ID: nht88-3.60

TYPE: INTERPRETATION-NHTSA

DATE: 10/03/88 EST

FROM: ERIKA Z. JONES -- NHTSA CHIEF COUNSEL

TO: KUNIO SHIMAZU -- GENERAL MANAGER, U.S. OFFICE - TOYOTA

TITLE: NONE

ATTACHMT: FEBRUARY 26, 1988 LETTER FROM SHIMAZU TO JONES

TEXT: This responds to your letter seeking an interpretation of Standard No. 208, Occupant Crash Protection (49 CFR @ 571.208). I apologize for the delay in this response. Specifically, you were concerned with the requirements for positioning automatic safet y belts on the test dummy prior to dynamic testing. You noted that, before conducting compliance testing of vehicles with automatic belt systems, section S10.5.2 of Standard No. 208 necessitates the following step: "Ensure that the upper torso belt lies flat on the test dummy's shoulder after the automatic belt has been placed on the test dummy." You asserted that this section does not clearly specify the belt path or how the belt is to be positioned on the dummy's shoulder. You further expressed your concern that, during the agency compliance testing, test personnel might believe that they are prohibited from adjusting the belt path on the dummy after the door has been shut for any reason other than the belt's failure to lie flat on the test dummy's shoulder. You asserted that, if NHTSA does not adjust the belt path as you have suggested for its compliance testing of vehicles with automatic belts, the compliance testing will be insufficiently representative of "real-world" performance of the automa tic belts.

Standard No. 208 does provide for adjustment of automatic belts only if the belt fails to lie flat on the test dummy's shoulder. Belt systems that require some additional deliberate actions by the vehicle occupant to provide effective crash protection f or the occupant are not automatic belt systems within the meaning of Standard No. 208, as explained below.

Standard No. 208 has always permitted manufacturers to comply with its requirement for automatic crash protection by any means that "requires no action by vehicle occupants." See 35 FR 14941; September 25, 1970. Automatic safety belts that require no ac tion by vehicle occupants are one means of satisfying the requirement for automatic crash protection. On April 25, 1974 (39 FR 14593), the agency issued an interpretation of this concept, in which the agency said that it would not consider a belt

system that had to be manually moved out of the way by the occupant to be an "automatic" system within the meaning of Standard No. 208. The following discussion also appeared, at 39 FR 14594:

The question of what constitutes "no action by vehicle occupants" in a vehicle equipped with (presumptively) passive belts is best considered in two stages: (1) Entry and exit from the vehicle, and (2) positioning of the belt for safety and comfort.

* * *

The second question relates to the usefulness of the system once the occupant has been seated. The essence of a passive system is that it provides at least the minimum level of protection without relying on occupant action to deploy the restraint. A t this stage, then, the question is whether an occupant who has seated himself without taking any "additional action" is in fact protected in a 30 mph impact. This can be measured by conducting the impact tests with the belt positioned on the test dummy in the orientation that results when a human occupant enters the vehicle according to the first test described above. It would not be required that the belt position itself for maximum comfort of the human occupant, if it met the safety requirements. For example, if the belt were to fall across the upper arm instead of the clavicle, but still passed the test, the system would be considered conforming.

After further consideration, the agency tentatively concluded that its interpretation might have been too stringent in suggesting that a belt system that had to be manually moved out of the way by an occupant to enter or exit the vehicle would not be con sidered an automatic belt system for purposes of Standard No. 208. The agency sought public comment on this tentative conclusion in an April 12, 1985 notice (50 FR 14580). The four commenters that responded to this request all concurred with the agency 's judgment that the 1974 interpretation was too stringent, and the agency revised its interpretation in a November 6, 1985 rule (50 FR 46056). The following discussion appears at 50 FR 46064:

. . . The concept of an occupant protection system which requires "no action by vehicle occupants," as that term is used in Standard No. 208, is intended to designate a system which will perform its protective restraining function after a normal proce ss of ingress or egress without separate deliberate actions by the vehicle occupants to deploy the restraint system. Thus, the agency considers an occupant protection system to be automatic if an occupant has to take no action to deploy the system but w ould normally slightly push the safety belt webbing aside when entering or exiting the vehicle or would normally make a slight adjustment in the webbing for comfort. . . . (Emphasis in original)

This interpretation was added to the end of Standard No. 208 to make clear that a belt system requires "no action by vehicle occupants" if the occupant must slightly push the webbing when entering or exiting the vehicle or if the occupant must make a sli ght adjustment to improve comfort. This interpretation neither said nor implied that a belt system

that must be adjusted to provide effective occupant protection would be considered an automatic belt system for the purposes of Standard No. 208. Indeed, since the vehicle occupant would have to take separate deliberate actions to deploy such a belt syst em, the interpretation makes clear that such a system would not be considered an automatic belt system.

The positioning procedures for automatic belts reflect this understanding of what constitutes an "automatic" belt system. Such procedures were added to Standard No. 208 in a September 5, 1986 final rule (51 FR 31765). The following discussion appeared in the preamble to that rule: In the agency's NCAP testing, the only adjustment NHTSA has made to an automatic belt once it has been deployed on the test dummy is to ensure that the belt is lying flat on the test dummy's shoulder when the belt is in its final position. The agency is adopting the same procedure for the Standard No. 208 compliance test. 51 FR 31766.

An adjustment to ensure that the belt webbing is not twisted on the test dummy's shoulder is the sort of adjustment that would normally be made by a vehicle occupant for comfort. Hence, this type of adjustment in compliance testing is consistent with th e November 6, 1985 interpretation of automatic belt systems for the purposes of Standard No. 208.

NHTSA intentionally did not provide for any further adjustments of automatic belts prior to Standard No. 208 compliance testing, because automatic belts require no action by vehicle occupants. Any belt systems that need some further adjustments to offer effective occupant protection require some action by vehicle occupants, and therefore are not automatic belt systems for the purposes of Standard No. 208.

ID: nht90-3.98

TYPE: Interpretation-NHTSA

DATE: July 5, 1990

FROM: Roger C. Fairchild -- Esq., Shutler and Low

TO: Paul Jackson Rice -- Chief Counsel, NHTSA

TITLE: None

ATTACHMT: Attached to letter dated 9-26-90 from P.J. Rice to R.C. Fairchild (A36; Std. 109; Std. 110; Std. 119; Std. 120)

TEXT:

Our firm advises a number of motor vehicle industry clients regarding their obligations under various Federal statutes and regulations. On behalf of a client, we request your opinion regarding the proper interpretation of Federal Motor Vehicle Safety Standards 110 and 120 (49 C.F.R. 571.110 and 571.120), as they relate to certain recommendations for tire selection and pressure/load determinations contained in publications of the Tire and Rim Association ("TRA").

Background

The TRA Year Book is one of the tire industry standardization publications that are listed in section 4.4.1(b) of FMVSS 109 and in section 5.1(b) of FMVSS 119. Under section 4.2.1(c) of FMVSS 109 and section 6.6 of FMVSS 119, tires must have maximum load ratings (molded on the sidewall in accordance with section 4.3(c) of FMVSS 109 and section 6.5(d) of FMVSS 119) that are not less than the lowest of any specified values printed in the listed publications, for tires of that size designation. Under section 4.2.1 of FMVSS 110, the vehicle maximum load on a tire may not be greater than the maximum load rating on the tire sidewall. In addition, section 4.3.1(c) of FMVSS 110 provides that, if a tire pressure other than the maximum pressure is specified on a passenger car tire placard, the vehicle loading condition for that pressure must be specified, and that pressure must be one that will support the vehicle load on the applicable tire, as specified in the listed publications or in a separate submittal by the tire manufacturer. Moreover, it is our understanding that NHTSA has interpreted FMVSS 120 to require that, for vehicles other than passenger cars, the vehicle load on each tire (at the recommended inflation pressure) must not exceed the tire's load rating at that pressure, as specified in the listed publications.

