DOT 49 CFR PART 599-2010 REQUIREMENTS AND PROCEDURES FOR CONSUMER ASSISTANCE TO RECYCLE AND SAVE ACT PROGRAM.pdf

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1、368 49 CFR Ch. V (10110 Edition) Pt. 595, App. C APPENDIX C TO PART 595INSTALLATION OF AIR BAG ON-OFF SWITCHES PARTS 596598 RESERVED PART 599REQUIREMENTS AND PROCEDURES FOR CONSUMER ASSISTANCE TO RECYCLE AND SAVE ACT PROGRAM Subpart AGeneral Sec. 599.100 Purpose. 599.101 Scope. 599.102 Definitions.

2、Subpart BParticipating Dealers, Salvage Auctions and Disposal Facilities 599.200 Registration of participating deal-ers. 599.201 Identification of salvage auctions and disposal facilities. Subpart CQualifying Transactions and Reimbursement 599.300 Requirements for qualifying trans-actions. 599.301 L

3、imitations and restrictions on qualifying transactions. 599.302 Dealer application for reimburse-mentsubmission, contents. 599.303 Agency disposition of dealer applica-tion for reimbursement. 599.304 Payment to dealer. Subpart DDisposal of Trade-in Vehicle 599.400 Transfer or consignment by dealer o

4、f trade-in vehicle. 599.401 Requirements and limitations for disposal Facilities that receive trade-in vehicles under the CARS program. 599.402 Requirements and limitations for salvage auctions that are consigned trade-in vehicles under the CARS pro-gram. 599.403 Requirements and limitations for dea

5、lers. VerDate Mar2010 10:10 Dec 13, 2010 Jkt 220218 PO 00000 Frm 00378 Fmt 8010 Sfmt 8010 Y:SGML220218.XXX 220218ER21NO97.012wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-369 Natl Highway Traffic Safety Admin., DOT

6、 599.102 Subpart EEnforcement 599.500 Definitions. 599.501 Generally. 599.502 Record retention. 599.503 Access to records. 599.504 Suspension, revocation, and rein-statement of registration and participa-tion eligibility. 599.505 Reports and investigations. 599.506 Notice of violation. 599.507 Discl

7、osure of evidence. 599.508 Statements of matters in dispute and submission of supporting informa-tion. 599.509 Hearing officer. 599.510 Initiation of action before the hear-ing officer. 599.511 Counsel. 599.512 Hearing location and costs. 599.513 Hearing procedures. 599.514 Assessment of civil penal

8、ties. 599.515 Appeals of civil penalties in excess of $100,000.00. 599.516 Collection of assessed or com-promised civil penalties. 599.517 Other sanctions. Subpart FRequirements and Procedures for Exceptions 599.600 ExceptionsApplicability and re-quirements. 599.601 Procedures for requesting excepti

9、on. 599.603 Disposition of requests for excep-tion. APPENDIX A TO PART 599SUMMARY OF SALE/ LEASE AND CERTIFICATIONS APPENDIX B TO PART 599ENGINE DISABLE-MENT PROCEDURES FOR THE CARS PRO-GRAM APPENDIX C TO PART 599ELECTRONIC TRANS-ACTION SCREEN APPENDIX D TO PART 599CARS PURCHASER SURVEY APPENDIX E T

10、O PART 599DISPOSAL FACILITY CERTIFICATION FORM APPENDIX F TO PART 599SALVAGE AUCTION CERTIFICATION FORM AUTHORITY: 49 U.S.C. 32901, Notes; delega-tion of authority at 49 CFR 1.50. SOURCE: 74 FR 37897, July 29, 2009, unless otherwise noted. Subpart AGeneral 599.100 Purpose. This part establishes requ

11、irements and procedures implementing the pro-gram authorized under the Consumer Assistance to Recycle and Save Act of 2009. 599.101 Scope. The requirements of this part apply to new vehicle purchase or lease trans-actions, in combination with trade-in vehicle transactions that occur on or after July

12、 1, 2009 up to and including November 1, 2009, and to the disposal of trade-in vehicles under the CARS Act. 599.102 Definitions. As used in this part Agency or NHTSA means the National Highway Traffic Safety Administra-tion. CARS Act means the Consumer As-sistance to Recycle and Save Act of 2009, Pu

13、blic Law 11132, 123 Stat. 1859 (June 24, 2009). CARS Program means the program au-thorized under the Consumer Assist-ance to Recycle and Save Act of 2009, which NHTSA refers to as the Car Al-lowance Rebate System. Category 1 truck means a non-pas-senger automobile, as defined in sec-tion 49 U.S.C. 3

