. The Freedom of Information Officer shall determine
within 10 days of receipt of a request (excepting Saturdays, Sundays,
and legal public holidays) whether a requested record will be made
available. If the Freedom of Information Officer determines that a
request cannot be honored, he must inform the requesting party in
writing of this decision and such letter shall contain a detailed
explanation of why the requested material cannot be made available and
explain to the requesting party his or her right of appeal. If the
Freedom of Information Officer rules that such records cannot be made
available because they are exempt under the provisions of 5 U.S.C.
552(b), an appeal from such ruling may be addressed to the Chairman.
The Chairman's decision shall be administratively final and state the
specific exemption(s) contained in 5 U.S.C. 552(b) relied upon for
denial. Such an appeal must be filed within 30 days of the date of the
Freedom of Information Officer's letter. The Chairman shall act in
writing on such appeals within 20 days (excepting Saturdays, Sundays,
and legal public holidays) of receipt of any appeal. In unusual
circumstances, as set forth in 5 U.S.C. 552(a)(6)(B), the time limit may
be extended, by written notice to the person making the particular
request, setting forth the reasons for such extension, for no more than
10 working days. If the appeal is denied, the Chairman's order shall
notify the requesting party of his or her right to judicial review.
Charges shall be made as provided for in 1002.1(f) of this chapter.
(53 FR 23399, June 22, 1988)
49 CFR 1001.5 Predisclosure notification procedures for confidential
commercial information.
(a) In general. Confidential commercial information provided to the
Commission shall not be disclosed pursuant to a Freedom of Information
Act (FOIA) request except in accordance with this section. For such
purposes, the following definitions apply:
(1) Confidential commercial information means records provided to the
government by a submitter that arguably contain material exempt from
release under Exemption 4 of the Freedom of Information Act, 5 U.S.C.
552(b)(4), because disclosure could reasonably be expected to cause
substantial competitive harm.
(2) Submitter means any person or entity who provides confidential
commercial information to the government. The term ''submitter''
includes, but is not limited to, corporations, state governments, and
foreign governments.
(b) Notice to submitters. The Commission, to the extent permitted by
law, shall provide a submitter with prompt written notice of receipt of
a FOIA request encompassing its submissions in accordance with paragraph
(c) of this section, and except as provided in paragraph (g) of this
section. This notice shall either describe the exact nature of the
information requested or provide copies of the records themselves.
(c) When notice is required. Notice shall be given to a submitter
whenever:
(1) The Commission has reason to believe that disclosure of the
information could reasonably be expected to cause substantial
competitive harm; or
(2) The information has been designated, in good faith by the
submitter, as confidential commercial information at the time of
submission or a reasonable time thereafter.
Whenever possible, the submitter's claim of confidentiality shall be
supported by a statement or certification by an officer or authorized
representative of the company that the information in question is in
fact confidential commercial information and has not been disclosed to
the public.
(d) Opportunity to object to disclosure. (1) Through the notice
described in paragraph (b) of this section, the Commission shall afford
a submitter a reasonable period of time in which to provide it with a
detailed statement of any objection to disclosure. Such statement shall
specify all grounds for withholding the requested information.
(2) When notice is given to a submitter under this section, the
Commission also shall notify the requester that it has been provided.
(e) Notice of intent to disclose. The Commission shall consider
carefully submitter's objections and specific grounds for nondisclosure
prior to its determination whether or not to disclose the requested
information. Whenever the Commission decides to disclose the
information over a submitter's objection, it shall provide the submitter
with written notice containing the following:
(1) A description or copy of the information to be disclosed;
(2) The reasons why the submitter's disclosure objections were not
sustained; and
(3) A specific disclosure date, which shall be a reasonable number of
days after the notice of intent to disclose has been mailed to the
submitter.
At the same time that notice of intent to disclose is given to a
submitter, the Commission shall notify the requester accordingly.
(f) Notice of lawsuit. (1) Whenever a FOIA requester brings legal
action seeking to compel disclosure of confidential commercial
information, the Commission shall promptly notify the submitter.
