DOT 49 CFR PART 573-2010 DEFECT AND NONCOMPLIANCE RESPONSIBILITY AND REPORTS.pdf

1、160 49 CFR Ch. V (10110 Edition) Pt. 573 71 FR 75370, Dec. 14, 2006, as amended at 74 FR 29896, June 23, 2009 PART 573DEFECT AND NON-COMPLIANCE RESPONSIBILITY AND REPORTS Sec. 573.1 Scope. 573.2 Purpose. 573.3 Application. 573.4 Definitions. 573.5 Defect and noncompliance responsi-bility. 573.6 Defe

2、ct and noncompliance information report. 573.7 Quarterly reports. 573.8 Lists of purchasers, owners, dealers, distributors, lessors and lessees. 573.9 Address for submitting required re-ports and other information. 573.10 Reporting the sale or lease of defec-tive or noncompliant tires. 573.11 Prohib

3、ition on sale or lease of new defective and noncompliant motor vehi-cles and items of replacement equip-ment. 573.12 Prohibition on sale or lease of new and used defective and noncompliant motor vehicle equipment. 573.13 Reimbursement for prenotification remedies. 573.14 Accelerated remedy program.

4、AUTHORITY: 49 U.S.C. 30102, 30103, 30116 30121, 30166; delegation of authority at 49 CFR 1.50 and 49 CFR 501.8. SOURCE: 43 FR 60169, Dec. 26, 1978, unless otherwise noted. 573.1 Scope. This part: (a) Sets forth the responsibilities under 49 U.S.C. 3011630121 of manufac-turers of motor vehicles and m

5、otor ve-hicle equipment with respect to safety- related defects and noncompliances with Federal motor vehicle safety standards in motor vehicles and items of motor vehicle equipment; and (b) Specifies requirements for (1) Manufacturers to maintain lists of owners, purchasers, dealers, and dis-tribut

6、ors notified of defective and non-complying motor vehicles and motor vehicle original and replacement equip-ment, (2) Reporting to the National High-way Traffic Safety Administration (NHTSA) defects in motor vehicles and motor vehicle equipment and non-compliances with motor vehicle safety standards

7、 prescribed under part 571 of this chapter, and VerDate Mar2010 10:10 Dec 13, 2010 Jkt 220218 PO 00000 Frm 00170 Fmt 8010 Sfmt 8010 Y:SGML220218.XXX 220218ER23JN09.007wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-1

8、61 Natl Highway Traffic Safety Admin., DOT 573.4 (3) Providing quarterly reports on de-fect and noncompliance notification campaigns. 69 FR 34959, June 23, 2004 573.2 Purposes. The purposes of this part are: (a) To facilitate the notification of owners of defective and noncomplying motor vehicles an

9、d items of motor ve-hicle equipment, and the remedy of such defects and noncompliances, by equitably apportioning the responsi-bility for safety-related defects and noncompliances with Federal motor vehicle safety standards among manu-facturers of motor vehicles and motor vehicle equipment; and (b)

10、To inform NHTSA of defective and noncomplying motor vehicles and items of motor vehicle equipment, and to obtain information for NHTSA on the adequacy of manufacturers defect and noncompliance notification cam-paigns, on corrective action, on owner response, and to compare the defect in-cidence rate

11、 among different groups of vehicles. 67 FR 45872, July 10, 2002 573.3 Application. (a) Except as provided in paragraphs (g), (h), and (i) of this section, this part applies to manufacturers of complete motor vehicles, incomplete motor vehi-cles, and motor vehicle original and re-placement equipment,

12、 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 non-compliance decided to exist in a motor vehicle or equipment item imported into the United States, compliance with 573.6 and 573.7 by either the fab

13、-ricating manufacturer or the importer of the vehicle or equipment item shall be considered compliance by both. (c) In the case of a defect or non-compliance decided to exist in a vehi-cle manufactured in two or more stages, compliance with 573.6 and 573.7 by either the manufacturer of the incomplet

14、e vehicle or any subsequent manufacturer of the vehicle shall be considered compliance by all manufac-turers. (d) In the case of a defect or non-compliance decided to exist in an item of replacement equipment (except tires) compliance with 573.6 and 573.7 by the brand name or trademark owner shall b

