[Code of Federal Regulations]
[Title 49, Volume 6]
[Revised as of October 1, 2006]
From the U.S. Government Printing Office via GPO Access
[CITE: 49CFR573.6]

[Page 1016-1019]
 
                        TITLE 49--TRANSPORTATION
 
                   CHAPTER V--NATIONAL HIGHWAY TRAFFIC
                    SAFETY ADMINISTRATION, DEPARTMENT
                            OF TRANSPORTATION
 
PART 573_DEFECT AND NONCOMPLIANCE RESPONSIBILITY AND REPORTS--Table of Contents
 
Sec.  573.6  Defect and noncompliance information report.

    (a) Each manufacturer shall furnish a report to the NHTSA for each 
defect in his vehicles or in his items of original or replacement 
equipment that he or the Administrator determines to be related to motor 
vehicle safety, and for each noncompliance with a motor vehicle safety 
standard in such vehicles or items of equipment which either he or the 
Administrator determines to exist.
    (b) Each report shall be submitted not more than 5 working days 
after a defect in a vehicle or item of equipment has been determined to 
be safety related, or a noncompliance with a motor vehicle safety 
standard has been determined to exist. At a minimum, information 
required by paragraphs (1), (2) and (5) of paragraph (c) of this section 
shall be submitted in the initial report. The remainder of the 
information required by paragraph (c) of this section that is not 
available within the five-day period shall be submitted 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 decided to exist in an imported vehicle or 
item of equipment, the agency designated by the fabricating manufacturer 
pursuant to 49 U.S.C. section 30164(a) shall be also stated. If the 
fabricating manufacturer is a corporation that is controlled by another 
corporation that assumes responsibility for compliance with all 
requirements of this part the name of the controlling corporation may be 
used.
    (2) Identification of the vehicles or items of motor vehicle 
equipment potentially containing the defect or noncompliance, including 
a description of the manufacturer's basis for its determination of the 
recall population and a description of how the vehicles or items of 
equipment to be recalled differ from similar vehicles or items of 
equipment that the manufacturer has not included in the recall.
    (i) In the case of passenger cars, the identification shall be by 
the make, line, model year, the inclusive dates (month and year) of 
manufacture, and any other information necessary to describe the 
vehicles.
    (ii) In the case of vehicles other than passenger cars, the 
identification shall be by body style or type, inclusive dates (month 
and year) of manufacture and any other information necessary to describe 
the vehicles, such as GVWR or class for trucks, displacement (cc) for 
motorcycles, and number of passengers for buses.
    (iii) In the case of items of motor vehicle equipment, the 
identification shall be by the generic name of the component (tires, 
child seating systems, axles, etc.), part number, size and function if 
applicable, the inclusive dates (month and year) of manufacture if 
available and any other information necessary to describe the items.
    (iv) In the case of motor vehicles or items of motor vehicle 
equipment in which the component that contains the defect or 
noncompliance was manufactured by a different manufacturer from the 
reporting manufacturer, the reporting manufacturer shall identify the 
component and the manufacturer of the component by name, business 
address, and business telephone number. If the reporting manufacturer 
does not know the identity of the manufacturer of the component, it 
shall identify the entity from which it was obtained.
    (v) In the case of items of motor vehicle equipment, the 
manufacturer of the equipment shall identify by name, business address, 
and business telephone number every manufacturer that

[[Page 1017]]

