ID: 7742-2

Mr. Paul Gould
Senior Engineer - Friction Materials
Lucas Heavy Duty Braking Systems
Grange Road
Cwmbran, Gwent
South Wales NP44 3XU
Great Britain

Dear Mr. Gould:

This responds to your letter asking about the dynamometer requirements of Federal Motor Vehicle Safety Standard No. 121, Air Brake Systems (49 CFR 571.121). You requested clarification of the term "average deceleration rate" and its tolerance, particularly with respect to the brake power test (S5.4.2). You stated that you view the specified deceleration rate as "only a target" in order to fade the linings, and believe that it is acceptable to conduct tests at five percent below the specified rate. 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. The National Traffic and Motor Vehicle Safety Act (15 U.S.C. 1381 et seq., Safety Act) authorizes this agency to issue safety standards applicable to new motor vehicles and 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 Safety Act establishes a "self- certification" process under which each manufacturer is responsible for certifying that its products meet all applicable safety standards.

Manufacturers must have some independent basis for their certification that a product complies with all applicable safety standards. This does not necessarily mean that a manufacturer must conduct the specific tests set forth in an applicable standard. Certifications may be based on, among other things, engineering analyses, actual testing, and computer simulations. Whatever the basis for certification, however, the manufacturer must certify that the product complies with a standard as it is written, i.e., that the vehicle will pass all applicable requirements if it is tested exactly according to the standard's test conditions and other specifications.

Standard No. 121's dynamometer test requirements are set forth in section S5.4. That section specifies that brake assemblies must meet the requirements of S5.4.1 (brake retardation force--relevant only to towed vehicles), S5.4.2 (brake power), and S5.4.3 (brake recovery), under the conditions of S6.2. The purpose of the dynamometer test requirements is to help ensure that brakes retain adequate stopping capacity during and after exposure to conditions caused by prolonged or severe use, such as long, downhill driving.

With respect to your question about the meaning of "average deceleration rate," that term is used in both S5.4.2 and S5.4.3. Section S5.4.2 specifies, for example, that each brake shall be capable of making 10 consecutive decelerations at an average rate of 9 f.p.s.p.s. from 50 mph to 15 mph, and shall be capable of decelerating to a stop from 20 mph at an average deceleration rate of 14 f.p.s.p.s. after the 10th deceleration. In S5.4, the meaning of average deceleration rate is explained as follows:

For purposes of the requirements of S5.4.2 and S5.4.3, an average deceleration rate is the change in velocity divided by the decleration time measured from the onset of deceleration.

We do not agree with your suggestion that the deceleration rates specified in Standard No. 121 are "only a target" in order to fade the linings. As indicated above, manufacturers must certify that each vehicle complies with a standard as it is written, i.e., that the vehicle will pass all applicable requirements if it is tested exactly according to the standard's test conditions and other specifications. Thus, if a vehicle was unable to pass Standard No. 121's test requirements at the specified deceleration rates, it would not comply with the standard, notwithstanding the fact that it might be able to pass the standard's requirements at slightly lower deceleration rates.

We recognize, however, that it may be difficult to achieve any exact deceleration rate in conducting a brake test. For this reason, the agency's Office of Vehicle Safety Compliance (OVSC) specifies tolerances in its Laboratory Test Procedures developed for use by contractors in conducting compliance tests for the agency. For the brake power and brake recovery tests (S5.4.2 and S5.4.3), the agency's current Laboratory Test Procedure specifies the following tolerances on deceleration rates: +0 to -1 ft/s/s, except for 12 ft/s/s: +0.5 ft/s/s.

Enclosed for your information is a copy of the agency's Laboratory Test Procedure for Standard No. 121's dynamometer tests. On the issue of tolerances, I call your attention to the following statement at the beginning of the Laboratory Test Procedure:

The OVSC Laboratory Test Procedures, prepared for use by independent laboratories under contract to conduct compliance tests for the OVSC, are not intended to limit the requirements of the applicable FMVSS(s). In some cases, the OVSC Laboratory Test Procedures do not include all of the various FMVSS minimum performance requirements. Sometimes, recognizing applicable test tolerances, the Test Procedures specify test conditions which are less severe than the minimum requirements of the standards themselves. Therefore, compliance of a vehicle or item of motor vehicle equipment is not necessarily guaranteed if the manufacturer limits certification tests to those described in the OVSC Laboratory Test Procedures.