15、e considered compliance by the manufacturer. Tire brand name owners are considered manufacturers (49 U.S.C. 10102(b)(1)(E) and have the same reporting requirements as manufactur-ers. (e) In the case of a defect or non-compliance decided to exist in an item of original equipment used in the vehi-cles

16、 of only one vehicle manufacturer, compliance with 573.6 and 573.7 by ei-ther the vehicle or equipment manu-facturer shall be considered compliance by both. (f) In the case of a defect or non-compliance decided to exist in original equipment installed in the vehicles of more than one manufacturer, c

17、ompli-ance with 573.6 is required of the equipment manufacturer as to the equipment item, and of each vehicle manufacturer as to the vehicles in which the equipment has been in-stalled. Compliance with 573.7 is re-quired of the manufacturer who is con-ducting the recall campaign. (g) The provisions

18、of 573.10 apply to all persons. (h) The provisions of 573.11 apply to dealers, including retailers of motor vehicle equipment. (i) The provisions of 573.12 apply to all persons. 43 FR 60169, Dec. 26, 1978, as amended at 60 FR 17268, Apr. 5, 1995; 66 FR 38162, July 23, 2001; 67 FR 19697, Apr. 23, 200

19、2; 68 FR 18142, Apr. 15, 2003 573.4 Definitions. For purposes of this part: Act means 49 U.S.C. Chapter 301. Administrator means the Adminis-trator of the National Highway Traffic Safety Administration or his delegate. First purchaser means first purchaser for purposes other than resale. Leased moto

20、r vehicle means any motor vehicle that is leased to a person for a term of at least four months by a les-sor who has leased five or more vehi-cles in the twelve months preceding the date of notification by the vehicle manufacturer of the existence of a safety-related defect or noncompliance VerDate

21、Mar2010 10:10 Dec 13, 2010 Jkt 220218 PO 00000 Frm 00171 Fmt 8010 Sfmt 8010 Y:SGML220218.XXX 220218wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-162 49 CFR Ch. V (10110 Edition) 573.5 with a Federal motor vehicle s

22、afety standard in the motor vehicle. Lessee means a person who is the les-see of a leased motor vehicle as defined in this section. Lessor means a person or entity that is the owner, as reflected on the vehi-cles title, of any five or more leased vehicles (as defined in this section), as of the date

23、 of notification by the man-ufacturer of the existence of a safety- related defect or noncompliance with a Federal motor vehicle safety standard in one or more of the leased motor ve-hicles. Original equipment means an item of motor vehicle equipment (other than a tire) that was installed in or on a

24、 motor vehicle at the time of its deliv-ery to the first purchaser if the item of equipment was installed on or in the motor vehicle at the time of its deliv-ery to a dealer or distributor for dis-tribution, or was installed by the deal-er or distributor with the express au-thorizations of the motor

25、 vehicle man-ufacturer. Readable form means a form readable by the unassisted eye or readable by machine. If readable by machine, the submitting party must obtain written confirmation from the Office of Defects Investigation immediately prior to submission that the machine is readily available to NH

26、TSA. For all similar in-formation responses, once a manufac-turer has obtained approval for the original response in that form, it will not have to obtain approval for future submissions in the same form. In addi-tion, all coded information must be ac-companied by an explanation of the codes used. R

27、eplacement equipment means motor vehicle equipment other than original equipment as defined in this section, and tires. 43 FR 60169, Dec. 26, 1978, as amended at 60 FR 17268, Apr. 5, 1995; 67 FR 45872, July 10, 2002 573.5 Defect and noncompliance re-sponsibility. (a) Each manufacturer of a motor ve-

28、hicle shall be responsible for any safe-ty-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 re-sponsible for any safety-related defect or any noncompliance determined to exi

29、st in the equipment. 67 FR 45872, July 10, 2002 573.6 Defect and noncompliance in-formation 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 re-lated to

30、 motor vehicle safety, and for each noncompliance with a motor vehi-cle 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 equip-ment h