(2) Whenever a submitter brings legal action seeking to prevent
disclosure of confidential commercial information, the Commission shall
promptly notify the requester.
(g) Exception to notice requirement. The notice rquirements of this
section shall not apply if:
(1) The Commission determines that the information requested should
not be disclosed; or
(2) The information already has been published or otherwise
officially made available to the public; or
(3) Disclosure of the information is required by law (other than 5
U.S.C. 552); or
(4) Disclosure is required by a Commission rule that:
(i) was adopted pursuant to notice and public comment;
(ii) specifies narrow classes or records submitted to the Commission
that are to be released; and
(iii) provides in exceptional circumstances for notice when the
submitter provides written justification, at the time the information is
submitted or a reasonable time thereafter, that disclosure of the
information could reasonably be expected to cause substantial
competitive harm; or
(5) The information requested is not designated by the submitter as
exempt from disclosure, when the submitter had an opportunity to do so
at the time of submission or within a reasonable time thereafter, unless
the Commission has reason to believe that disclosure of the information
could reasonably be expected to cause substantial competitive harm; or
(6) The designation made by the submitter in accordance with these
regulations appears obviously frivolous; in such case, the Commission
must provide the submitter only with written notice of any
administrative disclosure determination within a reasonable number of
days prior to the specified disclosure date.
(54 FR 16368, Apr. 24, 1989)
49 CFR 1001.5 PART 1002 -- FEES
Sec.
1002.1 Fees for records search, review, copying, certification, and
related services.
1002.2 Filing fees.
1002.3 Updating user fees.
Authority: 5 U.S.C. 552(a)(4)(A), 5 U.S.C. 553, 31 U.S.C. 9701 and
49 U.S.C. 10321.
49 CFR 1002.1 Fees for records search, review, copying, certification,
and related services.
Certifications and copies of such tariffs, reports and other public
records and documents on file with the Interstate Commerce Commission as
may be practicable to furnish, as well as searches and copying of
records not considered public under the Freedom of Information Act (5
U.S.C. 552), will be furnished on the following basis:
(a) Certificate of the Secretary, $6.00.
(b) Services involved in examination of tariffs or schedules for
preparation of certified copies of tariffs or schedules or extracts
therefrom at the rate of $19.00 per hour.
(c) Services involved in checking records to be certified to
determine authenticity, including the clerical work, etc., incidental
thereto, at the rate of $13.00 per hour.
(d) Electrostatic copies of tariffs, reports, and other public
documents, at the rate of $0.60 per letter size or legal size exposure.
A minimum charge of $3.00 will be made for this service.
(e) The fee for search and copying services requiring ADP processing
are as follows:
(1) A fee of $30.00 per hour for professional staff time will be
charged when it is required to fulfill a request for ADP data.
(2) The fee for port minute time for the search will be set at the
current rate set forth in the Commission's contract with its time
sharing computer contractor. Information on those charges can be
obtained from the Chief, Section of Systems Development, Interstate
Commerce Commission, Washington, DC 20423.
(3) Printing shall be charged at the rates of $.10 per page of
computer generated output with a minimum charge of $.25. A charge of $30
per reel of magnetic tape will be made if the tape is to be permanently
retained by the requestor.
(f) The fees for search, review and copying services for records not
considered public under the Freedom of Information Act are as follows:
(1) When records are sought for commercial use, requesters will be
assessed the full and reasonable direct costs of document search, review
and duplication. A ''commercial use'' request refers to a request from
or on behalf of one who seeks information for a use or purpose that
furthers the commercial, trade, or profit interests of the requester or
the person on whose behalf the request is made.