If you have any further questions, please feel free to call Mr. Marvin Shaw of my staff at (202) 366-2992.

Sincerely,

Paul Jackson Rice Chief Counsel

Enclosure

ref:121 d:11/19/92

ID: 7743

Under Secretary
Ministry of Commerce and Industry
P. O. Box No. 2944
KUWAIT

Dear Mr. Under Secretary:

This responds to your letter concerning United States tire regulations. You stated that some companies have been reported to be dumping defective and rejected tires in your country. In response to that situation, the Ministry of Commerce and Industry issued a decree requiring that all imported tires must be new, must comply with international standards, and must be accompanied by a quality certificate issued by an independent, officially recognized authority which has the capability of testing and proving the quality of the tires in accordance with the standards. You stated that you have been unable to obtain such a certificate from the United States, but have received one from a company called Societe Generale de Surveillance, which issues a certificate for each shipment separately and does only visual tests and not laboratory testing. You stated that you have studied this agency's tire standards and posed a series of questions to us which I will endeavor to answer below.

By way of background information, under the National Traffic and Motor Vehicle Safety Act of 1966, ("Safety Act," 15 U.S.C. 1381 et seq.), the National Highway Traffic Safety Administration (NHTSA) is authorized to issue Federal motor vehicle safety standards for new motor vehicles and new motor vehicle equipment. Tires are considered motor vehicle equipment. All motor vehicles and items of motor vehicle equipment manufactured or imported for sale in the United States must comply with all applicable safety standards. Manufacturers of motor vehicles and motor vehicle equipment must certify that their products meet all applicable safety standards.

All new tires sold in the United States for use on passenger cars must be certified as complying with Standard No. 109 (49 CFR Part 571.109), and all new tires sold for use on other motor vehicles must be certified as complying with Standard No. 119 (49 CFR Part 571.119). These standards specify performance requirements (strength, endurance, high speed performance, and for passenger car tires only, resistance to bead unseating), marking requirements (treadwear indicators and labeling information), and tire and rim matching information requirements.

The process of certifying compliance with the applicable safety standards under the Safety Act is considerably different in the United States than in other countries. For example, the European nations require manufacturers to deliver tires to a governmental entity for testing. After the governmental entity tests the tires, the government approves those tires for use and assigns an approval code to the tires. The Safety Act, on the other hand, establishes a "self-certification" process for tires sold in the United States. Under this process, the tire manufacturer, not a governmental entity, certifies that its tires comply with applicable safety standards.

The Safety Act does not require that a manufacturer base its certification on a specified number of tests. A manufacturer is only required to exercise due care in certifying its tires. It is the responsibility of the individual tire manufacturer to determine initially what test results, computer simulations, engineering analyses, or other information it needs to enable it to certify that its tires comply with Federal tire safety standards. Once a manufacturer has determined that its tires meet all requirements of the safety standards, it certifies such compliance by molding the letters "DOT" onto at least one sidewall of each certified tire.

This agency does not perform any pre-sale testing or approval of tires. Rather, NHTSA randomly tests certified tires to determine whether the tires do, in fact, comply with applicable standards. For these enforcement checks, NHTSA purchases tires "off the shelf" from retail tire dealers and tests those tires according to the procedures specified in the standards. If the tires pass the tests, no further action is taken. If the tires fail the tests and are determined not to comply with the standards, the tire manufacturer is required to remedy the noncompliance without charge.

With the above background in mind, I now turn to your specific questions:

1. Must all tires manufactured and sold in the United States bear the "DOT" mark? Answer: Yes, assuming that the tires are intended for use on motor vehicles. The "DOT" symbol molded onto at least one side of the tire is the manufacturer's certification that that tire complies with all applicable safety standards.

2. What are the bases for granting the right to use the "DOT" mark by tire manufacturers? Answer: The use of the "DOT" symbol on tires is a requirement imposed on tire manufacturers and not a right which is granted.