31、as been determined to be safety related, or a noncompliance with a motor vehicle safety standard has been determined to exist. At a minimum, in-formation required by paragraphs (1), (2) and (5) of paragraph (c) of this sec-tion shall be submitted in the initial report. The remainder of the informa-t

32、ion required by paragraph (c) of this section that is not available within the five-day 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 as-

33、signed by the NHTSA. (c) Each manufacturer shall include in each report the information speci-fied below. (1) The manufacturers 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,

34、except that such abbrevia-tions as Co. or Inc., and their for-eign equivalents, and the first and mid-dle initials of individuals, may be used. In the case of a defect or noncompli-ance decided to exist in an imported vehicle or item of equipment, the agen-cy designated by the fabricating manu-factu

35、rer pursuant to 49 U.S.C. section 30164(a) shall be also stated. If the fab-ricating manufacturer is a corporation VerDate Mar2010 10:10 Dec 13, 2010 Jkt 220218 PO 00000 Frm 00172 Fmt 8010 Sfmt 8010 Y:SGML220218.XXX 220218wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction

36、 or networking permitted without license from IHS-,-,-163 Natl Highway Traffic Safety Admin., DOT 573.6 that is controlled by another corpora-tion that assumes responsibility for compliance with all requirements of this part the name of the controlling corporation may be used. (2) Identification of

37、the vehicles or items of motor vehicle equipment po-tentially containing the defect or non-compliance, including a description of the manufacturers basis for its deter-mination of the recall population and a description of how the vehicles or items of equipment to be recalled differ from similar veh

38、icles or items of equip-ment that the manufacturer has not included in the recall. (i) In the case of passenger cars, the identification shall be by the make, line, model year, the inclusive dates (month and year) of manufacture, and any other information necessary to de-scribe the vehicles. (ii) In

39、 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 passeng

40、ers for buses. (iii) In the case of items of motor ve-hicle equipment, the identification shall be by the generic name of the component (tires, child seating sys-tems, axles, etc.), part number (for tires, a range of tire identification numbers, as required by 49 CFR 574.5), size and function if app

41、licable, the in-clusive dates (month and year) of man-ufacture if available and any other in-formation necessary to describe the items. (iv) In the case of motor vehicles or items of motor vehicle equipment in which the component that contains the defect or noncompliance was manufac-tured by a diffe

42、rent manufacturer from the reporting manufacturer, the re-porting manufacturer shall identify the component and, if known, the compo-nents country of origin (i.e. final place of manufacture or assembly), the man-ufacturer and/or assembler of the com-ponent by name, business address, and business tel

43、ephone number. If the re-porting manufacturer does not know the identity of the manufacturer of the component, it shall identify the entity from which it was obtained. If at the time of submission of the initial re-port, the reporting manufacturer does not know the country of origin of the component

44、, the manufacturer shall as-certain the country of origin and sub-mit a supplemental report with that information once it becomes available. (v) In the case of items of motor vehi-cle equipment, the manufacturer of the equipment shall identify by name, business address, and business tele-phone numbe

45、r every manufacturer that purchases the defective or noncom-plying component for use or installa-tion in new motor vehicles or new items of motor vehicle equipment. (3) The total number of vehicles or items of equipment potentially con-taining the defect or noncompliance, and where available the num

46、ber of ve-hicles 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 esti-mated to actually contain the defect or noncompliance. (5) A description of t

47、he defect or non-compliance, including both a brief summary and a detailed description, with graphic aids as necessary, of the nature and physical location (if appli-cable) of the defect or noncompliance. (6) In the case of a defect, a chro-nology of all principal events that were the basis for the

48、determination that the defect related to motor vehicle safety, including a summary of all war-ranty claims, field or service reports, and other information, with their dates of receipt. (7) In the case of a noncompliance, the test results and other information that the manufacturer considered in det

49、ermining the existence of the non-compliance. The manufacturer shall identify the date of each test and ob-servation that indicated that a non-compliance might or did exist. (8)(i) A description of the manufac-turers program for remedying the de-fect or noncompliance. This program shall include a plan for reimbursing an owner or purchaser who incurred costs VerDate Mar2010 10:10 Dec 13, 2010 Jkt 220218 PO 00000 Frm 00173 Fmt 8010 Sfmt