(2) When records are not sought for commercial use and a request is
made by an educational or noncommercial scientific institution,
requesters will be assessed only for the cost of duplication (excluding
charges for the first 100 pages). The term ''Educational Institution''
refers to a preschool, a public or private elementary or secondary
school, an institution of graduate higher education, an institution of
undergraduate higher education, an institution of professional
education, and an institution of vocational education, which operates a
program of scholarly research. The term ''noncommercial scientific
institution'' refers to an institution that is not operated on a
''commercial'' basis and that is operated solely for the purpose of
conducting scientific research the results of which are not intended to
promote any particular product or industry. They must show that their
request is authorized by and under the auspices of a qualifying
institution and the records are not sought for a commercial use but,
instead, are in furtherance of scholarly or scientific research.
(3) Requesters who are representatives of the news media (persons
actively gathering news for an entity that is organized and operated to
publish or broadcast news to the public) will be assessed only for the
cost of duplication (excluding charges for the first 100 pages) if they
can show that their request is not made for a commercial use. A request
for records supporting the news dissemination function of the requester
shall not be considered a request for a commercial use.
(4) All other requesters will be assessed fees which recover the
full, reasonable direct cost of searching for and duplicating records
that are responsive to the request (excluding charges for the first 100
pages of duplication and the first two hours of search time).
(5) All requesters must reasonably describe the records sought.
(6) The search and review hourly fees will be based upon employee
grade levels in order to recoup the full, allowable direct costs
attributable to their performance of these functions. They are as
follows:
(7) The fee for electrostatic copies shall be $.60 per letter or
legal size exposure with a minimum charge of $3.00.
(8) The fee charged for ADP data is set forth in paragraph (e) of
this section.
(9) If the cost of collecting any fee would be equal to or greater
than the fee itself, it will not be assessed.
(10) A fee may be charged for searches which are not productive and
for searches for records or those parts of records which subsequently
are determined to be exempt from disclosure.
(11) Interest charges may be assessed on any unpaid bill starting on
31st day following the day on which the billing was sent, at the rate
prescribed in Section 3717 of Title 31 U.S.C. and will accrue from the
date of the billing. The Debt Collection Act, including disclosure to
consumer reporting agencies and the use of collection agencies, will be
utilized to encourage payment where appropriate.
(12) If search charges are likely to exceed $25, the requester will
be notified of the estimated fees unless requester willingness to pay
whatever fee is assessed has been provided in advance. The
administrative time limits prescribed in 5 U.S.C. 552(a)(6) will not
begin until after the requester agrees in writing to accept the
prospective charges.
(13) An advance payment (before work is commenced or continued on a
request) may be required if the charges are likely to exceed $250.
Requesters who have previously failed to pay a fee charged in timely
fashion (i.e. within 30 days of the date of billing) may be required
first to pay this amount plus any applicable interest (or demonstrate
that the fee has been paid) and then make an advance payment of the full
amount of the estimated fee before the new or pending request is
processed. The administrative time limits prescribed in 5 U.S.C.
552(a)(6) also will not begin until after a requester has complied with
this provision.
(14) Documents shall be furnished without any charge or at a charge
reduced below the fees set forth above if disclosure of the information
is in the public interest because it is likely to contribute
significantly to public understanding of the operations or activities of
the government and is not primarily in the commercial interest of the
requester. The following six factors will be employed in determining
when such fees shall be waived or reduced:
(i) The subject of the request: Whether the subject of the requester
records concerns ''the operations or activities of the government'';
(ii) The informative value of the information to be disclosed:
Whether the disclosure is ''likely to contribute'' to an understanding
of government operations or activities;
(iii) The contribution to an understanding of the subject by the
general public likely to result from disclosure: Whether disclosure of
the requested information will contribute to ''public understanding'';
(iv) The significance of the contribution to public understanding:
Whether the disclosure is likely to contribute ''significantly'' to
public understanding of government operations or activities;
(v) The existence and magnitude of a commercial interest: Whether
the requester has a commercial interest that would be furthered by the
requested disclosure; and, if so
(vi) The primary interest in disclosure: Whether the magnitude of
the identified commercial interest of the requester is sufficiently
large, in comparison with the public interest in disclosure, that
disclosure is ''primarily in the commercial interest of the requester.''