3. Is the "DOT" symbol required for tires intended both for domestic consumption and for export? Answer: NHTSA's safety standards do not apply to motor vehicles or motor vehicle equipment which are intended solely for export. Therefore, the "DOT" symbol is required only for tires intended for use in the United States.

4. Is there a validity time for the use of the "DOT" symbol? Answer: No. The symbol constitutes the manufacturer's certification that, at the time a new tire is manufactured, that tire complies with all applicable Federal safety standards.

5. What is the relationship between your administration and the Department of Transportation concerning the implementation of the "DOT" symbol? Answer: NHTSA is a subordinate agency of the United States Department of Transportation.

6. What are the legal responsibilities of manufacturers by using the "DOT" symbol? Answer: As indicated above, by placing the "DOT" symbol on a tire the manufacturer certifies that, under the provisions of the Safety Act, the tire complies with all applicable Federal safety standards.

7. What are the responsibilities of manufacturers in case of violations of the "DOT" symbol's role? Answer: If a tire is determined not to comply with a safety standard, the manufacturer is required to remedy the noncompliance without charge. In addition, violations of Safety Act provisions may result in civil fines.

I hope that the information in this letter is helpful to you. Should you have any further questions, however, please feel free to contact Mr. Walter Myers of my staff at this address or by telephone at (202) 366-2992, FAX (202) 366- 3820.

Sincerely,

Paul Jackson Rice Chief Counsel Enclosure

Ref:#109#119#571#574 d:11/13/92

ID: 7745

Mr. James A. Westphal
Oshkosh Chassis Division
Oshkosh Truck Corporation
P.O. Box 2508
Oshkosh, WI 54903

Dear Mr. Westphal:

This letter responds to your inquiry about which Federal Motor Vehicle Safety Standards would be applicable to certain incomplete vehicles (chassis less cab) that you manufacture for motor homes. You anticipate that the motor homes will have a gross vehicle weight rating (GVWR) over 10,000 pounds but less than 26,000 pounds.

Your letter indicated that Oshkosh plans to install brake systems in the two models which use compressed air to provide braking power, and hydraulic fluid to transmit the energy to the hydraulically activated disc brakes at each wheel. You stated that this system is commonly known as "air-over-hydraulic."

The following is in response to your four specific questions:

1. Must the brake system comply with the requirements of Standard No. 121 applicable to trucks?

The answer to question number one is yes. The agency classifies air-over-hydraulic brake systems as air brake systems. Accordingly, vehicles equipped with air-over- hydraulic brake systems are required to comply with the requirements of Standard No. 121. I am enclosing a July 20, 1984 interpretation letter to Ms. Margaret Moore Oba which discusses this issue at length.

2. Must the brake system comply with the requirements of Standard No. 105 applicable to multipurpose passenger vehicles?

The answer to question number two is no. Standard No. 105 only applies to vehicles with hydraulic brake systems. Since your system is air-over-hydraulic, it is considered to be an air brake system and not a hydraulic brake system.

3. If Standard No. 121 compliance is required must the hydraulically powered disc brakes comply with Section S5.4 Service brake system--dynamometer tests?

The answer to question number three is yes. The requirements of S5.4 are among the requirements specified in Standard No. 121 for each vehicle equipped with air brakes.

4. If compliance to parts of both Standards 121 and 105 is required, must the system meet the requirements of the following sections in Standard No. 105: S5.1.2 Partial Failure, S5.1.3 Inoperative brake power assist or brake power unit, and/or S5.3 Brake system indicator lamp.

As indicated above, air-over hydraulic brake systems are not required to meet the requirements of Standard No. 105.

I hope this information is helpful. If you have any further questions about NHTSA's safety standards, please feel free to contact Marvin Shaw of my staff at this address or by telephone at (202) 366-2992.

Sincerely,

Paul Jackson Rice Chief Counsel Enclosure

Ref: 121 d:11/3/92

ID: 7747

Mr. Preston Golder
Road Reflectors
P.O. Box 493
Farmingville, N.Y. 11738

Dear Mr. Golder:

This responds to your letter of September 14, 1992, asking about the legality under Federal law of your "Auto Neon System", an accessory which reflects a glow from under the vehicle.