purchases the defective or noncomplying component for use or 
installation in new motor vehicles or new items of motor vehicle 
equipment.
    (3) The total number of vehicles or items of equipment potentially 
containing the defect or noncompliance, and where available the number 
of vehicles or items of equipment in each group identified pursuant to 
paragraph (c)(2) of this section.
    (4) The percentage of vehicles or items of equipment specified 
pursuant to paragraph (c)(2) of this section estimated to actually 
contain the defect or noncompliance.
    (5) A description of the defect or noncompliance, including both a 
brief summary and a detailed description, with graphic aids as 
necessary, of the nature and physical location (if applicable) of the 
defect or noncompliance.
    (6) In the case of a defect, a chronology of all principal events 
that were the basis for the determination that the defect related to 
motor vehicle safety, including a summary of all warranty claims, field 
or service reports, and other information, with their dates of receipt.
    (7) In the case of a noncompliance, the test results and other 
information that the manufacturer considered in determining the 
existence of the noncompliance. The manufacturer shall identify the date 
of each test and observation that indicated that a noncompliance might 
or did exist.
    (8)(i) A description of the manufacturer's program for remedying the 
defect or noncompliance. This program shall include a plan for 
reimbursing an owner or purchaser who incurred costs to obtain a remedy 
for the problem addressed by the recall within a reasonable time in 
advance of the manufacturer's notification of owners, purchasers and 
dealers, in accordance with Sec.  573.13 of this part. A manufacturer's 
plan may incorporate by reference a general reimbursement plan it 
previously submitted to NHTSA, together with information specific to the 
individual recall. Information required by Sec.  573.13 that is not in a 
general reimbursement plan shall be submitted in the manufacturer's 
report to NHTSA under this section. If a manufacturer submits one or 
more general reimbursement plans, the manufacturer shall update each 
plan every two years, in accordance with Sec.  573.13. The 
manufacturer's remedy program and reimbursement plans will be available 
for inspection by the public at NHTSA headquarters.
    (ii) The estimated date(s) on which it will begin sending 
notifications to owners, and to dealers and distributors, that there is 
a safety-related defect or noncompliance and that a remedy without 
charge will be available to owners, and the estimated date(s) on which 
it will complete such notifications (if different from the beginning 
date). If a manufacturer subsequently becomes aware that either the 
beginning or the completion dates reported to the agency for any of the 
notifications will be delayed by more than two weeks, it shall promptly 
advise the agency of the delay and the reasons therefore, and furnish a 
revised estimate.
    (iii) If a manufacturer intends to file a petition for an exemption 
from the recall requirements of the Act on the basis that a defect or 
noncompliance is inconsequential as it relates to motor vehicle safety, 
it shall notify NHTSA of that intention in its report to NHTSA of the 
defect or noncompliance under this section. If such a petition is filed 
and subsequently denied, the manufacturer shall provide the information 
required by paragraph (c)(8)(ii) of this section within five Federal 
government business days from the date the petition denial is published 
in the Federal Register.
    (iv) If a manufacturer advises NHTSA that it intends to file such a 
petition for exemption from the notification and remedy requirements on 
the grounds that the defect or noncompliance is inconsequential as it 
relates to motor vehicle safety, and does not do so within the 30-day 
period established by 49 CFR 556.4(c), the manufacturer must submit the 
information required by paragraph (c)(8)(ii) of this section no later 
than the end of that 30-day period.
    (9) In the case of a remedy program involving the replacement of 
tires, the manufacturer's program for remedying the defect or 
noncompliance shall:

[[Page 1018]]

    (i) Address how the manufacturer will assure that the entities 
replacing the tires are aware of the legal requirements related to 
recalls of tires established by 49 U.S.C. Chapter 301 and regulations 
thereunder. At a minimum, the manufacturer shall notify its owned stores 
and/or distributors, as well as all independent outlets that are 
authorized to replace the tires that are the subject of the recall, 
annually or for each individual recall that the manufacturer conducts, 
about the ban on the sale of new defective or noncompliant tires (49 CFR 
573.11); the prohibition on the sale of new and used defective and 
noncompliant tires (49 CFR 573.12); and the duty to notify NHTSA of any 
sale of a new or used recalled tire for use on a motor vehicle (49 CFR 
573.10). For tire outlets that are manufacturer-owned or otherwise 
subject to the control of the manufacturer, the manufacturer shall also 
provide directions to comply with these statutory provisions and the 
regulations thereunder.
    (ii) Address how the manufacturer will prevent, to the extent 
reasonably within its control, the recalled tires from being resold for 
installation on a motor vehicle. At a minimum, the manufacturer shall 
include the following information, to be furnished to each tire outlet 
that it owns, or that is authorized to replace tires that are recalled, 
either annually or for each individual recall the manufacturer conducts:
    (A) Written directions to manufacturer-owned and other manufacturer-
controlled outlets to alter the recalled tires permanently so that they 
cannot be used on vehicles. These shall include instructions on the 
means to render recalled tires unsuitable for resale for installation on 
motor vehicles and instructions to perform the incapacitation of each 
recalled tire, with the exception of any tires that are returned to the 
manufacturer pursuant to a testing program, within 24 hours of receipt 
of the recalled tire at the outlet. If the manufacturer has a testing 
program for recalled tires, these directions shall also include criteria 
for selecting recalled tires for testing and instructions for labeling 
those tires and returning them promptly to the manufacturer for testing.
    (B) Written guidance to all other outlets which are authorized to 
replace the recalled tires on how to alter the recalled tires promptly 
and permanently so that they cannot be used on vehicles.
    (C) A requirement that manufacturer-owned and other manufacturer-
controlled outlets report to the manufacturer, either on a monthly basis 
or within 30 days of the deviation, the number of recalled tires removed 
from vehicles by the outlet that have not been rendered unsuitable for 
resale for installation on a motor vehicle within the specified time 
frame (other than those returned for testing) and describe any such 
failure to act in accordance with the manufacturer's plan;
    (iii) Address how the manufacturer will limit, to the extent 
reasonably within its control, the disposal of the recalled tires in 
landfills and, instead, channel them into a category of positive reuse 
(shredding, crumbling, recycling, and recovery) or another alternative 
beneficial non-vehicular use. At a minimum, the manufacturer shall 
include the following information, to be furnished to each tire outlet 
that it owns or that is authorized to replace tires that are recalled, 
either annually or for each individual recall that the manufacturer 
conducts:
    (A)(1) Written directions that require manufacturer-owned and other 
manufacturer-controlled outlets either:
    (i) To ship recalled tires to one or more locations designated by 
the manufacturer as part of the program or allow the manufacturer to 
collect and dispose of the recalled tires; or
    (ii) To ship recalled tires to a location of their own choosing, 
provided that they comply with applicable state and local laws and 
regulations regarding disposal of tires.
    (2) Under option (c)(9)(iii)(A)(1)(ii) of this section, the 
directions must also include further direction and guidance on how to 
limit the disposal of recalled tires in landfills and, instead, channel 
them into a category of positive reuse (shredding, crumbling, recycling, 
and recovery) or another alternative beneficial non-vehicular use.