This fee waiver and reduction provision will be implemented in
accordance with guidelines issued by the U.S. Department of Justice on
April 2, 1987 and entitled ''New FOIA Fee Waiver Policy Guidance.'' A
copy of these guidelines may be inspected or obtained from the ICC's
Freedom of Information Office, 12th & Constitution Avenue NW., Room
3132, Washington, DC 20423.
(g) Payment for services described in paragraphs (a) through (f) of
this section may be made in cash or by postal money order or check
payable to the order of the Secretary, Interstate Commerce Commission,
Washington, D.C., and forwarded to his office.
(h) Transcript of testimony and of oral argument, or extracts
therefrom, may be purchased by the public from the Commission's official
reporter. For information regarding the official reporter, contact the
Secretary, Interstate Commerce Commission, Washington, DC 20423.
(32 FR 20010, Dec. 20, 1967, as amended at 47 FR 47394, Oct. 26,
1982; 49 FR 18491, May 1, 1984; 49 FR 39548, Oct. 9, 1984; 50 FR
40025, Oct. 1, 1985; 50 FR 41159, Oct. 9, 1985; 52 FR 46481, Dec. 8,
1987; 53 FR 23399, June 22, 1988; 53 FR 33814, Sept. 1, 1988; 54 FR
36030, Aug. 31, 1989; 55 FR 35636, Aug. 31, 1990; 56 FR 42237, Aug.
27, 1991)
49 CFR 1002.2 Filing fees.
(a) Manner of payment. (1) Except as specified in paragraph (a)(2)
of this section, all filing fees will be payable at the time and place
the application, petition, notice, tariff, contract or other document is
tendered for filing.
(2) When emergency temporary operating authority applications (Item
9) and emergency temporary operating authority extensions (Item 10) are
initiated by telegram or telephone, the fee or fees are due when the
OCCA-95 application is submitted to the appropriate Commission regional
office.
(3) Fees will be payable to the Interstate Commerce Commission by
check drawn upon funds deposited in a bank in the United States or money
order payable in U.S. currency or credit cards (Visa or Master Card).
(b) Deficiencies. (1) Any filing that is not accompanied by the
appropriate filing fee is deficient.
(2) The Secretary will inform any person who submits a deficient
filing that:
(i) Such filing will be rejected, unless the appropriate fee is
submitted within a specified time;
(ii) The Commission will not process any filing that is deficient
under this paragraph; and
(iii) The date of filing will be deemed the date on which the
Commission receives the appropriate fee.
(3) This provision does not preclude a determination that a filing is
deficient for any other reason.
(c) Fees not refundable. Fees will be assessed for every filing in
the type of proceeding listed in the schedule of fees contained in
paragraph (f) of this section, subject to the exceptions contained in
paragraphs (d) and (e) of this section. After the application,
petition, notice, tariff, contract, or other document has been accepted
for filing by the Commission, the filing fee will not be refunded,
regardless of whether the application, petition, notice, tariff,
contract, or other document is granted or approved, denied, dismissed,
or withdrawn. If an application, petition, notice, tariff, contract, or
other document is rejected by the Commission as incomplete or for some
other reason, prior to docketing or acceptance, the fee will be
returned. If an application is rejected as incomplete after docketing,
the applicant will be given the opportunity to file a replacement
application with reference to the fee number assigned to the prior
application and no additional fee will be required, but the fee will not
be refunded. If an individual exemption proceeding becomes a matter of
general applicability and is handled through the rulemaking process, the
Commission will refund the filing fee.
(d) Related or consolidated proceedings. (1) Separate fees need not
be paid on related applications filed by the same applicant which would
be the subject of one proceeding.
(2) Each filing of an original or updated notice of intent to engage
in compensated intercorporate hauling operations shall be considered a
separate filing, and shall be subject to payment as described in
paragraph (f)(12) of this section.
(3) Separate fees will be assessed for the filing of temporary
operating authority applications as provided in paragraphs (f) (8), (9)
and (10) of this section, regardless of whether such applications are
related to an application for corresponding permanent operating
authority. A separate fee will be assessed for the filing of an
application for temporary authority to operate a motor or water carrier
as provided in paragraph (f)(24) of this section regardless of whether
such application is related to a corresponding transfer proceeding as
provided for in paragraph (f)(25) of this section or a notice of
exemption as provided for in paragraph (f)(27) of this section.
