49 C.F.R. PART 512—CONFIDENTIAL BUSINESS INFORMATION
Title 49 - Transportation
Authority: 49 U.S.C. 322; 5 U.S.C. 552; 49 U.S.C. 30166; 49 U.S.C. 30167; 49 U.S.C. 32307; 49 U.S.C. 32505; 49 U.S.C. 32708; 49 U.S.C. 32910; 49 U.S.C. 33116; delegation of authority at 49 CFR 1.50.
Source: 68 FR 44228, July 28, 2003, unless otherwise noted.
The purpose of this part is to establish the procedures and standards by which NHTSA will consider claims that information submitted to the agency is entitled to confidential treatment under 5 U.S.C. 552(b), most often because it constitutes confidential business information as described in 5 U.S.C. 552(b)(4), and to address the treatment of information determined to be entitled to confidential treatment. (a) This part applies to all information submitted to NHTSA, except as provided in paragraph (b) of this section, for which a determination is sought that the material is entitled to confidential treatment under 5 U.S.C. 552(b), most often because it constitutes confidential business information as described in 5 U.S.C. 552(b)(4), and should be withheld from public disclosure. (b) Information received as part of the procurement process is subject to the Federal Acquisition Regulation, 48 CFR Chapter 1, as well as this part. In any case of conflict between the Federal Acquisition Regulation and this part, the provisions of the Federal Acquisition Regulation prevail. Whenever used in this part: (a) Administrator means the Administrator of the National Highway Traffic Safety Administration. (b) Chief Counsel means the Chief Counsel of the National Highway Traffic Safety Administration. (c) Confidential business information means trade secrets or commercial or financial information that is privileged or confidential, as described in 5 U.S.C. 552(b)(4). (1) A trade secret is a secret, commercially valuable plan, formula, process, or device that is used for the making, preparing, compounding, or processing of trade commodities and that can be said to be the end product of either innovation or substantial effort. (2) Commercial or financial information is considered confidential if it has not been publicly disclosed and: (i) If the information was required to be submitted and its release is likely to impair the Government's ability to obtain necessary information in the future, or is likely to cause substantial harm to the competitive position of the person from whom the information was obtained; or (ii) if the information was voluntarily submitted and is the kind of information that is customarily not released to the public by the person from whom it was obtained. (d) NHTSA means the National Highway Traffic Safety Administration. (e) “Substantial competitive harm” includes “significant competitive damage” under Chapter 329 of Title 49 of the United States Code, Automobile Fuel Economy, 49 U.S.C. 32910(c). Any person submitting information to NHTSA, other than information in a class identified in Appendix C of this Part, and requesting that the information be withheld from public disclosure pursuant to 5 U.S.C. 552(b) shall submit the following: (a) The materials for which confidentiality is being requested, in conformance with §§512.5, 512.6, and 512.7 of this part; (b) The Certificate, in the form set out in Appendix A to this part; (c) Supporting information, in conformance with §512.8; and (d) Any request for an extension of time, made in accordance with §512.11. (a) Except as provided for in subsection (c), a person must send the following in hard copy or electronic format to the Chief Counsel when making a claim for confidential treatment covering submitted material: (1) A complete copy of the submission, and (2) A copy of the submission containing only the portions for which no claim of confidential treatment is made and from which those portions for which confidential treatment is claimed has been redacted, and (3) Either a second complete copy of the submission or, alternatively, those portions of the submission containing the material for which confidential treatment is claimed and any additional information the submitter deems important to the Chief Counsel's consideration of the claim. (4) If submitted in electronic format, a copy of any special software required to review materials for which confidential treatment is requested and user instructions must also be provided. (b) A person filing comments to a rulemaking action must additionally submit to the rulemaking docket a copy of the submission containing only the portions for which no claim of confidential treatment is made and from which those portions for which confidential treatment is claimed has been redacted. (c) Any person submitting blueprints or engineering drawings need only provide an original version with their submission. (a) Information claimed to be confidential must be clearly identified to enable the agency to distinguish between those portions of the submission claimed to constitute confidential business information and those portions for which no such claim is made. (b) The word “CONFIDENTIAL” must appear on the top of each page containing information claimed to be confidential. (1) If an entire page is claimed to be confidential, the submitter must indicate clearly that the entire page is claimed to be confidential. (2) If the information for which confidentiality is being requested is contained within a page, the submitter shall enclose each item of information that is claimed to be confidential within brackets: “[ ].” (3) If submitted in electronic format, a comparable method to of identifying the information claimed to be confidential may be used. If submitted on CD-ROM or other format, the item containing the information shall be labeled as containing confidential information. A claim for confidential treatment must be submitted in accordance with the provisions of this regulation to the Chief Counsel of the National Highway Traffic Safety Administration, Room 5219, 400 Seventh Street, SW., Washington, DC 20590. When requesting confidentiality, the submitter shall: (a) Describe the information for which confidentiality is being requested; (b) Identify the confidentiality standard(s) under which the confidentiality request should be evaluated, in accordance with §512.15; (c) Justify the basis for the claim of confidentiality