[[Page 1019]]

    (B)(1) Written guidance that authorizes all other outlets that are 
authorized to replace the recalled tires either:
    (i) To ship recalled tires to one or more locations designated by 
the manufacturer or allow the manufacturer to collect and dispose of the 
recalled tires; or
    (ii) To ship recalled tires to a location of their own choosing, 
provided that they comply with applicable state and local laws and 
regulations regarding disposal of tires.
    (2) Under option (c)(9)(iii)(B)(1)(ii) of this section, the 
manufacturer must also include further guidance on how to limit the 
disposal of recalled tires in landfills and, instead, channel them into 
a category of positive reuse (shredding, crumbling, recycling, and 
recovery) or another alternative beneficial non-vehicular use.
    (C) A requirement that manufacturer-owned and other manufacturer-
controlled outlets report to the manufacturer, on a monthly basis or 
within 30 days of the deviation, the number of recalled tires disposed 
of in violation of applicable state and local laws and regulations, and 
describe any such failure to act in accordance with the manufacturer's 
plan; and
    (D) A description of the manufacturer's program for disposing of the 
recalled tires that are returned to the manufacturer or collected by the 
manufacturer from the retail outlets, including, at a minimum, 
statements that the returned tires will be disposed of in compliance 
with applicable state and local laws and regulations regarding disposal 
of tires, and will be channeled, insofar as possible, into a category of 
positive reuse (shredding, crumbling, recycling and recovery) or another 
alternative beneficial non-vehicular use, instead of being disposed of 
in landfills.
    (iv) To the extent that the manufacturer wishes to limit the 
frequency of shipments of recalled tires, it must specify both a minimum 
time period and a minimum weight for the shipments and provide that 
shipments may be made at whichever minimum occurs first.
    (v) Written directions required under this paragraph to be furnished 
to a manufacturer-owned or controlled outlet shall be sent to the person 
in charge of each outlet by first-class mail or by electronic means, 
such as FAX transmissions or e-mail, with further instructions to notify 
all employees of the outlet who are involved with removal, rendering 
unsuitable for use, or disposition of recalled tires of the applicable 
requirements and procedures.
    (vi) Manufacturers must implement the plans for disposition of 
recalled tires that they file with NHTSA pursuant to this paragraph. The 
failure of a manufacturer to implement its plan in accordance with its 
terms constitutes a violation of the Safety Act.
    (10) A representative copy of all notices, bulletins, and other 
communications that relate directly to the defect or noncompliance and 
are sent to more than one manufacturer, distributor, dealer, or 
purchaser. These copies shall be submitted to 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.
    (11) Except as authorized by the Administrator, the manufacturer 
shall submit a copy of its proposed owner notification letter, including 
any provisions and attachments related to reimbursement, to the Office 
of Defects Investigation (``ODI'') no fewer than five Federal Government 
business days before it intends to begin mailing it to owners. 
Submission shall be made by any means which permits the manufacturer to 
verify promptly that the copy of the proposed letter was in fact 
received by ODI and the date it was received by ODI.
    (12) The manufacturer's campaign number, if it is not identical to 
the identification number assigned by NHTSA.

[43 FR 60169, Dec. 26, 1978, as amended at 44 FR 20437, Apr. 5, 1979; 48 
FR 44081, Sept. 27, 1983; 60 FR 17268, Apr. 5, 1995; 61 FR 278, Jan. 4, 
1996. Redesignated at 67 FR 45872, July 10, 2002, as amended at 67 FR 
64063, Oct. 17, 2002; 69 FR 34959, June 23, 2004; 69 FR 50084, Aug. 13, 
2004; 70 FR 38814, July 6, 2005]

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