(4) The Commission may reject concurrently filed applications,
petitions, notices, contracts, or other documents asserted to be related
and refund the filing fee if, in its judgment, they embrace two or more
severable matters which should be the subject of separate proceedings.
(e) Waiver of reduction of filing fees. It is the general policy of
the Commission not to waive or reduce filing fees except as described
below:
(1) Filing fees are waived for an application or other proceeding
which is filed by a federal government agency, or a state or local
government entity. For purposes of this section the phrases ''federal
government agency'' or ''government entity'' do not include a
quasi-governmental corporation or government subsidized transportation
company.
(2) In extraordinary situations the Commission will accept requests
for waivers or fee reductions in accordance with the following
procedure:
(i) When to request. At the time that a filing is submitted to the
Commission the applicant may request a waiver or reduction of the fee
prescribed in this part. Such request should be addressed to the
Secretary.
(ii) Basis. The applicant must show the waiver or reduction of the
fee is in the best interest of the public, or that payment of the fee
would impose an undue hardship upon the requestor.
(iii) Commission action. The Secretary will notify the applicant of
the decision to grant or deny the request for waiver or reduction.
(f) Schedule of filing fees.
(49 FR 18492, May 1, 1984, as amended at 50 FR 40026, Oct. 1, 1985;
50 FR 41159, Oct. 9, 1985; 50 FR 41899, Oct. 16, 1985; 50 FR 43193,
Oct. 24, 1985; 50 FR 47224, Nov. 15, 1985; 51 FR 18589, May 21, 1986;
51 FR 44297, Dec. 9, 1986; 53 FR 33814, Sept. 1, 1988; 54 FR 36030,
Aug. 31, 1989; 54 FR 40115, Sept. 29, 1989; 55 FR 35636, Aug. 31,
1990; 56 FR 42237, Aug. 27, 1991; 56 FR 46667, Sept. 13, 1991)
49 CFR 1002.3 Updating user fees.
(a) Update. Each fee established in this part shall be updated in
accordance with this section annually.
(b) Publication and effective dates. Updated fees shall be published
in the Federal Register and shall become effective 30 days after
publication.
(c) Payment of fees. Any person submitting a filing for which a fee
is established shall pay the fee in effect at the time of the filing.
(d) Method of updating fees. Each fee shall be updated by updating
the cost components comprising the fee. Cost components shall be
updated as follows:
(1) Direct labor costs shall be updated by multiplying base level
direct labor costs by percentage changes in average wages and salaries
of Commission employees. Base level direct labor costs are direct labor
costs determined by the Commission's FY 1983-84 User Fee Cost Study.
The base period for measuring changes shall be April 1984.
(2) Operations overhead shall be developed each year on the basis of
current relationships existing on a weighted basis, for indirect labor
applicable to the first supervisory work centers directly associated
with user fee activity. Actual updating of operations overhead will be
accomplished by applying the current percentage factor to updated direct
labor, including current governmental overhead costs.
(3)(i) Office general and administrative costs shall be developed
each year on the basis of current level costs, i.e., dividing actual
office general and administrative costs for the current fiscal year by
total office costs for the Offices and Bureaus directly associated with
user fee activity. Actual updating of office general and administrative
costs will be accomplished by applying the current percentage factor to
updated direct labor, including current governmental overhead and
current operations overhead costs.
(ii) Commission general and administrative costs shall be developed
each year on the basis of current level costs; i.e., dividing actual
Commission general and administrative costs for the current fiscal year
by total agency expenses for the current fiscal year. Actual updating
of Commission general and administrative costs will be accomplished by
applying the current percentage factor to updated direct labor,
including current governmental overhead, operations overhead and office
general and administrative costs.
