DOT 49 CFR PART 534-2010 RIGHTS AND RESPONSIBILITIES OF MANUFACTURERS IN THE CONTEXT OF CHANGES IN CORPORATE RELATIONSHIPS.pdf

1、113 Natl Highway Traffic Safety Admin., DOT 534.4 NOTE TO APPENDIX A FIGURE 3. Since the actual average fuel economy of Manufac-turer Xs fleet is 23.2 mpg, as compared to its required fuel economy level of 23.1 mpg, Manufacturer X complies with the Reformed CAFE standard for MY 2008 as set forth in

2、533.7(g). 71 FR 17677, Apr. 6, 2006; 71 FR 19451, Apr. 14, 2006, as amended at 75 FR 25724, May 7, 2010 PART 534RIGHTS AND RESPON-SIBILITIES OF MANUFACTURERS IN THE CONTEXT OF CHANGES IN CORPORATE RELATIONSHIPS Sec. 534.1 Scope. 534.2 Applicability. 534.3 Definitions. 534.4 Successors and predecesso

3、rs. 534.5 Manufacturers within control rela-tionships. 534.6 Reporting corporate transactions. 535.7 Situations not directly addressed by this part. AUTHORITY: 49 U.S.C. 32901; delegation of authority at 49 CFR 1.50. SOURCE: 69 FR 77671, Dec. 28, 2004, unless otherwise noted. 534.1 Scope. This part

4、defines the rights and re-sponsibilities of manufacturers in the context of changes in corporate rela-tionships for purposes of the auto-motive fuel economy program estab-lished by 49 U.S.C. Chapter 329. 534.2 Applicability. This part applies to manufacturers of passenger automobiles and non-pas-sen

5、ger automobiles. 534.3 Definitions. (a) Statutory definitions and terms. All terms used in 49 U.S.C. Chapter 329 are used according to their statutory meaning. (b) As used in this part Control relationship means the re-lationship that exists between manu-facturers that control, are controlled by, or

6、 are under common control with, one or more other manufacturers. Predecessor means a manufacturer whose rights have been vested in and whose burdens have been assumed by another manufacturer. Successor means a manufacturer that has become vested with the rights and assumed the burdens of another man

7、ufacturer. 534.4 Successors and predecessors. For purposes of the automotive fuel economy program, manufacturer in-cludes predecessors and successors to the extent specified in paragraphs (a) through (d) of this section. (a) Successors are responsible for any civil penalties that arise out of fuel e

8、conomy shortfalls incurred and not satisfied by predecessors. (b) If one manufacturer has become the successor of another manufacturer during a model year, all of the vehicles VerDate Mar2010 14:39 Dec 20, 2010 Jkt 220217 PO 00000 Frm 00123 Fmt 8010 Sfmt 8010 Y:SGML220217.XXX 220217ER06AP06.041jdjon

9、es on DSKHWCL6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-114 49 CFR Ch. V (10110 Edition) 534.5 produced by those manufacturers dur-ing the model year are treated as though they were manufactured by the same manufacturer. A manufa

10、cturer is considered to have become the suc-cessor of another manufacturer during a model year if it is the successor on September 30 of the corresponding cal-endar year and was not the successor for the preceding model year. (c) Credits earned by a predecessor before or during model year 2007 may b

11、e used by a successor, subject to the availability of credits and the general three-year restriction on carrying cred-its forward and the general three-year restriction on carrying credits back-ward. Credits earned by a predecessor after model year 2007 may be used by a successor, subject to the ava

12、ilability of credits and the general five-year re-striction on carrying credits forward and the general three-year restriction on carrying credits backward. (d) Credits earned by a successor be-fore or during model year 2007 may be used to offset a predecessors shortfall, subject to the availability

13、 of credits and the general three-year restriction on carrying credits forward and the general three-year restriction on car-rying credits backward. Credits earned by a successor after model year 2007 may be used to offset a predecessors shortfall, subject to the availability of credits and the gene

14、ral five-year re-striction on carrying credits forward and the general three-year restriction on carrying credits backward. 69 FR 77671, Dec. 28, 2004, as amended at 74 FR 14452, Mar. 30, 2009 534.5 Manufacturers within control relationships. (a) If a civil penalty arises out of a fuel economy short

15、fall incurred by a group of manufacturers within a con-trol relationship, each manufacturer within that group is jointly and sever-ally liable for the civil penalty. (b) A manufacturer is considered to be within a control relationship for an entire model year if and only if it is within that relatio

16、nship on September 30 of the calendar year in which the model year ends. (c) Credits of a manufacturer within a control relationship may be used by the group of manufacturers within the control relationship to offset short-falls, subject to the agreement of the other manufacturers, the availability

17、of the credits, and the general three- year restriction on carrying credits forward or backward prior to or during model year 2007, or the general five- year restriction on carrying credits forward and the general three-year re-striction on carrying credits backward after model year 2007. (d) If a m

18、anufacturer within a group of manufacturers is sold or otherwise spun off so that it is no longer within that control relationship, the manufac-turer may use credits that were earned by the group of manufacturers within the control relationship while the man-ufacturer was within that relationship, s