Thus, NHTSA generally requires that the tire selection process and tire information labels must reflect pressure/load relationships that are determined by reference to publications such as the TRA Year Book. However, NHTSA standards do not specify the exact part of each of these publications that is to be used in determining compliance with NHTSA standards. In fact, the publications include some "advisory" requirements that do not appear to be used in determining compliance with the FMVSS.

Examples of TRA criteria that are not clearly referred to in NHTSA standards are those criteria relating to vehicle speed capability.

Although FMVSS 109 and 119 include tire high speed tests, we understand that, in general, no separate provision is made in the FMVSS to account for vehicle high speed capability.

Questions

We request that you inform us as to whether the following three TRA criteria are used in determining compliance with FMVSS:

1. Vehicle Load Adjustment for Speed (Passenger Cars)

The 1990 edition of the TRA Year Book provides that "for applications above 210 km/h (130 mph), both vehicle normal load and vehicle maximum load shall be multiplied by a factor" that is based on the vehicle's maximum speed capability (see Enclosure 1). The Year Book goes on to state that "the resultant vehicle normal load must not exceed 88 percent of the tire maximum load and the resultant vehicle maximum load must not exceed the tire maximum load. In addition, the resultant vehicle maximum load as determined above must not exceed the tire load corresponding to the inflation pressure specified by the vehicle manufacturer."

It is our understanding that the adjustment factor described above is not used in determining compliance with FMVSS 110 or 120. As with the TRA provisions, section 4.2 of FMVSS 110 requires that the vehicle normal load on a tire must not exceed 88 percent of the tire's maximum load rating and the vehicle maximum load on a tire must not exceed the maximum load rating (as marked on the tire sidewall). However, unlike the TRA provisions, the terms "vehicle normal load" and "vehicle maximum load" are defined in section 3 of FMVSS 110 without reference to the speed capability of the vehicle. No explicit reference to the above described adjustment factor appears anywhere in the Federal standards. Therefore, we conclude that the vehicle speed adjustment factor is not applicable under the Federal standards.

2. Vehicle Speed Adjustment for Inflation Pressure (Passenger Cars)

The TRA Year Book also requires that the "speed category of the tire must match or exceed the theoretical maximum speed of the vehicle." The theoretical maximum speed of the vehicle is defined by TRA as the actual maximum speed, as adjusted for tire inflation pressure using another factor specified by TRA. (See Enclosure 2.) TRA also recommends minimum inflation pressures for vehicles of high maximum speed capability. We are aware of no reference anywhere in NHTSA regulations to tire speed categories. Therefore, it is our understanding that the TRA provisions set forth in Enclosure 2 are not used in determining compliance with Federal safety standards.

3. Load Limits at Various Speeds for Diagonal and Radial Ply Truck Tires

TRA also provides for adjustments in recommended tire inflation pressure and "service load" for tires used on trucks and buses, depending on the maximum speed capability of the vehicle (see Enclosure 3).

FMVSS 120 does not explicitly define the required tire pressure/load relationships for trucks and buses. However, section 5.1.2 of that standard provides that the sum of the maximum load ratings of the tires

fitted to an axle must not be less than the applicable GAWR. The maximum load ratings of truck tires are determined under section 6.6 of FMVSS 119 without reference to the vehicle application. The only explicit reference in FMVSS 120 to vehicle maximum speed capability is an exclusion from the requirements of section 5.1.2 for vehicles whose maximum speed attainable in 2 miles is 50 mph or less. Thus, we do not see a basis for using the TRA standard set forth in Enclosure 3 to determine compliance with Federal standards.

Conclusion

In our opinion, the TRA Standards described above should not be used in determining compliance with Federal safety standards. In general, using such private standards would have the effect of delegating to several distinct organizations the power to amend Federal standards in ways that are potentially inconsistent. Moreover, TRA standards are typically made effective on publication, so no advance lead-time would be provided to vehicle manufacturers with respect to new TRA standards. (If NHTSA determines that the above mentioned "advisory" requirements of the TRA standards must be used in determining compliance with the FMVSS, please inform us how NHTSA would deal with this lead-time concern, consistent with section 103(e) of the Safety Act.)

If you have any questions regarding this letter, please contact me at 818-1320 (local number).

Enclosures

Selection of Tires for Passenger Cars and Station Wagons (Source: The Tire and Rim Association 1990 Year Book) (text omitted.)

Vehicle Speed Adjustment (for inflation pressure) (text omitted).

Load Limits at Various Speeds for Diagonal and Radial Ply Truck Tires Used on Improved Surfaces (text omitted).

ID: 1985-03.44

TYPE: INTERPRETATION-NHTSA

DATE: 09/13/85

FROM: AUTHOR UNAVAILABLE; Jeffrey R. Miller; NHTSA

TO: Mr. Steven W. Crowell

TITLE: FMVSS INTERPRETATION

TEXT:

September 13, 1985 Mr. Steven W. Crowell 29 Mansfield Street Allston, MA 02134 Dear Mr. Crowell: Thank you for your March 8, 1985 letter to Mr. Stephen Oesch of this office asking several questions concerning the Federal motor vehicle safety standards issued by this agency. I sincerely regret the delay in responding to your letter; however, I hope the following discussion will be of assistance to you. You first asked whether our safety standards apply to auxiliary interior equipment installed in motor vehicles. The answer is yes. The National Highway Traffic Safety Act authorizes this agency to issue safety standards for new motor vehicles and equipment (103), prohibits the sale or manufacture of new vehicles and equipment which do not meet those standards (108(a)(1)(A)), establishes civil penalties for non-complying vehicles and equipment (109(a)), and requires manufacturers to recall and remedy any non-compliances (154(a)). A copy of the Act is enclosed for your information. In addition, the Act requires certification of compliance with applicable safety standards (114). This requirement applies to manufacturers of equipment, with regard to those items of equipment, and to vehicle manufacturers, with regard to the entire vehicle. Thus, if auxiliary interior equipment is installed in a vehicle prior to first sale, the equipment manufacturer must certify compliance with any safety standards applicable to the item of equipment, and the vehicle manufacturer must certify that the entire vehicle (including items of equipment) complies with all applicable standards. You also asked specifically about the applicability of certain safety standards to interior partitions: Standard No. 107, Reflecting Surfaces, No. 111, Rearview Mirrors, No. 201, Occupant Protection in Interior Impact (dashboards and seatbacks), No. 205, Glazing Materials (windows), and No. 208, Occupant Crash Protection (safety belts and other restraint systems). Only Standard No. 205 directly applies to interior partitions. However a vehicle manufacturer must certify that its vehicles comply with applicable safety standards, even if an interior partition or other auxiliary equipment is installed. For example, Standard No. 111 requires that a rearview mirror provide a minimum field of view for a driver. If the rearview mirror does not provide that field of view (due to an interior partition or any other reason), the Standard requires an outside rearview mirror. Each safety standard describes the types of vehicles and equipment systems to which it applies; copies of Standards N. 107, 111, 201, 205 and 208 are also enclosed for your information. The safety standards apply to new motor vehicles ad new items of motor vehicle equipment, and the responsibility for assuring compliance rests with the manufacturer. However, the Act also includes some restrictions on vehicle modifications after the first sale to a consumer. Under 108(a)(2)(A) of the Act, a manufacturer, distributor, dealer, or motor vehicle repair business may not "render inoperative" any device or element of design installed in accordance with a Federal motor vehicle safety standard. Thus, modification of a vehicle by such a person must not render any safety feature inoperative. The owner or other user of a motor vehicle, however, may modify the vehicle without concern about possibly violating a Federal safety standard because the "render inoperative" provision does not apply to such users. State law should always be considered before modification, however, because it may limit the alteration of a vehicle by its owner or other users. You also ask whether the Act and our safety standards apply to various types of vehicles and ownerships. The Federal safety standards apply to all new motor vehicles and motor vehicle equipment that are introduced into commerce in the United States. All the types of vehicles you mention, such as taxicabs, police cruisers, and utility vans, are within the Act's definition of "motor vehicle" (102(3)), so they are subject to all forth the types of vehicles to which it applies. There is no exception for the manufacture of vehicles for government or commercial use, Also, as discussed above, the user of a vehicle, such as an owner or lessee, may personally modify his or her vehicle without violating Federal law, but users should check State law. You also inquired, in cases whether the Act and safety standards do not apply, as to who might be liable for personal injury or property damage resulting from the use of interior partitions. As noted above, the Act applies to all new motor vehicles, so each new vehicle is required to comply with all applicable safety standards. However, the Act does not govern liability questions, regardless of whether a safety standard does or does not apply to a given vehicle or item of equipment. Liability issues are governed by State tort law; you may wish to consult with a local attorney to discuss the liability laws in your State. In addition, you asked how the pre-emption provision of the Act, (103(d)) would affect a State motor vehicle inspection law requiring safety belt retention for passenger cars, but not for commercial vehicles. That pre-emption provision prohibits any state safety standards for vehicles or items of vehicle equipment which are not identical to Federal safety standards covering the same aspect of performance. While that provision would not apply to the situation you describe -- since there is no Federal safety standard requiring the retention of safety belts -- the restrictions in the Act on subsequent vehicle modifications (108(a)(2)(A), discusses above) would apply. Since safety belts are required items of motor vehicle equipment under Standard No. 208, the statutory provision would prohibit certain commercial enterprises from removing those belts, whether from passenger cars or from commercial vehicles. Thus, no State law could legalize the removal by such businesses of federally required safety belts, since such a law would conflict with 108(a)(2)(A) of the Act. Of course, State law may require the retention of safety belts for any or all classes of motor vehicles. Finally, you asked whether prohibiting motor vehicles from interstate commerce would effectively avoid the requirements of the Vehicle Safety Act. Such prohibition would not affect a manufacturer's obligation under the Act to certify the vehicle and assure compliance with all applicable safety standards. The Act is not limited to vehicles which are actually used in interstate commerce (i.e., those that cross State lines). Instead, it requires compliance with safety standards for all new vehicles and items of vehicle equipment which are manufactured, sold or introduced in interstate commerce (108(a)(1)(A)). In our view, that provision indicates Congress' intent to cover all new motor vehicles. As a practical matter, it is extremely unlikely that any vehicle would never be in interstate commerce at some time during its lifetime. For example, the delivery of the vehicle from its place of manufacture to its original place of sale will generally involve movement in interstate commerce. Also, a manufacturer has no way of knowing where its vehicles may subsequently be used. In addition, whether or not the vehicles are actually used in interstate commerce, their subsequent use on public roads substantially affects interstate commerce and therefore is subject to Federal law. I hope these answers are helpful. We appreciate your interest in State safety belt use legislation, and again I apologize for the delay in responding. If we can be of further assistance, please do not hesitate to contact me or Mr. Oesch of my office (202-426-2992). Sincerely, Original Signed By Jeffrey R. Miller Chief Counsel Enclosures

ID: 86-5.10

TYPE: INTERPRETATION-NHTSA

DATE: 09/04/86

FROM: AUTHOR UNAVAILABLE; S.P. Wood for Erika Z. Jones; NHTSA

TO: Mr. B.K. O'Neil

TITLE: FMVSS INTERPRETATION

TEXT: Thank you for your letter of January 22, 1986, asking how our regulations affect a product you manufacture. Your letter and the literature you enclosed describe your product as a modified acrylic tinted shield which fits over the front end of a passenger car. According to the pictures you enclosed with your letter, your shield fits over the headlights of some vehicles, in others it apparently only covers the front turn signals. I regret the delay in our response. As discussed below, your product could be affected by two Federal Motor Vehicle Safety Standards.

The National Highway Traffic Safety Administration (NHTSA) has the authority to issue safety standards applicable to new motor vehicles and certain items of motor vehicle equipment. NHTSA, however, does not approve motor vehicles or motor vehicle equipment, nor do we endorse any commercial products. Instead the National Traffic and Motor Vehicle Safety Act establishes a "self-certification" process under which each manufacturer is responsible for certifying that its products meet our safety standards. The agency periodically tests vehicles and equipment items for compliance with the standards, and also investigates other alleged safety-related defects.

The agency has issued Standard No. 205, Glazing Materials, which sets performance and marking requirements for glazing materials used in a vehicle. Auxillary wind deflectors are among the items of glazing materials covered by the standard. The agency has applied the standard to the type of wind deflector that is used at a location necessary for driving visibility. The purpose of the requirement is to ensure that wind deflectors do not obstruct or distort the vision of a driver. Thus, for example, the agency has said in a letter of October 2, 1985, to Mr. Rosario Costanzo that the standard would apply to a wind deflector designed to be mounted in the side window of a vehicle. The literature you enclosed shows that your product, which is a type of plastic shield, is not mounted in a location necessary for driving visibility and thus would not be covered by Standard No. 205.

Installation of your product in a new vehicle prior to its first sale would be affected by Standard No. 108, Lamps, Reflective Devices and Associated Equipment, which sets, among other things, minimum candle power requirements for headlamps and turn signals. In addition, paragraph S4.1.3 of the standard prohibits the installation of motor vehicle equipment that impairs the effectiveness of lighting equipment required by the standard. Furthermore Society of Automotive Engineers Standard J580, Sealed Beam Headlamp Assembly, which is incorporated by reference in paragraph S4.1.1.36 and Tables I and II of Standard No. 108, prohibits styling features in front of headlamps when the lamps have been activated. Thus, S4.1.3, S4.1.1.36, and Tables I and II prohibit the use of fixed transparent headlamp covers as original equipment on motor vehicles. Part 567, Certification, of our regulations provides that a person that alters a new vehicle prior to its first sale must certify that the vehicle, as altered, still conforms with all applicable safety standards. Thus, an alterer could not install a version of your product which covers the headlamps of a vehicle. If a version of your product covers the turn signal or any other required lighting device, the alterer must certify that the vehicle lights will still comply with Standard No. 108 with your product in place. Persons violating the certification requirement are subject to a civil fine of up to $ 1,000 per violation.

Installation of your product in a used vehicle would be affected by section 108(a)(2)(A) of the Vehicle Safety Act. That section prohibits commercial businesses from knowingly tampering with devices or elements of design installed in a vehicle in compliance with the Federal motor vehicle safety standards. Thus, a commercial business could not install a version of your product which covers the headlamps of a vehicle. If the version of your product covers the turn signal or any other required lighting device, the business must assure that the vehicle lamps will still comply with Standard No. 108 with your product in place. Commercial businesses that violate section 108(a)(2)(A) are subject to a civil penalty of $ 1,000 per violation.

The prohibition of section 108(a)(2)(A) does not apply to individual vehicle owners who may install or remove any items of motor vehicle equipment regardless of its effect on compliance with Federal motor vehicle safety standards. However, the agency encourages vehicle owners not to remove or otherwise tamper with vehicle safety equipment. Also, any modifications made by a vehicle owner would have to comply with applicable state law.