(4) Publication costs shall be adjusted on the basis of known changes
in the costs applicable to publication of material in the Federal
Register or ICC Register.
(e) Rounding of updated fees. Updated fees shall be rounded in the
following manner: (1) Fees between $1-$30 will be rounded to the
nearest $1; (2) fees between $30-$100 will be rounded to the nearest
$10; (3) fees between $100-$999 will be rounded to the nearest $50;
and (4) fees above $1,000 will be rounded to the nearest $100. (This
rounding procedure excludes copying, printing and search fees.)
(49 FR 18494, May 1, 1984, as amended at 52 FR 46483, Dec. 8, 1987)
49 CFR 1002.3 PART 1003 -- LIST OF FORMS
Sec.
1003.1 General information.
1003.2 Motor and water carrier, broker, and household goods freight
forwarder forms.
1003.3 Insurance and surety bond forms.
1003.4 Forms for issuance of securities and assumption of
obligations.
Authority: 5 U.S.C. 551(a), 5 U.S.C. 553(1)(c), 49 U.S.C. 10321.
49 CFR 1003.1 General information.
(a) The forms listed in this part are prescribed for various
applications under the Interstate Commerce Act and the Commission's
regulations contained in subchapters A and B of this chapter.
(b) Other printed forms are prescribed in the Commission's
regulations governing accounts, records, and reports contained in
subchapter C of this chapter.
(c) All prescribed forms listed in this part and subchapter C include
instructions for their completion.
(d) Copies of all prescribed forms except insurance forms are
available upon request from the Office of the Secretary, Publications
Unit, Interstate Commerce Commission, Washington, DC 20423.
(50 FR 40028, Oct. 1, 1985)
49 CFR 1003.2 Motor and water carrier, broker, and household goods
freight forwarder forms.
BOC-3 Designation of Agent for Service of Process.
This form is required to be filed by all motor carriers and brokers
prior to issuance of operating authority. See 49 U.S.C. 10330(b).
Cross Reference: 49 CFR part 1044.
OP-1 (Effective 6/1/90).
Interstate Commerce Commission Authority Application.
Cross Reference: 49 CFR parts 1160 and 1162.
OP-FC-1.
Applications in proceedings (other than those under 49 U.S.C. 11343)
for transfer or lease of:
(1) Motor carrier Certificates of Registration issued pursuant to 49
U.S.C. 10931;
(2) Motor common and contract carrier operating rights issued
pursuant to 49 U.S.C. 10922 and 10923, respectively;
(3) Property broker licenses issued pursuant to 49 U.S.C. 10924;
(4) Household goods freight forwarder permits issued pursuant to 49
U.S.C. 10923; and
(5) Water common and contract carrier operating rights issued
pursuant to 49 U.S.C. 10922 and 10923, respectively.
OP-F-46.
Application for approval, under 49 U.S.C. 11349, of the temporary
operation of motor carrier or water carrier properties.
Cross Reference: 49 CFR part 1187.
OP-OR-110.
Application for certificate of exemption under 49 U.S.C. 10525
covering motor carrier operations in interstate or foreign commerce
lawfully conducted solely within a single State.
OCCA-19.
Application for extension of emergency temporary authority.
Cross Reference: 49 CFR part 1162.
BOP-79.
Application for approval of contract carrier rental contract.
Cross Reference: 49 CFR 1057.41(d).
OCP-100.
Your Rights and Responsibilities When You Move.
OCP-101.
Annual Performance Report.
Cross Reference: 49 CFR Part 1056.
OCP-102.
Notice to the Commission of Intent to Perform Interstate
Transportation for Certain Nonmembers Under 49 U.S.C. 10526(a)(5), to be
used by cooperative associations or federations of cooperative
associations which intend to perform interstate transportation for
nonmembers who are neither farmers, other cooperative associations, nor
federations of cooperative associations.
Cross Reference: 49 CFR 1047.23.
(50 FR 40028, Oct. 1, 1985, as amended at 51 FR 34219, Sept. 26,
1986; 51 FR 44297, Dec. 9, 1986; 53 FR 4851, Feb. 18, 1988; 54 FR
35343, Aug. 25, 1989; 54 FR 53637, Dec. 29, 1989; 55 FR 38809, Sept.