under the confidentiality standard(s) identified pursuant to paragraph (b) of this section by describing: (1) Why the information qualifies as a trade secret, if the basis for confidentiality is that the information is a trade secret; (2) What the harmful effects of disclosure would be and why the effects should be viewed as substantial, if the claim for confidentiality is based upon substantial competitive harm; (3) What significant NHTSA interests will be impaired by disclosure of the information and why disclosure is likely to impair such interests, if the claim for confidentiality is based upon impairment to government interests; (4) What measures have been taken by the submitter to ensure that the information is not customarily disclosed or otherwise made available to the public, if the basis for confidentiality is that the information is voluntarily submitted; and (5) The information is otherwise entitled to protection, pursuant to 5 U.S.C. 552(b). (d) Indicate if any items of information fall within any of the class determinations included in Appendix B to this Part; (e) Indicate the time period during which confidential treatment is sought; and (f) State the name, address, and telephone number of the person to whom NHTSA's response and any inquiries should be directed. Where confidentiality is claimed for information obtained by the submitter from a third party, such as a supplier, the submitter is responsible for obtaining from the third party the information that is necessary to comply with §512.4 of this part, including a certificate in the form set out in Appendix A to this Part. The submitter shall promptly amend any supporting information provided under §512.4 if the submitter obtains information upon the basis of which the submitter knows that the supporting information was incorrect when provided, or that the supporting information, though correct when provided to the agency, is no longer correct and the circumstances are such that a failure to amend the supporting information is in substance a knowing concealment. If a person is unable to submit the necessary information required under §512.4 at the time the claimed confidential information is submitted to NHTSA, then that person may request an extension of time. Any request for an extension shall explain the reason for the extension of time and the length of time requested. Any certificate provided under §512.4(b) of this part, and any supporting information provided under §512.4(c) of this part, may be used to support a claim for confidential treatment of more than one item of information. However, general or nonspecific assertions or analysis may be insufficient to form an adequate basis for the agency to find that the information is entitled to confidential treatment, and may result in the denial of the claim. (a) If the submitter fails to comply with §512.4 of this part at the time the information is submitted to NHTSA or does not request an extension of time under §512.11, the claim for confidentiality may be waived, unless the agency is notified or otherwise becomes aware of the claim before the information is disclosed to the public. If the information is placed in a public docket or file, such placement is disclosure to the public within the meaning of this part and may preclude any claim for confidential treatment. The Chief Counsel may notify a submitter of information or, if applicable, a third party from whom the information was obtained, of inadequacies regarding a claim for confidential treatment and may allow the submitter or third party additional time to supplement the submission, but has no obligation to provide either notice or additional time. (b) If the submitter does not provide the certificate required under §512.4(b) of this part or any supporting information required under §512.4(c) of this part, or if the information is insufficient to establish that the information should be afforded confidential treatment under the confidentiality standards set out in §512.15 of this part, a request that such information be treated confidentially may be denied. The Chief Counsel may notify a submitter of information of inadequacies in the supporting information and may allow the submitter additional time to supplement the showing, but has no obligation to provide either notice or additional time. The Chief Counsel will determine whether an item of information will be afforded confidential treatment under this part. Information may be afforded confidential treatment if the Chief Counsel determines that: (a) The information is a trade secret; (b) Public disclosure of the information would be likely to cause substantial harm to the competitive position of the submitter; (c) Public disclosure of the information would be likely to impair NHTSA's ability to obtain necessary information in the future; (d) The information was provided to NHTSA voluntarily and was not customarily released to the public by the person from whom it was obtained; or (e) The information is otherwise entitled to protection, pursuant to 5 U.S.C. 552(b). (a) The Chief Counsel may issue class determinations of categories of information to be entitled to confidential treatment if the Chief Counsel determines that one or more characteristics common to each item of information in that class, will, in most cases, result in identical treatment, and further that it is appropriate to treat all such items as a class for one or more purposes under this part. Once a class determination is made, the Chief Counsel will publish the new class determination in the (b) The Chief Counsel may amend, modify, or terminate any class determination established under this section. These changes will be published in the (c) Class determinations made by the Chief Counsel are listed in Appendices B and C to this Part. (d) A class determination may state that all of the information in the class: (1) Is or is not governed by a particular section of this part or by a particular set of substantive criteria of this part; (2) Satisfies one or more of the applicable substantive criteria; or (3) Satisfies one or more of the substantive criteria, but only for a certain period of time. (a) When information claimed to be confidential is requested under the Freedom of Information Act, the determination will be made within twenty (20) working days after NHTSA receives such a request or within thirty (30) working days in unusual circumstances as provided under 5 U.S.C. 552(a)(6)(A). However, these time periods may be extended by the Chief Counsel for good cause shown or on request from any person. An extension will be made in accordance with 5 U.S.C. 552(a)(6)(A), and will be accompanied by a written statement setting out the reasons for the extension. (b) When information claimed to be confidential is not requested under the Freedom of Information Act, the determination of confidentiality will be made within a reasonable period of time, at the discretion of the Chief Counsel. (a) If a request for confidential treatment is granted, the submitter of the information will be notified in writing of the determination and of any appropriate limitations. (b) If a request for confidential treatment is denied in whole or in part, the submitter of the information will be notified in writing of the determination, and the reasons for the denial, by certified mail, return receipt requested. The information may be made available to the public twenty (20) working days after the submitter of the information has received notice of the denial, unless a request for reconsideration is filed. The information may be released publicly on an earlier date, if the Chief Counsel determines in writing that the public interest requires that the information be made available to the public on such date. (a) A submitter of information whose request for confidential treatment is denied in whole or in part, may petition for reconsideration of that decision. Petitions for reconsideration shall be addressed to and received by the Chief Counsel prior to the date on which the information would otherwise be made available to the public. The determination by the Chief Counsel upon such petition for reconsideration shall be administratively final. (b) If a person is unable to submit a petition for reconsideration within twenty (20) working days of receiving notice that a claim for confidential treatment was denied, that person may submit a request for an extension of time. The Chief Counsel must receive any request for an extension of time before the date on which the information would be made available to the public, and the request must be accompanied by an explanation describing the reason for the request and the length of time requested. The Chief Counsel will determine whether to grant or deny the extension and the length of the extension. (c) If a petition for reconsideration is granted, the petitioner will be notified in writing of the determination and of any appropriate limitations. (d) If a petition for reconsideration is denied in whole or in part, or if a request for an extension is denied, the petitioner will be notified in writing of the denial, and the reasons for the denial, and will be informed that the information will be made available to the public not less than twenty (20) working days after the petitioner has received notice of the denial. The information may be released publicly on an earlier date, if the Administrator determines in writing that the public interest requires that the information be made available to the public on such date. (a) Information received by NHTSA, for which a properly filed confidentiality request is submitted, will be kept confidential until the Chief Counsel makes a determination regarding its confidentiality. Such information will not be disclosed publicly, except in accordance with this part. (b) Redacted copies of documents submitted to NHTSA under this part will be disclosed to the public. (a) Once the Chief Counsel makes a determination regarding the confidentiality of the submitted information, all materials determined not to be entitled to confidential protection will be disclosed to the public in accordance with the determination, unless a timely petition for reconsideration is received by the agency. (b) Upon receipt of a timely petition for reconsideration under §512.19 of this part, the submitted information will remain confidential, pending a determination regarding the petition. (c) Should the Chief Counsel, after considering a petition for reconsideration, decide that information is not entitled to confidential treatment, the agency may make the information available after twenty (20) working days after the submitter has received notice of that decision from the Chief Counsel unless the agency receives direction from a court not to release the information. [68 FR 44228, July 28, 2003, as amended at 69 FR 21425, Apr. 21, 2004] (a) The Chief Counsel may modify a grant of confidentiality based upon: (1) Newly discovered or changed facts; (2) A change in the applicable law; (3) A change in class determination, pursuant to §512.16; (4) The passage of time; or (5) A finding that the prior determination is erroneous. (b) If the Chief Counsel believes that an earlier determination of confidentiality should be modified based on one or more of the factors listed in paragraph (a) of this section, the submitter of the information will be notified in writing that the Chief Counsel has modified its earlier determination and of the reasons for the modification, and will be informed that the information will be made available to the public in not less than twenty (20) working days from the date of receipt of the notice of modification. The information may be released publicly on an earlier date, if the Administrator determines in writing that the public interest requires that the information be made available to the public on such date. The submitter may seek reconsideration of the modification, pursuant to §512.19. (a) Information that has been claimed or determined to be confidential under this part may be disclosed to the public by the Administrator notwithstanding such claim or determination, if disclosure would be in the public interest as follows: (1) Information obtained under chapter 325, 327, 329 or 331 of title 49 of the United States Code (formerly under the Motor Vehicle Information and Cost Savings Act) may be disclosed when that information is relevant to a proceeding under the chapter under which the information was obtained. (2) Information obtained under chapter 301 of title 49 of the United States Code (49 U.S.C. §30101 et seq.), relating