In addition, you as a manufacturer of motor vehicle equipment are subject to the requirements in sections 151-159 of the Vehicle Safety Act concerning the recall and remedy of products with defects related to motor vehicle safety. I have enclosed an information sheet which outlines those requirements.

If you have any further questions, please let me know.

Sincerely,

ENC.

January 22, 1986

Department of Transportation

Attn: Erika Jones Chief Counsel

Dear Ms. Jones:

I have been in contact with Mr. Ed Glassie of your department, and he suggested we contact you for clarification on our product.

AUTOBRA I manufactures a modified acrylic (Plexiglas DR(R)) auto bra, as per the enclosed literature.

I would like to find out if we are approved by D.O.T., or in fact, our product would need approval under your guidelines.

Please peruse our literature and samples, and advise me of your comments.

AUTOBRA I, INC.

B.K. O'Neill Vice President/Marketing

ENC.

P.S. Although there are presently four or five other manufacturers of auto bras in America right now, we are unfamiliar with their position as to D.O.T. compliance. The only difference between us is the type of plastic used.

(Graphics omitted)

Autobra shield has been designed to provide the following innovative features not available with most front end protection: STYLING Autobra shield's aerodynamic styling actually enhances your automobile's appearance.

MOUNTING Mounting Autobra shield is fast and secure without modification to your automobile.

ACCESS Autobra shield provides easy access to your hood or bonnet without total removal of the shield.

PROTECTION Autobra shield's solid acrylic construction provides maximum protection to your automobile from stones, bugs and other flying debris.

SAFETY Abrasion, mildew and damage to body finish of the covered area are eliminated because Autobra shield mounts away from the surface of the automobile.

MAINTENANCE Autobra shield wipes clean with soap and water providing easy maintenance.

Autobra shield's acrylic construction is resistant to the WEATHER elements; RESISTANCE consequently removal of the shield in inclement weather is virtually eliminated.

Autobra shield is available in light tint acrylic for Porsche 911, 930; BMW 318/325, 320; Toyota Celica, Tercel, Pick-Up; Fiero; Corvette; Mustang GT, and other select automobiles.

2177 Andrea Lane Ft. Myers, FL 33908 Florida (813) 482-5603 Toll Free 1-800-445-2886

Dealer inquiries welcomed

ID: 2793o

Mr. Ward W. Reeser
Project Engineer
Electrical Systems
Caterpillar Tractor Co.
100 N. E. Adams St.
Peoria, Illinois 61629

Dear Mr. Reeser:

I am writing in response to your December 4, 1987 letter in which you described Caterpillar Inc.'s worldwide program to review lighting used on Caterpillar product lines in order to standardize the devices. You specifically asked if any of Caterpillar's lighting devices were covered by Federal Motor Vehicle Safety Standard (FMVSS) 108. You enclosed descriptive literature on the Caterpillar product line. I regret the delay in responding to your question.

It must be noted at the outset that the National Highway Traffic Safety Administration (NHTSA) issues safety standards for "motor vehicles." Therefore, Standard 108 and all of our other regulations apply to a vehicle and its manufacturer only if the vehicle qualifies as a "motor vehicle" under the provisions of the National Traffic and Motor Vehicle Safety Act of 1966 (15 U.S.C. 1381 et seq.). Section 102(3) of the Act defines "motor vehicle" as:

any vehicle driven or drawn by mechanical power manufactured primarily for use on the public streets, roads, and highways, except any vehicle operated exclusively on a rail or rails.

We have interpreted this language as follows. Vehicles that are equipped with tracks or are otherwise incapable of highway travel are plainly not motor vehicles. Agricultural equipment, such as tractors, are not motor vehicles because Congress clearly did not intend to include them in its coverage. Further, vehicles designed and sold solely for off-road use (e.g., Airport runway vehicles and underground mining vehicles) are not considered motor vehicles, even though they may be operationally capable of highway travel.

On the other hand, vehicles that use the public highways on a necessary and recurring basis are motor vehicles. For instance, utility vehicles like the Jeep are plainly motor vehicles, even though they are equipped with special features to permit off-road operation. If a vehicle's greatest use will be off-road, but it will spend a substantial amount of time on-road, NHTSA has interpreted the vehicle to be a "motor vehicle." Further, if a vehicle is readily usable on the public roads and is in fact used on the public roads by a substantial number of owners, NHTSA has found the vehicle to be a motor vehicle. This finding was made with respect to dune buggies and regardless of the manufacturer's stated intent regarding the terrain on which the vehicles were to be operated.

As noted above, this agency has consistently interpreted "motor vehicle" to exclude vehicles that are equipped with tracks or are otherwise incapable of highway travel. Therefore, the track-type tractors, excavators, track-type loaders, tracked pavement profilers PR-450, PR-750B and PR-1000, concrete slipform pavers & auxiliary equipment, finegraders, front shovels, swing machines, tracked skidders D4H and D5H are not considered to be "motor vehicles."

In your letter, you described the Caterpillar line of construction and industrial equipment as basically for off-highway use: "There are occasional uses on the highway for such equipment as motor graders, but obviously none of this equipment is designed for normal highway use or for the transportation of people." Despite their use of the highway, some vehicles are excepted from the motor vehicle classification. Highway maintenance and construction equipment, lane stripers, self-propelled asphalt pavers, and other vehicles whose maximum speed does not exceed 20 miles per hour and whose abnormal configuration distinguishes them from the traffic flow are not considered "motor vehicles."

Although many items in the Caterpillar product line have an abnormal configuration that readily distinguishes them from other vehicles, the product literature enclosed with your letter did not provide sufficient information on the maximum speed capabilities or intended uses (i.e., strictly off highway or occasional on-highway use) of the motor graders, off-highway tractors, articulated dump trucks, wheel tractors, compactors, landfill compactors, wheel loaders, integrated toolcarriers, backhoe loaders, pavement profilers PR-75, PR-105 and PR-275, asphalt pavers & auxiliary equipment, compaction equipment, skidders, pipelayers, scrapers, and off-highway trucks to enable me to make a determination whether these would be considered "motor vehicles." However, I believe that the guidelines for classifying vehicles that are set forth above will allow you to determine if these are "motor vehicles." If they are, they must comply with safety standards, including Standard 108, applicable to trucks.

The lighting devices and other features of "motor vehicles" would be required to comply with the FMVSS (49 CFR Part 571). As you are aware, Standard No. 108; Lamps, reflective devices, and associated equipment (49 CFR 571.108) specifies requirements for original and replacement lamps, reflective devices, and associated equipment necessary for signaling and for the safe operation of motor vehicles during darkness and other conditions of reduced visibility.

Finally, the product literature included several items which did not appear to be self-propelling, including the asphalt drum mixers, aggregate bins, and compaction equipment items TSF-54 and TSM-54. These products fall within NHTSA's jurisdiction if they are "trailers" as that term is defined at 49 CFR 571.3. That section defines "trailer" as "a motor vehicle with or without motive power, designed for carrying persons or property and for being drawn by another motor vehicle."

Based on the depiction in the brochure, the equipment appear to be designed for carrying property (drum mixers, aggregate bins, and compaction equipment) and for being drawn by another vehicle. Therefore, whether the equipment are trailers depends on whether they are "motor vehicles" within the meaning of the Safety Act and on whether the vehicles the equipment are designed to be drawn by are "motor vehicles."

Specific information has not been provided about the intended uses of the equipment. If they make frequent use of the highways, and stay at one particular job site for a limited amount of time, the items mentioned above would be motor vehicles, and would fall within the definition of "trailers." Trailers are subject to Standard No. 108, Lamps, Reflective Devices, and Associated Equipment. If, on the other hand, the equipment are intended to be drawn by vehicles that are not motor vehicles, or the equipment stays at a job site for extended periods of time and it travels on the highways only to move to another job site for an extended stay, the equipment would not be considered motor vehicles.