We answered an inquiry from Mr. Allan Schwartz about a similar device, in a letter dated April 21, 1992. I enclose a copy of our response to Mr. Schwartz for your information.

Sincerely,

Paul Jackson Rice Chief Counsel

Enclosure ref:108 10/5/92

ID: 7748

Mr. William G. Rosoff
Chief, Entry Rulings Branch
Department of the Treasury
U.S. Customs Service
Washington, D.C. 20229

Dear Mr. Rosoff:

This responds to your letter of September 18, 1992, forwarding a letter and documentation from Dr. Irina Elovaara. Dr. Elovaara imported a nonconforming motor vehicle into the United States around October 9, 1991, pursuant to 49 CFR 591.5(d), and is requesting permission to keep it here longer than the one year that the regulation permits. You inform us that Customs does not have the authority to grant an extension or exception.

Paragraph 591.5(d) permits nonresidents of the United States to temporarily import a nonconforming motor vehicle into the United States for a period not to exceed one year, provided that the importer will export it not later than the end of one year after entry. Dr. Elovaara, who holds a visiting fellow appointment at the National Institutes of Health, apparently must export her vehicle not later than October 9, 1992. However, her one-year appointment has been extended for three months, through December 31, 1992, and she wishes to keep her car here until that time. In the meantime, according to Dr. Elovaara, her car has been insured, inspected, and titled in Maryland, as well as passing an emission test.

Paragraph 591.5(d) reflects this agency's attempt to accommodate the terms of the Customs Convention on the Temporary Importation of Private Road Vehicles, to which the United States has subscribed. Under the Convention, a contracting state shall allow nonresidents to import a motor vehicle for their private use on the occasion of a temporary visit without payment of import duties and import taxes and free of import prohibitions and restrictions, and the importation shall be covered by temporary importation papers. However, the period of validity of the temporary importation papers shall not exceed a year from the date of issue. Thus, under the Convention, a "temporary" importation would appear to be one that does not exceed a year. This is the genesis of our regulatory requirement that a nonresident, upon importing a nonconforming vehicle for private use, declare that the vehicle will be exported not later than a year after its entry, and the reason why the regulation contains no provisions for extension of a period beyond one year.

Given the existence of the Convention, we believe you are correct in your conclusion that Customs has no authority to provide an extension or exception, and we have drawn the same conclusion as to the authority of this agency. The question becomes whether, in the absence of timely export of the vehicle, either agency effect to implement the remedies available to it. This is a matter within the general discretionary authority of each agency. The primary concern of this agency, as you know, is motor vehicle safety. Given the fact that Dr. Elovaara's vehicle has already been subjected to local registration, inspection, emissions and insurance laws, we do not believe that there would be any adverse impact upon safety if her vehicle remains in the United States for three additional months, even if that would constitute a technical violation of the National Traffic and Motor Vehicle Safety Act.

We hope that this resolves Dr. Elovaara's concerns.

Sincerely,

Paul Jackson Rice Chief Counsel

ref:591 d:10/5/92

ID: 7759

Mr. Kevin Mitchell
Goodyear Tire & Rubber Co.
Sun Prairie, WI 53590

Dear Mr. Mitchell:

This responds to your letter asking about the hydraulic brake hose labeling requirements (S5.2) of FMVSS 106, Brake Hoses. You indicated that your current brake hoses have two stripes, on opposite sides of the hose. Each of the stripes is interrupted by a line of information. One line, which you call the "DOT print line," contains the information required by FMVSS 106. The other line, which you call the "SAE print line," contains certain information not required by FMVSS 106, including "batch and shift" information.

You asked whether it is permissible to place the batch and shift information (consisting of a mark such as "AA") on the DOT print line. You stated that moving the batch and shift mark to the DOT print line would improve the legibility of the SAE print line. This is because better print materials could be used in the SAE print line if that legend did not contain a mark that must be updated on a daily or more frequent basis, such as the batch and shift mark. As discussed below, the batch and shift information may not be placed on the same line as the required information.