to the establishment, amendment, or modification of Federal motor vehicle safety standards, may be disclosed when relevant to a proceeding under the chapter. (3) Except as specified in the next sentence, information obtained under Chapter 301 of title 49 of the United States Code (49 U.S.C. 30101 et seq.), related to a possible defect or noncompliance, shall be disclosed when the Administrator decides the information will assist in carrying out sections 30117(b) and 30118 through 30121 of title 49 or is required to be disclosed under 30118(a) of title 49, except as provided in paragraph (a)(4) of this section. (4) No information will be disclosed under paragraph (a) of this section unless the submitter of the information is given written notice of the Administrator's intention to disclose information under this section. Written notice will be given at least twenty (20) working days before the day of release, unless the Administrator finds that shorter notice is in the public interest. The notice under this paragraph will include a statement of the Administrator's reasons for deciding to disclose the information, and will afford the submitter of the information an opportunity to comment on the contemplated release of the information. The Administrator may also give notice of the contemplated release of information to other persons and may allow these persons the opportunity to comment. In making the determination to release information pursuant to this section, the Administrator will consider ways to release the information that will cause the least possible adverse effects to the submitter. (b) Notwithstanding any other provision of this part, information that has been determined or claimed to be confidential may be released: (1) To a committee of Congress; (2) Pursuant to an order of a court of competent jurisdiction; (3) To the Office of the Secretary, U.S. Department of Transportation and other Executive branch offices or other Federal agencies in accordance with applicable laws; (4) With the consent of the submitter of the information; and (5) To contractors, if necessary for the performance of a contract with the agency or any Federal agency, with specific prohibitions on further release of the information. Certificate in Support of Request for Confidentiality I _____, pursuant to the provisions of 49 CFR part 512, state as follows: (1) I am (official's name, title) and I am authorized by (company) to execute this certificate on its behalf; (2) I certify that the information contained in (pertinent document(s)) is confidential and proprietary data and is being submitted with the claim that it is entitled to confidential treatment under 5 U.S.C. 552(b)(4) (as incorporated by reference in and modified by the statute under which the information is being submitted); (3) I hereby request that the information contained in (pertinent document(s)) be protected for (requested period of time); (4) This certification is based on the information provided by the responsible (company) personnel who have authority in the normal course of business to release the information for which a claim of confidentiality has been made to ascertain whether such information has ever been released outside (company); (5) Based upon that information, to the best of my knowledge, information and belief, the information for which (company) has claimed confidential treatment has never been released or become available outside (company); (except as hereinafter specified); (6) I make no representations beyond those contained in this certificate and, in particular, I make no representations as to whether this information may become available outside (company) because of unauthorized or inadvertent disclosure (except as stated in paragraph 5); and (7) I certify under penalty of perjury that the foregoing is true and correct. Executed on this the ___ day of ___, ___. (If executed outside of the United States of America: I certify under penalty of perjury under the laws of the United States of America that the foregoing is true and correct). (signature of official) The Chief Counsel has determined that the following types of information would presumptively be likely to result in substantial competitive harm if disclosed to the public: (1) Blueprints and engineering drawings containing process and production data where the subject could not be manufactured without the blueprints or engineering drawings except after significant reverse engineering; (2) Future specific model plans (to be protected only until the date on which the specific model to which the plan pertains is first offered for sale); and (3) Future vehicle production or sales figures for specific models (to be protected only until the termination of the production period for the model year vehicle to which the information pertains). [68 FR 44228, July 28, 2003, as amended at 69 FR 21425, Apr. 21, 2004] (a) The Chief Counsel has determined that the following information required to be submitted to the agency under 49 CFR 579, subpart C, will cause substantial competitive harm and will impair the government's ability to obtain this information in the future if released: (1) Reports and data relating to warranty claim information; (2) Reports and data relating to field reports, including dealer reports and hard copy reports; (3) Reports and data relating to consumer complaints; and (4) Lists of common green identifiers. (b) In addition, the Chief Counsel has determined that the following information required to be submitted to the agency under 49 CFR 579, subpart C, will cause substantial competitive harm if released: Reports of production numbers for child restraint systems, tires, and vehicles other than light vehicles, as defined in 49 CFR 579.4(c). (c) The Chief Counsel has determined that the disclosure of the last six (6) characters, when disclosed along with the first eleven (11) characters, of vehicle identification numbers reported in information on incidents involving death or injury pursuant to the reporting of early warning information requirements of 49 CFR part 579 will constitute a clearly unwarranted invasion of personal privacy within the meaning of 5 U.S.C. 552(b)(6). [68 FR 44228, July 28, 2003, as amended at 69 FR 21425, Apr. 21, 2004] The OMB clearance number for this regulation is 2127–0025.