14、2901(a)(17) and 49 CFR 523.3, except that such term does not include a category 2 truck. Category 2 truck means a large van with a wheelbase of 124 inches or more, or a large pickup with a wheelbase of 115 inches or more. Category 3 truck means a work truck, as defined in 49 U.S.C. 32901(a)(19). Cle

15、ar title means title to a vehicle that is free from all liens and encum-brances. Combined Fuel Economy means (1) With respect to an eligible new ve-hicle, the number, expressed in miles per gallon, centered below the words Combined Fuel Economy on the label required to be affixed or caused to be aff

16、ixed on a new automobile pursu-ant to subpart D of 40 CFR part 600. (2) With respect to an eligible trade- in vehicle of model year 1985 or later, the number posted under the words Estimated New EPA MPG or New EPA MPG and above the word Com-bined, except that for a bi-fuel, dual fuel, or flexible fu

17、eled vehicle, that number must also be below the word Gasoline, on the fueleconomy.gov Web site of the Environmental Protec-tion Agency for the make, model, and year of such vehicle. VerDate Mar2010 10:10 Dec 13, 2010 Jkt 220218 PO 00000 Frm 00379 Fmt 8010 Sfmt 8010 Y:SGML220218.XXX 220218wwoods2 on

18、 DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-370 49 CFR Ch. V (10110 Edition) 599.200 Credit means an electronic payment to a dealer for a qualifying transaction under the program. Dealer means a person licensed by a State

19、who engages in the sale of a new automobile to a person who in good faith purchases such automobile for purposes other than resale. Disposal facility means a facility list-ed on http:/www.cars.gov/disposal as eli-gible to receive a trade-in vehicle for crushing or shredding under the CARS program, e

20、xcept in the case of a U.S. territory. End-of-Life Vehicle Solutions or ELVS means an entity established under the National Vehicle Mercury Switch Re-covery Program for the collection, re-cycling and disposal of elemental mer-cury from automotive switches. Engine block means the part of the engine c

21、ontaining the cylinders and typically incorporating water cooling jackets and also including the crank shaft, connecting rods, pistons, bear-ings, cam(s), and cylinder head(s). In a rotary engine, the block includes the rotor housing and rotor. GVWR means gross vehicle weight rating. Lease means a l

22、ease of a new vehicle for a period of not less than 5 years, ex-cluding any lease with a balloon pay-ment due prior to the elapsing of 5 years. Manufacturers Suggested Retail Price or MSRP means the base Manufactur-ers Suggested Retail Price, excluding any dealer accessories, optional equip-ment, ta

23、xes and destination charges. National Motor Vehicle Title Informa-tion System or NMVTIS means the on-line system established under the over-sight of the Department of Justice that enables consumers and others to access vehicle history information, including salvage history, total loss information, a

24、nd title branding and odometer infor-mation, and to which insurance compa-nies and salvage yards must report ve-hicle status information. (http:/www. nmvtis.gov.) New Vehicle means an automobile or work truck, the equitable or legal title of which has not been transferred to any person other than th

25、e purchaser. Non-titling Jurisdiction means a State that does not issue a title for certain typically older vehicles. Passenger automobile means a pas-senger automobile, as defined in sec-tion 49 U.S.C. 32901(a)(18) and 49 CFR 523.4. Person means an individual, corpora-tion, company, association, fi

26、rm, part-nership, society, or joint stock com-pany. Purchaser means a person purchasing or leasing a new vehicle under the CARS Program. Salvage auction means an entity that receives a CARS trade-in vehicle from a dealer and is authorized to sell it only to a disposal facility on the Dis-posal Facil

27、ity List and that will make all the necessary certifications for sal-vage auctions under the CARS pro-gram. State means any one of the 50 United States, the District of Columbia, Puer-to Rico, the Virgin Islands, Guam, American Samoa, or the Common-wealth of the Northern Mariana Is-lands. Subpart BP

28、articipating Dealers, Salvage Auctions and Dis-posal Facilities 599.200 Registration of participating dealers. (a) In general. A dealer may apply for a credit under the CARS Program only if it meets the Required Dealer Quali-fications for Registration under this subpart, is registered in accordance

29、with this subpart, and is currently reg-istered at the time it submits an appli-cation for reimbursement. (b) Required dealer qualifications for registration. A dealer seeking to reg-ister must have: (1) A currently operating new auto-mobile dealership and business address within a State in the Unit

30、ed States; (2) A currently active business li-cense under the law of the State where the new automobile dealership is lo-cated to operate that dealership; (3) A currently active franchise agreement to sell new automobiles with an original equipment manufac-turer of automobiles; (4) A bank account in

31、 a U.S. bank in a State and a bank account routing number for electronic transfer of funds; VerDate Mar2010 10:10 Dec 13, 2010 Jkt 220218 PO 00000 Frm 00380 Fmt 8010 Sfmt 8010 Y:SGML220218.XXX 220218wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitte

32、d without license from IHS-,-,-371 Natl Highway Traffic Safety Admin., DOT 599.200 (5) The ability to submit application materials and perform transactions electronically using the Internet; and (6) Not been convicted of a crime in-volving motor vehicles or any fraud or financial crime under State o

33、r Federal law. (c) Registration procedures. (1) Using comprehensive lists of fran-chised dealers provided by original equipment manufacturers, as updated by these manufacturers, the agency will mail a letter to each listed dealer describing a secure electronic process and providing an authorization

34、code by which the dealer, following the process in paragraph (c)(2) of this section, can effect registration. (2) A dealer contacted in accordance with paragraph (c)(1) of this section may register electronically as a par-ticipating dealer under the CARS Pro-gram by using the authorization code and

35、following the instructions provided in the letter mailed under paragraph (c)(1) of this section, and submitting the following information electroni-cally or validating the information, where it exists already on an electronic form: (i) Dealers Federal Tax Identifica-tion Number (TIN) and OEM assigne

36、d dealer franchise number; (ii) Legal business name, doing busi-ness as name (if applicable), dealership physical and mailing address, tele-phone number, and fax number; (iii) Name and title of dealer rep-resentative authorized to submit trans-actions under this program, and phone number and e-mail

37、address of rep-resentative; and (iv) Name of U.S. bank used by deal-ership, bank account number, and bank account routing number. (3) A dealer must register separately, following the process under paragraph (c)(2) of this section, for each make of vehicle it sells, using the authorization code assoc

38、iated with that vehicle make. (d) Disposition of registration applica-tion. The agency will review the reg-istration application for compliance with this part, including completeness, and notify the dealer as follows: (1) For an approved registration: (i) By e-mail notification to the au-thorized de

39、aler representative, with a user identification and password that will allow the submission of trans-actions; and (ii) By listing the doing business as name, physical address, and general telephone number of the dealer on the agency Web site at http:/www.cars.gov. (2) For a disapproved registration,

40、 by withholding the dealer identification information from the agencys Web site and providing e-mail notification to the authorized dealer representative of the reasons for rejecting the applica-tion. (e) Revocation of Dealer Registration. (1) Termination or Discontinuance of Franchise. (i) A dealer

41、 whose franchise agree-ment with an original equipment man-ufacturer (OEM) has expired without renewal, has been terminated, or other-wise is no longer in effect shall be automatically removed as a matter of course, subject to paragraph (e)(1)(iii), from the agencys list of registered dealers and ma

42、y no longer receive a credit for new transactions under the CARS Program submitted for repay-ment on or after the date that the fran-chise expired or no longer is in effect. (ii) Paragraph (e)(1)(i) of this section does not preclude a dealer registered under other franchise agreements from receiving

43、 a credit for transactions under those agreements that have not expired or been discontinued. (iii) A dealer whose name is removed from the agencys list of registered dealers under paragraph (e)(1)(i) shall be reinstated to the list of registered dealers upon a showing to NHTSA of proper and adequat

44、e license to sell new vehicles to ultimate purchasers. (2) Other suspension or revocations ac-tions. The agency may also suspend or revoke the registration of a dealer as provided in 599.504. (f) Notification of changes. A reg-istered dealer shall immediately notify the agency of any change to the i

45、nfor-mation submitted under this section and any change to the status of its State license or franchise. (g) Pre-registration transactions. An otherwise qualifying transaction that occurs during the time period pre-scribed under 599.301(a) is not a non- complying transaction solely because a dealer

46、is not registered at the time of VerDate Mar2010 10:10 Dec 13, 2010 Jkt 220218 PO 00000 Frm 00381 Fmt 8010 Sfmt 8010 Y:SGML220218.XXX 220218wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-372 49 CFR Ch. V (10110 Edit

47、ion) 599.201 the transaction, except that the dealer must be eligible to register and must register under 599.200 in order to be entitled to reimbursement for a credit extended under the CARS program. 599.201 Identification of salvage auc-tions and disposal facilities. (a) Participating entities. Su

48、bject to the conditions and requirements of paragraph (b), participation in the transfer and disposal of a trade-in vehi-cle under the CARS program is limited to the following entities: (1) A salvage auction that will trans-fer trade-in vehicles received under this program only to a disposal facilit

49、y identified in paragraph (a)(2) or (a)(3) of this section. (2) A disposal facility listed on the Web site at http:/www.cars.gov/disposal; or (3) A facility that disposes of vehicles in Puerto Rico, the Virgin Islands, Guam, American Samoa, or the Com-monwealth of the Northern Mariana Is-lands. (b) Conditions of Participation. A par-ticipating entity identified in para-graph (a) of this