It is important to note that NHTSA does not approve motor vehicles or motor vehicle equipment, nor do we endorse commercial products. Instead, the National Traffic and Motor Vehicle Safety Act establishes a "self certification" process under which each manufacturer is required to certify that its products meet all applicable safety standards. The National Traffic and Motor Vehicle Safety Act prohibits the manufacture or sale of a noncomplying product.

I hope the information provided above will be useful to you and to Caterpillar, Inc. If there are any further questions or if you need further information, please do not hesitate to write to me.

Sincerely,

Erika Z. Jones Chief Counsel

ref:VSA d:8/8/88

ID: 9508

Mr. Carl Haywood
Operations Manager
Emergency Response Specialists
2251 Happy Top Road
Morris, Alabama 35116

Dear Mr. Haywood:

This responds to your letter of December 21, 1993, requesting information about seating requirements for emergency response units you are designing to respond to chemical spills. The response units are tractor trailer combinations which can be driven in and out of the cargo bay of C-130 Hercules aircraft which are used to transport the units to the site. You further describe the response units as follows:

Our response units are designed to transport all six (6) of our response team members, for over the highway transportation three (3) of our team members will ride in the tractor and the remaining three (3) will ride in the trailer. During air transportation all six (6) team members will ride in the trailer. By providing seating with lap and shoulder restraints in the response unit for both ground and air transportation we eliminate the need for special crew cabins for air transportation, and extra vehicles for ground transportation. This conserves the limited space available on the C-130 allowing us to carry all the equipment needed to respond effectively to large scale chemical releases.

You requested information on the regulation of the seating in the response units. You have already contacted several Department of Transportation agencies, including the Federal Aviation Administration.

I am pleased to have this opportunity to explain our regulations to you. Some background information on Federal motor vehicle safety laws and regulations may be helpful. Our agency is authorized, under the National Traffic and Motor Vehicle Safety Act (15 U.S.C. 1381 et seq., Safety Act), to issue safety standards applicable to new motor vehicles and items of motor vehicle equipment. The Safety Act defines the term "motor vehicle" as follows:

any vehicle driven or drawn by mechanical power manufactured primarily for use on the public streets, roads, and highways, except any vehicle operated exclusively on a rail or rails.

If a vehicle is a "motor vehicle" under the definition, then the vehicle must comply will all applicable safety standards, including those related to seating and occupant restraint. However, if a vehicle is not a motor vehicle under this definition, then the vehicle need not comply with the agency's safety standards because such a vehicle is outside the agency's scope of authority.

Applying this definition to the response units, NHTSA believes the response units are motor vehicles within the meaning of the Safety Act. In determining whether a vehicle which has both on-road and off-road uses is a motor vehicle, the agency looks at whether the vehicle uses public roads on a necessary and recurring basis. Applying this criteria to the response units, we believe that the response units have a primary function of highway transportation of personnel and equipment to the chemical spill site.

NHTSA's safety standards specify different requirements for different types of motor vehicles. Therefore, in order to determine the occupant seating requirements for the response units, it is necessary to determine how these vehicles are classified under our regulations. NHTSA defines a "truck" as "a motor vehicle with motive power, except a trailer, designed primarily for the transportation of property or special purpose equipment." The tractor portion of the response unit has seating capacity for at least three passengers, but its primary use appears to be to draw the trailer. Therefore, it appears that this vehicle is a "truck" for the purpose of Federal regulations.

NHTSA defines a "trailer" as "a motor vehicle with or without motive power, designed for carrying persons or property and for being drawn by another motor vehicle." NHTSA believes the trailer portion of the response units would be considered trailers for the purpose of Federal regulations.

NHTSA has exercised its authority under the Safety Act to issue four safety standards relevant to occupant seating and restraint: Standard No. 207, Seating Systems, Standard No. 208, Occupant Crash Protection, Standard No. 209, Seat Belt Assemblies, and Standard No. 210, Seat Belt Assembly Anchorages.

Standard No. 207 establishes strength and other performance requirements for all "occupant seats" in passenger cars, multipurpose passenger vehicles, and trucks, and for the driver's seats in buses, except that the requirements do not apply to side-facing seats. Therefore, all "occupant seats" in tractor portion of the response units must meet the requirements of Standard No. 207. Standard No. 207 does not apply to trailers, therefore, the seats in the trailer portion of the response units are not subject to the requirements of Standard No. 207.

Standard No. 208 specifies occupant protection requirements based on vehicle type and seating position within the vehicle. Different requirements also apply depending on the GVWR of the vehicle. The discussion which follows is limited to vehicles with a GVWR greater than 10,000 pounds. As explained below, trucks are required to have, at a minimum, a lap belt at every designated seating position. As with Standard No. 207, Standard No. 208 does not apply to trailers. Therefore, the seats in the trailer portion of the response units are not required to have any type of safety belt at any seating position.

The requirements for trucks with a GVWR of 10,000 pounds or more are contained in section S4.3 of Standard No. 208. Vehicle manufacturers have a choice of two options for providing occupant crash protection in trucks manufactured on or after September 1, 1990. Option 1 requires vehicle manufacturers to provide an automatic protection system at all seating positions that meets the frontal and lateral crash protection and rollover requirements. Option 2 requires vehicle manufacturers to install lap or lap/shoulder belts at every seating position. If a manufacturer chooses to comply with Option 2, the lap belt or pelvic portion of a lap/shoulder belt must have either an emergency locking retractor or an automatic locking retractor.

Standard No. 209 sets forth strength, elongation, webbing width, durability, and other requirements for seat belt assemblies. This standard applies to all seat belt assemblies as separate items of motor vehicle equipment, regardless of whether the belts are installed as original equipment in a motor vehicle or sold as replacements. Thus, if seat belts are voluntarily installed at the seats in the trailer portion of the response units, the seat belts would be required to be comply with Standard No. 209.

Standard No. 210 establishes strength and location requirements for seat belt anchorages installed in vehicles, where seat belts are required by Standard No. 208. Therefore, anchorages are required for the lap belts in the tractor, but are not required in the trailer.

Although all of the safety standards cited in this letter do not apply to each seating position in your proposed emergency response unit, the agency nevertheless encourages additional consideration and application of those performance requirements that are appropriate to a safe design.

I hope you find this information helpful. If you have any other questions, please contact Mary Versailles of my staff at this address or by phone at (202) 366-2992.

Sincerely,

John Womack Acting Chief Counsel

ref:VSA#207#208#209#210 D:3/17/94

ID: 8240a

Trooper Bob Dittert
Texas Department of Public Safety
10110 NW Freeway
Houston, TX 77092

Dear Mr. Dittert:

This responds to your inquiry about how the Federal Motor Vehicle Safety Standards affect State laws applicable to the same aspect of performance. You were particularly interested in our requirements for window tinting. I am pleased to have this opportunity to explain our regulations to you. After providing background information, I will answer the specific questions raised in your letter.

The National Traffic and Motor Vehicle Safety Act authorizes the National Highway Traffic Safety Administration (NHTSA) to issue Federal motor vehicle safety standards that establish specific levels of safety performance for new motor vehicles and new items of motor vehicle equipment. Standard 205, "Glazing Materials," issued under the Safety Act, has requirements that limit the amount of tinting that can be placed on windows in new vehicles. The standard currently imposes a minimum level of light transmittance of 70% in all areas requisite for driving visibility (which includes all windows on passenger cars). The primary purpose of this requirement is to ensure adequate visibility through the windows, thereby reducing the risk of a motor vehicle crash.