21, 1990)
49 CFR 1003.3 Insurance and surety bond forms.
B.M.C. 32.
Endorsement for Motor Common Carrier Policies of Insurance for Cargo
Liability under section 10927, title 49 of the United States Code.
B.M.C. 34.
Motor Carrier Cargo Liability Certificate of Insurance.
B.M.C. 35.
Notice of Cancellation Motor Carrier Policies of Insurance under 49
U.S.C. 10927.
B.M.C. 36.
Notice of Cancellation Motor Carrier and Broker Surety Bonds.
B.M.C. 40.
Application for Authority to Self-Insurer under 49 U.S.C. 10927.
B.M.C. 82.
Motor Carrier Bodily Injury Liability and Property Damage Liability
Surety Bond under 49 U.S.C. 10927.
B.M.C. 83 (Rev. 1976).
Motor Common Carrier Cargo Liability Surety Bond.
B.M.C. 84.
Broker's Surety Bond under Section 49 U.S.C. 10927.
B.M.C. 85.
Broker Trust Fund Agreement under 49 U.S.C. 10927 or Notice of
Cancellation of the Agreement.
B.M.C. 90 (Rev. 1982).
Endorsement for Motor Carrier Policies of Insurance for Automobile
Bodily Injury and Property Damage Liability under 49 U.S.C. 10927.
B.M.C. 91 (Rev. 1982).
Motor Carrier Automobile Bodily Injury and Property Damage Liability
Certificate of Insurance.
B.M.C. 91X (1/1982).
Motor Carrier Automobile Bodily Injury and Property Damage Liability
Certificate of Insurance.
Cross Reference: 49 CFR part 1043.
BMC 91MX (1985).
Motor Carrier Automobile Bodily Injury and Property Damage Liability
Certificate of Insurance for Foreign Motor Private Carriers of
Nonhazardous Commodities.
(50 FR 40028, Oct. 1, 1985, as amended at 50 FR 40030, Oct. 1, 1985;
53 FR 10396, Mar. 31, 1988)
49 CFR 1003.4 Forms for issuance of securities and assumption of
obligations.
(a) Application forms:
OP-F-210.
Special application for authority to sell securities without
competitive bidding.
(b) Report Forms:
OP-F-220.
Certificate of notification under 49 U.S.C. 11301. Disposal of
pledged or Treasury securities.
OP-F-230.
Certificate of notification under 49 U.S.C. 11301. Issuance of
short-term notes.
OP-F-240.
Special report under 49 U.S.C. 11301. Issuance of securities or
assumption of obligations.
Cross Reference: 49 CFR Part 1175.
(50 FR 40028, Oct. 1, 1985, as amended at 53 FR 10396, Mar. 31, 1988)
49 CFR 1003.4 PART 1004 -- INTERPRETATIONS AND ROUTING REGULATIONS
49 CFR 1003.4 Subpart A -- Interpretation of Operating Rights
Sec.
1004.1 Return transportation.
1004.2 Authority to serve a particular area -- construction.
1004.3 Incidental for-hire transportation by private carrier.
49 CFR 1003.4 Subpart B -- Miscellaneous Interpreations
1004.10 Gifts, donations, and hospitality by carriers.
49 CFR 1003.4 Subpart C -- Routing Regulations
1004.20 Regular-route motor passenger service.
1004.21 Traversal authority.
1004.22 Tacking.
1004.23 Elimination of routing restrictions -- regular-route
carriers.
1004.24 Elimination of gateways -- regular- and irregular-route
carriers.
1004.25 Redesignated highways.
1004.26 Misrouting, adjustment of claims.
Authority: 49 U.S.C. 10321 and 5 U.S.C. 553. Subpart C also issued
under 49 U.S.C. 10922(h)(1)(A).
Source: 53 FR 47219, Nov. 22, 1988, unless otherwise noted.