Title 49: Transportation
PART 512—CONFIDENTIAL BUSINESS INFORMATION
Section Contents
§ 512.1 Purpose and scope.
§ 512.2 Applicability.
§ 512.3 Definitions.
§ 512.4 When requesting confidentiality, what should I submit?
§ 512.5 How many copies should I submit?
§ 512.6 How should I prepare documents when submitting a claim for confidentiality?
§ 512.7 Where should I send the information for which I am requesting confidentiality?
§ 512.8 What supporting information should I submit with my request?
§ 512.9 What are the requirements if the information comes from a third party?
§ 512.10 Duty to amend.
§ 512.11 What if I need an extension of time?
§ 512.12 What if I am submitting multiple items of information?
§ 512.13 What are the consequences for noncompliance with this part?
§ 512.14 Who makes the confidentiality determination?
§ 512.15 How will confidentiality determinations be made?
§ 512.16 Class determinations.
§ 512.17 How long should it take to determine whether information is entitled to confidential treatment?
§ 512.18 How will I be notified of the confidentiality determination?
§ 512.19 What can I do if I disagree with the determination?
§ 512.20 How does the agency treat information submitted pursuant to this part before a confidentiality determination is made?
§ 512.21 How is information submitted pursuant to this part treated once a confidentiality determination is made?
§ 512.22 Under what circumstances may NHTSA modify a grant of confidentiality?
§ 512.23 Under what circumstances may NHTSA publicly release confidential information?
Appendix A to Part 512—Certificate in Support of Request for Confidentiality
Appendix B to Part 512—General Class Determinations
Appendix C to Part 512—Early Warning Reporting Class Determinations
Appendix D to Part 512—OMB Clearance
Subpart A—General Provisions
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§ 512.1 Purpose and scope.
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§ 512.2 Applicability.
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§ 512.3 Definitions.
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Subpart B—Submission Requirements
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§ 512.4 When requesting confidentiality, what should I submit?
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§ 512.5 How many copies should I submit?
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§ 512.6 How should I prepare documents when submitting a claim for confidentiality?
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§ 512.7 Where should I send the information for which I am requesting confidentiality?
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§ 512.8 What supporting information should I submit with my request?
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Subpart C—Additional Requirements
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§ 512.9 What are the requirements if the information comes from a third party?
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§ 512.10 Duty to amend.
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§ 512.11 What if I need an extension of time?
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§ 512.12 What if I am submitting multiple items of information?
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§ 512.13 What are the consequences for noncompliance with this part?
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Subpart D—Agency Determination
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§ 512.14 Who makes the confidentiality determination?
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§ 512.15 How will confidentiality determinations be made?
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§ 512.16 Class determinations.
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§ 512.17 How long should it take to determine whether information is entitled to confidential treatment?
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§ 512.18 How will I be notified of the confidentiality determination?
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§ 512.19 What can I do if I disagree with the determination?
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Subpart E—Agency Treatment of Information Claimed To Be Confidential
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§ 512.20 How does the agency treat information submitted pursuant to this part before a confidentiality determination is made?
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§ 512.21 How is information submitted pursuant to this part treated once a confidentiality determination is made?
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§ 512.22 Under what circumstances may NHTSA modify a grant of confidentiality?
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§ 512.23 Under what circumstances may NHTSA publicly release confidential information?
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Appendix A to Part 512—Certificate in Support of Request for Confidentiality
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Appendix B to Part 512—General Class Determinations
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Appendix C to Part 512—Early Warning Reporting Class Determinations
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Appendix D to Part 512—OMB Clearance
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