Under 108(a)(1)(A) of the Safety Act, no person shall manufacture or sell a new motor vehicle or new item of motor vehicle equipment that does not meet all applicable FMVSS's. NHTSA tests vehicles and equipment sold to consumers for compliance with the FMVSS's and investigates defects relating to motor vehicle safety. If a manufacturer or NHTSA determines that a noncompliance or safety-related defect exists, the manufacturer must notify purchasers of its product and remedy the problem free of charge. A manufacturer of a noncomplying product is also subject to a civil penalty of up to $1,000 for each noncomplying item it produces.

The prohibition in 108(a)(1)(A) against selling complying vehicles and items of equipment does not apply to a vehicle or item of equipment after its first sale to a consumer. However, 108(a)(2)(A) of the Act applies to modifications made to new and used vehicles by motor vehicle manufacturers, distributors, dealers and repair businesses. That section provides that:

No manufacturer, distributor, dealer, or motor vehicle repair business shall knowingly render inoperative, in whole or in part, any device or element of design installed on or in a motor vehicle ... in compliance with an applicable Federal motor vehicle safety standard.

Please note that the "render inoperative" provision of section 108(a)(2)(A) does not apply to actions by individual vehicle owners.

I would now like to apply this background to the particular questions raised in your letter.

Question One: "Are the CFRs law and enforceable only by federal agents?"

NHTSA's regulations and safety standards are set forth in Title 49 of the Code of Federal Regulations (CFR). These regulations and standards apply without State ratification to the manufacture and sale of new motor vehicles and new items of motor vehicle equipment. NHTSA enforces these regulations and safety standards.

Question Two: "Are the Federal Motor Vehicle Safety Standards law and only enforceable on new manufactured vehicles?"

The FMVSS's apply to new motor vehicles and new items of motor vehicle equipment, and not to used vehicles or equipment. NHTSA may bring enforcement actions against manufacturers of new vehicles and new items of equipment that do not comply with applicable FMVSS's. NHTSA also enforces the "render inoperative" provision of the Safety Act against commercial entitites that modify new or used vehicles in a manner that violates the "render inoperative" provision. We also note that NHTSA can investigate safety defects in new or used vehicles or items of equipment.

Question Three: "Are states allowed to enact legislation that allows less stringent standards than the CFRs?"

We understand you to ask this in the context of window tinting requirements, since elsewhere in your letter you ask whether a Texas law that allows light transmittance of 35 percent violates Federal law.

Your question relates to 103(d) of the Safety Act, which states:

Whenever a Federal motor vehicle safety standard ... is in effect, no State or political subdivision of a State shall have any authority either to establish, or to continue in effect, with respect to any motor vehicle or item of motor vehicle equipment any safety standard applicable to the same aspect of performance of such vehicle or item of equipment which is not identical to the Federal standard.

Whether State law is preempted under 103(d) depends in part on the conduct that is regulated by that law. Federal safety standards regulate the manufacture and sale of new motor vehicles and new items of motor vehicle equipment. State law would be preempted to the extent it established performance requirements applicable to the manufacture of vehicles or glazing that differ from those in Standard 205. State law would also be preempted if it purported to allow the manufacture or sale of glazing materials or new vehicles containing glazing material that did not meet the specifications of Standard 205.

As stated above, Federal law also regulates modifications made to new and used vehicles by motor vehicle manufacturers, distributors, dealers and repair businesses (108(a)(2)(A) of the Safety Act). The effect of 108(a)(2)(A) is to impose limits on the tinting practices of businesses listed in 108(a)(2)(A). These businesses may not install tinting on new or used vehicles that reduces the light transmittance of windows covered by Standard 205 to a level below the Federal requirement of 70 percent. A state law would be preempted if it purported to allow modifications violating Standard 205 by these named businesses. Section 108(a)(2)(A) does not apply to actions by individual vehicle owners.

Because Federal safety standards regulate the manufacture and sale of new motor vehicles, state requirements applicable to the registration and inspection of motor vehicles after the first sale to a consumer are not preempted merely because they are not identical to the Federal safety standards, as long as they do not interfere with the achievement of the purposes of Federal law. Therefore, a state could permit the registration of a vehicle which had been altered by its owner by the addition of window tinting, even when the tinting reduces the light transmittance below the Federal standard. However, the state cannot legitimize conduct - the rendering inoperative of glazing by commercial businesses installing window tinting - that is illegal under Federal law.

Question 4: "Concerning the installation of non-complying automotive equipment, i.e., sun screening, taillamp `black out' lenses, neon license plate lamps, etc., is this allowed by the owner but prohibited installation by a commercial entity?"

You are correct that 108(a)(2)(A) of the Safety Act regulates the modifications of only the commercial entities listed in that section of the Act, and that the Safety Act does not prohibit an individual from modifying his or her vehicle such that it no longer complies with the FMVSS's. The States may have requirements governing the modification of a vehicle by individual owners.

I hope you find this information helpful. If you have any other questions, please contact Mr. Marvin Shaw of my staff at (202) 366-2992.

Sincerely,

John Womack Acting Chief Counsel

ref:205#VSA d:5/5/93

ID: 21938

Mr. Jimmy Biondi
W.J. Casey Trucking and Rigging Co., Inc.
1200 Springfield Rd.
Union, NJ 07083





Dear Mr. Biondi:

This is in response to your recent correspondence and telephone inquiries relating to the classification of certain specialized vehicles owned by your company.

You ask whether the individual units are motor vehicles and therefore subject to safety standards administered by this agency.

As discussed below, the answer to your question appears to be yes. The National Highway Traffic Safety Administration (NHTSA) issues safety standards for "motor vehicles." Section 30101(a)(6) of Chapter 301 of Volume 49 of the United States Code defines "motor vehicle" as:

any vehicle driven or drawn by mechanical power manufactured primarily for use on the public streets, roads, and highways, except any vehicle operated exclusively on a rail or rails.

You describe the vehicles as hydraulic suspension trailers that consist of a series of axles linked through a common hydraulic system in either a two, three, or four axle configuration. The individual units can be used alone or may be joined together depending on the load to be carried. The units have a minimum of 2 axles per unit with 8 tires per axle and have a maximum load of 34 metric tonnes (33.46 tons) per axle. The axle units are 10 feet wide and support a flat deck. Each axle is steerable and the hydraulic suspension may be adjusted while the vehicle is in motion in order to ensure that the deck remains level even when the unit is traveling over an uneven surface.

You further indicate that these vehicles are to be used for the short distance transport of unusually large cargo to and from rail sidings, utility substations and shipping ports. Your letter indicates that when empty, the modules are trucked to the work site on trailers and then assembled in the configuration needed for the work at hand. You further state that when the units are to be used on a site that is "local," the modules would be configured at your site and the resulting trailer would be towed to the site where it is to be loaded. In a telephone conversation, you also indicated that with the exception of the two axle units, an individual unit or module would travel empty on the highway en route to a location where it would be loaded.

In your letter, you stated that the trailer is always accompanied by company escorts and state police as required by permits. You also indicate that the maximum travel speed is 40 miles per hour empty and usually less than 20 miles per hour when the trailer is loaded. We assume that your use of these trailers is consistent with the intentions of the manufacturer.

Based on the information you provided, it is our opinion that the vehicles you describe are motor vehicles for the purposes of Chapter 301 and Federal motor vehicle safety standards. As you indicated in your letter and telephone conversation, all of the units will travel on public highways at speeds above 20 miles per hour. Furthermore, such operation would not be incidental to their main use but would be part of the normal use and operation of the vehicles.