19、ubject to the agreement of the other manufacturers, the availability of the credits, and the general three-year re-striction on carrying credits forward or backward prior to or during model year 2007, or the general five-year restric-tion on carrying credits forward and the general three-year restri

20、ction on carrying credits backward after model year 2007. (e) Agreements among manufacturers in a control relationship related to the allocation of credits or liabilities ad-dressed by this section shall be filed with the agency within 60 days of the end of each model year in the same form as specif

21、ied in section 534.6. The manufacturers may seek confidential treatment for information provided in the certified report in accordance with 49 CFR Part 512. 69 FR 77671, Dec. 28, 2004, as amended at 74 FR 14452, Mar. 30, 2009 534.6 Reporting corporate trans-actions. Manufacturers who have entered in

22、to written contracts transferring rights and responsibilities such that a dif-ferent manufacturer owns the control-ling stock or exerts control over the design, production or sale of auto-mobiles to which a Corporate Average Fuel Economy standard applies shall report the contract to the agency as fo

23、llows: (a) The manufacturers must file a certified report with the agency affirm-atively stating that the contract trans-fers rights and responsibilities between VerDate Mar2010 14:39 Dec 20, 2010 Jkt 220217 PO 00000 Frm 00124 Fmt 8010 Sfmt 8010 Y:SGML220217.XXX 220217jdjones on DSKHWCL6B1PROD with

24、CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-115 Natl Highway Traffic Safety Admin., DOT 536.3 them such that one manufacturer has assumed a controlling stock ownership or control over the design, production or sale of vehicles. The report must

25、 also specify the first full model year to which the transaction will apply. (b) Each report shall (i) Identify each manufacturer; (ii) State the full name, title, and ad-dress of the official responsible for pre-paring the report; (iii) Identify the production year being reported on; (iv) Be writte

26、n in the English lan-guage; and (v) Be submitted to: Administrator, National Highway Traffic Safety Ad-ministration, 400 Seventh Street, SW., Washington, DC 20590. (c) The manufacturers may seek con-fidential treatment for information provided in the certified report in ac-cordance with 49 CFR part

27、512. 534.7 Situations not directly ad-dressed by this part. To the extent that this part does not directly address an issue concerning the rights and responsibilities of manu-facturers in the context of a change in corporate relationships, the agency will make determinations based on in-terpretation

28、 of the statute and the principles reflected in the part. PART 536TRANSFER AND TRAD-ING OF FUEL ECONOMY CRED-ITS Sec. 536.1 Scope. 536.2 Application. 536.3 Definitions. 536.4 Credits. 536.5 Trading infrastructure. 536.6 Treatment of credits earned prior to model year 2011. 536.7 Treatment of carryba

29、ck credits. 536.8 Conditions for trading of credits. 536.9 Use of credits with regard to the do-mestically manufactured passenger auto-mobile minimum standard. 536.10 Treatment of dual-fuel and alter-native fuel vehiclesconsistency with 49 CFR part 538. AUTHORITY: Sec. 104, Pub. L. 110140 (49 U.S.C.

30、 32903); delegation of authority at 49 CFR 1.50. SOURCE: 74 FR 14452, Mar. 30, 2009, unless otherwise noted. 536.1 Scope. This part establishes regulations gov-erning the use and application of CAFE credits up to three model years before and five model years after the model year in which the credit

31、was earned. It also specifies requirements for manu-facturers wishing to transfer fuel econ-omy credits between their fleets and for manufacturers and other persons wishing to trade fuel economy credits to achieve compliance with prescribed fuel economy standards. 536.2 Application. This part applie

32、s to all credits earned (and transferable and tradable) for ex-ceeding applicable average fuel econ-omy standards in a given model year for domestically manufactured pas-senger cars, imported passenger cars, and light trucks. 536.3 Definitions. (a) Statutory terms. All terms de-fined in 49 U.S.C. 32

33、901(a) are used pursuant to their statutory meaning. (b) Other terms. Above standard fuel economy means, with respect to a compliance category, that the automobiles manufactured by a manufacturer in that compliance cat-egory in a particular model year have greater average fuel economy (cal-culated i

34、n a manner that reflects the incentives for alternative fuel auto-mobiles per 49 U.S.C. 32905) than that manufacturers fuel economy standard for that compliance category and model year. Adjustment factor means a factor used to adjust the value of a traded or trans-ferred credit for compliance purpos

35、es to ensure that the compliance value of the credit when used reflects the total volume of oil saved when the credit was earned. Below standard fuel economy means, with respect to a compliance category, that the automobiles manufactured by a manufacturer in that compliance cat-egory in a particular

36、 model year have lower average fuel economy (calculated in a manner that reflects the incen-tives for alternative fuel automobiles per 49 U.S.C. 32905) than that manufac-turers fuel economy standard for that compliance category and model year. VerDate Mar2010 14:39 Dec 20, 2010 Jkt 220217 PO 00000 Frm 00125 Fmt 8010 Sfmt 8010 Y:SGML220217.XXX 220217jdjones on DSKHWCL6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-