As the trailers are motor vehicles, they are subject to the requirements of Chapter 301. Section 30115 of Chapter 301 (49 U.S.C. 30115) requires that the manufacturer must certify that a vehicle meets all applicable Federal motor vehicle safety standards and, in the case of a vehicle, must permanently affix a certification label or tag to the vehicle. For your information, I have enclosed an agency guide for trailer manufacturers which provides guidance on the safety standards applicable to trailers.

We note, however, that due to the unusual configuration of these trailers, they would not be required to conform to several Federal motor vehicle safety standards that are applicable to more conventional trailers.

For example, Standard No. 224, Rear impact protection, requires most trailers and semitrailers weighing over 10,000 pounds to be fitted at the rear with a rear impact (underride) guard meeting the requirements of Standard No. 223, Rear impact guards (49 CFR 571.223 and 571.224, published on January 24, 1996, at 61 FR 2004). However, certain kinds of vehicles are excluded. The only excluded categories that are relevant for the purposes of this letter are wheels back vehicles and low chassis vehicles. Wheels-back vehicles are excluded by S3 of Standard No. 224, Rear impact protection. The term is defined in S4 as a "trailer or semitrailer whose rearmost axle is permanently fixed and is located such that the rearmost surface of [the tire] on that axle is not more than 305 mm forward of the transverse vertical plane tangent to the rear extremity of the vehicle."

The drawing you enclosed of the trailer owned by your company shows that the rear surface of the tires on that axle is within 305 mm of the rear extremity. Assuming the axle is "permanently fixed," this is a wheels back vehicle, and no guard is required.

We also note that your trailers appear to be excluded from the requirements of Federal Motor Vehicle Safety Standard (Standard) No. 121, Air Brake Systems (49 Code of Federal Regulations (CFR) 571.121). Standard No. 121 applies to trucks, buses, and trailers equipped with air brake systems. However, subparagraphs S3(a) through (g) of Standard 121 lists seven types of vehicles to which the standard does not apply. Applicable to your trailer, paragraph S3(a) excludes any trailer that has a width of more than 102.36 inches with extendable equipment in the fully retracted position and is equipped with two short track axles in a line across the width of the trailer. Similarly, S3(e) excludes any trailer that has a GVWR of more than 120,000 pounds and whose body conforms to that described in the definition of heavy hauler trailer set forth in S4

Heavy hauler trailer is defined in S4 as:

[A] trailer which has one or more of the following characteristics, but which is not a container chassis trailer:

(1) Its brake lines are designed to adapt to separation or extension of the vehicle frame; or

(2) Its body consists only of a platform whose primary cargo-carrying surface is not more than 40 inches above the ground in an unloaded condition ...

The drawings that you have provided indicate that the trailers at issue are 118 inches wide and have two short track axles under the trailer deck. Accordingly, these trailers are, by virtue of S3(a) of Standard No. 121, not required to meet the requirements of Standard No. 121. The information attached to your letter also indicates that the trailers have a GVWR exceeding 120,000 pounds and that the cargo-carrying surface of the trailer bed is less than forty inches above the ground. If so, S4(a)(2) applies and, when combined with the trailer's GVWR, excludes your trailer from the ABS requirements in accordance with S3(e) of Standard No. 121.

I hope this information is helpful to you. Should you have any further questions or need additional information, please feel free to contact Mr. Otto Matheke at this address or at (202) 366-2992.

Sincerely,

John Womack.
Acting Chief Counsel

ref:121
d.3/22/01

ID: 3143o

Mr. Hiroshi Kato
MMC Services Inc.
3000 Town Center
Suite 1960
Southfield, MI 48075

Dear Mr. Kato:

This is in response to your letter of April 19, 1988, concerning whether a Mitsubishi Motors Corporation SH27 lightweight industrial truck that you intend to offer for sale in the United States should be classified as a motor vehicle under Section 102(3) of the National Traffic and Motor Vehicle Safety Act ("Safety Act"). You stated that this vehicle is intended for "general or carrier work for off-road applications," and that it is capable of a maximum speed of approximately 25 mph. You further explained that your company planned to advertise, promote, and market this vehicle as an off-road vehicle. Based on the information provided in your letter, it appears that the SH27 would not be a motor vehicle under the Safety Act.

Section 102(3) of the Safety Act (15 U.S.C. 1391(3)) defines a "motor vehicle" as

any vehicle driven or drawn by mechanical power manufactured primarily for use on the public streets, roads, and highways, except any vehicle operated exclusively on a rail or rails.

NHTSA has interpreted this language as follows. Vehicles that are equipped with tracks or are otherwise incapable of highway travel are plainly not motor vehicles. Further, vehicles designed and sold solely for off-road use (e.g., airport runway vehicles and underground mining devices) are not considered motor vehicles, even though they may be operationally capable of highway travel. Vehicles that have an abnormal body configuration that readily distinguishes them from other highway vehicles and a maximum speed of 20 miles per hour (mph) are not considered motor vehicles, because their use of the public roads is intermittent and incidental to their primary intended off-road use.

On the other hand, vehicles that use the public highways on a necessary and recurring basis are motor vehicles. For instance, a utility vehicle like the Jeep is plainly a motor vehicle, even though it is equipped with special features to permit off-road operation. If a vehicle's greatest use will be off-road, but it will spend a substantial amount of time on-road, then NHTSA has interpreted the vehicle to be a "motor vehicle". Further, the agency has determined that a vehicle such as a dune buggy is a motor vehicle if it is readily usable on the public roads and is in fact used on the public roads by a substantial number of owners, regardless of the manufacturer's stated intent regarding the terrain on which the vehicle is to be operated.

Your vehicle is not easily classified under either of these groupings. On the one hand, your vehicle has a body configuration nearly identical to standard trucks, can be registered for use on the highways of several foreign countries, and can obtain a a maximum speed of approximately 25 mph. These factors suggest that the vehicle should be classified as a motor vehicle. On the other hand, you stated that this vehicle is intended to be used only for off-road applications and that this vehicle will be advertised and promoted for off-road purposes only and will contain four warning labels stating "Warning: Off Road Use Only." These factors suggest that the vehicle should not be classified as a motor vehicle.

In instances where the agency is asked whether a vehicle is a motor vehicle when it has both off-road and on-road operating capabilities, and about which there is little or no evidence about the extent of the vehicle's on-road use, the agency has applied five factors in offering its advice. These factors are:

1. Whether States or foreign countries have permitted or are likely to permit the vehicle to be registered for on-road use.

You noted that several foreign countries including Japan and Taiwan register for on-road use the general export configuration of this vehicle. This suggests that your vehicle should be considered a motor vehicle. You attempted to distinguish this fact by stating that the vehicle to be sold in the United States has different specifications than the general export vehicles. The differences are that the United States version has a maximum speed of 25 mph while the general export version can achieve speeds of greater than 55 mph, the engine displacement in the United States version has an engine of 548 cc rather than the 796 and 783 cc for the general export version, and the United States version has an hourmeter (similar to agricultural vehicles) rather than a speedometer. You stated that these differences mean that there is little basis for assuming that the experience in other countries would correlate to the likelihood of States permitting the vehicle to be registered for highway use in the United States. Since the vehicle closely resembles a small truck for highway use, we believe it is likely that States would permit it to be registered for highway use, just as other countries have. Therefore, this factor suggests that your vehicle should be considered a motor vehicle.

2. Whether the vehicle is or will be advertised for use on-road as well as off-road, or whether it is or will be advertised exclusively for off-road use. You stated that your advertising and promotional materials will state that your vehicle should be used only for off-road purposes and will not depict or suggest that the vehicle can be used on-road. This factor suggests that the vehicle should not be considered a motor vehicle.

3. Whether the vehicle's manufacturer or dealers will assist vehicle purchasers in obtaining certificates of origin or title documents to register the vehicle for on-road use.

You stated that your dealers will be instructed that this vehicle is to be used solely for off-road purposes and that no assistance should be given to obtain a title for the vehicle or to register the vehicle in this country. Your company also will state on any ownership document that this vehicle is not intended for on-road use. Therefore, this factor would indicate that the vehicle should not be considered a motor vehicle.

4. Whether the vehicle is or will be sold by dealers also selling vehicles that are classified as motor vehicles.

You stated that this vehicle will only be sold by dealerships that sell vehicles other than motor vehicles, such as material handling equipment like lifts and agricultural equipment. This factor suggests that the vehicle should not be considered a motor vehicle.

5. Whether the vehicle has or will have affixed to it a warning label stating that the vehicle is not intended for use on the public roads.

You stated that four warning labels will be affixed to the interior and exterior of the vehicle body. Labels stating "Off Road Use Only" will be applied to the exterior front panel of the cab, the rear gate, and the instrument panel. Additionally, a label stating "Warning: Off Road Use Only" will be affixed to the exterior rear panel of the cab. This factor would indicate that the vehicle is not a motor vehicle.

Based on the representations in your letter, the agency believes that the Mitsubishi SH27 lightweight truck does not appear to be a motor vehicle under the Safety Act. However, we will reexamine this conclusion if we learn that, for example, the vehicle is in fact used on the public roads by a substantial number of its owners.

I hope this information is helpful.

Sincerely,

Erika Z. Jones Chief Counsel

/ ref:VSA d:l0/3l/88

ID: 2858o

Mr. Derek Nash
Artech Corporation
2901 Telestar Court
Falls Church, VA 22042

Dear Mr. Nash:

This responds to your letter to the National Highway Traffic Safety Administration (NHTSA) and follows up on the April 1, 1988 telephone conversation with Ms. Hom of my staff in which additional information augmenting your letter was provided. I apologize for the delay in responding.

In your letter, you said that you are refurbishing a type of passenger vehicle that was first produced 20 years ago. Your letter raises questions about Federal requirements for persons modifying used vehicles which I will address in the latter part of this letter and about Federal requirements for the design of the vehicle's chassis.

Before I address your specific questions, I would like to provide some background information on our regulations and safety standards. NHTSA has the authority under the National Traffic and Motor Vehicle Safety Act (copy enclosed) to issue motor vehicle safety standards for new motor vehicles and items of motor vehicle equipment. Manufacturers of new vehicles or equipment must certify that their products conform to all applicable Federal motor vehicle safety standards. NHTSA also has the authority to investigate safety-related defects in motor vehicles and motor vehicle equipment. If a manufacturer or the agency determines that the manufacturer's product contains a safety-related defect, the manufacturer must notify purchasers of the product and remedy the defect free of charge.

It is not clear from the information which you have provided us whether the vehicle you are refurbishing would be treated as a new or used vehicle under the Safety Act. A vehicle with a new body and new chassis would be a new vehicle required to meet the standards in effect on the day that manufacture of the vehicle is completed. A vehicle with a new body and old chassis would be a used vehicle.

Section 108(a)(2)(A) of the Safety Act prohibits manufacturers, dealers, distributors and motor vehicle repair businesses (i.e., persons holding themselves out to the public as in the business of repairing motor vehicles or motor vehicle equipment for compensation) from knowingly rendering inoperative any device or element of design installed on or in a new or used motor vehicle in compliance with an applicable Federal motor vehicle safety standard. This means that any person in the above categories modifying a new or used vehicle must do so in a manner that ensures the continued compliance of the vehicle with applicable safety standards. This prohibition affects vehicles manufactured on or after January 1, l968, the date on which the first Federal safety standards became effective. For instance, a commercial business that installs a new fuel system in a passenger car manufactured on or after January 1, 1968 (the effective date of Standard No. 301) must ensure that the new system at least meets the level of safety performance required of the fuel system originally installed on the vehicle. Persons violating section 108 are subject to potential civil penalties of $1,000 per violation.

In instances in which a new vehicle body is installed on an old chassis, section 108(a)(2)(A) requires that the reassembled vehicle meet the Federal safety standards that had been in effect on the date of manufacture of the vehicle. I have enclosed a copy of a January 14, 1976 letter to Mr. Tom Welland that describes generally the applicability of Federal motor vehicle safety standards to refurbished motor vehicles. Please note that the first situation referred to in the Welland letter addresses the modification of a vehicle by its owner. The prohibition in section 108(a)(2)(A) does not apply to the modifications made by vehicle owners to their own vehicles.

I will now address the questions you expressly posed in your letter. Your first three questions asked:

What relationship between allowable stresses in chassis members and the strength of the material is required (or customary) in the design of a passenger-carrying motor vehicle?

What relationship between static and dynamic load is required (or customary) in design assumptions for a passenger-carrying motor vehicle chassis?

What form or test or measurement is required (or customary) to confirm the results of the calculations?

As Ms. Hom informed you, our safety standards apply to new vehicles and are performance-oriented. NHTSA has not issued any design specifications that directly establish minimum static or dynamic loads for vehicle chassis. These design parameters are established by the manufacturer independently of specific criteria set by the agency and might be available from the original manufacturer of the vehicle you are refurbishing. However, manufacturers of new vehicles are required by NHTSA to determine and specify the gross vehicle and axle weight ratings of their vehicles in the manner set forth in Title 49 of the Code of Federal Regulations, Part 567 of our regulations. I have enclosed a copy of Part 567 for your information.

Chassis manufacturers must be aware, however, of the following two considerations relating to the static and dynamic load capacities of vehicles and NHTSA's regulations. First, because manufacturers of new vehicles must certify that their vehicles will perform to the requirements of all applicable Federal motor vehicle safety standards, manufacturers must ensure that chassis design is compatible with the vehicle's ability to comply. Some of our safety standards specify that the performance of requisite vehicle safety systems will be evaluated in dynamic (i.e., crash) tests which enable the agency to evaluate the synergistic effect of a range of variables on a vehicle's compliance therewith. Manufacturers of new vehicles would therefore have to ensure that the design of the chassis will have no negative effect on their vehicle's compliance with applicable safety standards.

Second, as mentioned above, NHTSA has the authority to investigate safety-related defects in motor vehicles and motor vehicle equipment and to require manufacturers to recall and remedy such defects free of charge. Chassis manufacturers must therefore ensure that their products contain no safety related defects, which might well include a chassis member that is incapable of carrying loads for which it is intended.

Further, the vehicle manufacturer who provides the GVWR and GAWR information required by Part 567 must ensure that the information relating to the chassis static loads is correct.

On a separate matter, your letter also asked about the requirements manufacturers must meet when installing a plastic fuel tank in a motor vehicle. The standard we issued for vehicle fuel system integrity (No. 301) sets performance requirements for fuel systems in new motor vehicles. As with all our safety standards, Standard No. 301 (copy enclosed) specifies the test that the agency will use to evaluate the performance of the requisite safety system (e.g., the fuel system) on new vehicles selected for inclusion in its compliance test program. Manufacturers are not bound, however, to use the tests specified in the safety standards for evaluating the compliance of their vehicles or equipment with our standards. Instead, a manufacturer may test in any manner it chooses, so long as it can show that it has exercised due care in ensuring that its vehicles or items of equipment comply with the applicable Federal requirements.

In addition to the materials described above, I have also enclosed information that provides an overview of Federal requirements applying to manufacturers of new motor vehicles and instructions on how you can obtain copies of NHTSA regulations.

I hope this information is helpful. Please contact my office if you have further questions.

Sincerely,

Erika Z. Jones Chief Counsel

Enclosures ref:VSA#108#301 d:4/29/88