NHTSA's longstanding position, stated in past rulemaking notice preambles (e.g., 39 FR 7425, February 26, 1974; 39 FR 24012, June 28, 1974), is that the DOT print line may only contain the required information. The striping requirement (S5.2.1) of FMVSS 106 states that one of the requisite stripes on a brake hose "may be interrupted by the information required by S5.2.2, and the other stripe may be interrupted by additional information at the manufacturer's option." We interpret this to mean that the stripe that is interrupted by the required information may not be interrupted by information voluntarily provided by the manufacturer. This conclusion is consistent with the preamble for the final rule establishing S5.2.1 (38 FR 31302, November 13, 1973), which refers to optional additional information as not being permitted in the legend that interrupts the first stripe. (That rule modified the labeling requirements to permit interruption of the second stripe with the optional information.) NHTSA did not permit optional information to be mixed with the required information because the mixture of optional and required labeling could obscure or confuse the meaning of the required information, or interfere with the appearance of complete labeling on some hose assemblies.

For your information, we have enclosed the Federal Register documents cited above. Please contact Ms. Fujita of my staff at (202) 366-2992 if you have any further questions.

Sincerely,

Paul Jackson Rice Chief Counsel

Enclosures

ref:106 d:11/25/92

ID: 7761

Wilbur D. Owens, III, Esquire
Bouhan, Williams & Levy
Attorneys and Counselors at Law
The Armstrong House
Bull & Gaston Streets
Post Office Box 2139
Savannah, GA 31498-1001

Dear Mr. Owens:

This responds to your letter dated September 15, 1992, to the Office of Vehicle Safety Standards, National Highway Traffic Safety Administration (NHTSA), regarding Phelps v. General Motors, et al. Reference is also made to your telephone conversation with Mr. Walter Myers of my staff on October 15, 1992.

You stated in your letter that your firm represents defendant Grumman Olson in the Phelps lawsuit which arose out of injuries suffered by the plaintiff while operating a 14-foot Grumman Kurbmaster manufactured in 1977. After explaining the theory of the plaintiff's cause of action, you stated that you have looked at current regulations, your main areas of interest being 49 CFR 571.201 through 571.220, and requested our assistance in obtaining those regulations from 1977. You pointed out that in those regulations there are a number of exceptions for walk-in vans, and you asked whether the 14-foot Kurbmaster would be considered a truck or a walk-in van, or both.

Please find enclosed, as requested, copies of 49 CFR 571.201 through 220 that were in effect as of October 1, 1977, duly certified as official Federal government documents to make them admissible in Federal court. As Mr. Myers explained to you by telephone, the cost for these copies, as certified, is $30.72. Pursuant to the provisions of 49 CFR Part 7, this charge represents one hour of search time at a cost of $22.22 per hour, plus copying fee of ten cents per page x 85 pages. Please remit a check in that amount, payable to Treasurer of the United States, to the National Highway Traffic Safety Administration, Office of Financial Management, Room 6134, 400 Seventh Street S.W., Washington, D. C. 20590. To ensure that your account will be properly credited, please annotate your check with "NCC-20."

Before responding to your question about the classification of the 14-foot Kurbmaster, a bit of background information is in order. The National Traffic and Motor Vehicle Safety Act of 1966, 15 U.S.C. 1381, et seq. (Safety Act), authorizes the National Highway Transportation Safety Administration (NHTSA) to issue Federal motor vehicle safety standards for new motor vehicles and items of motor vehicle equipment. All motor vehicles and items of motor vehicle equipment manufactured or imported for sale in the United States must comply with all applicable safety standards. In accordance with 49 CFR Part 567, Certification, manufacturers of motor vehicles and motor vehicle equipment must certify that their products comply with all such standards.

Motor vehicles are, and were as of 1977, classified according to six basic types: passenger cars, multipurpose passenger vehicles, trucks, buses, trailers, and motorcycles. Each type is defined in 49 CFR 571.3. Each safety standard applies to specified types of motor vehicles and/or motor vehicle equipment. Thus, manufacturers must first classify their vehicles in order to ascertain which safety standards apply and then certify that those vehicles meet all applicable standards. For that reason, NHTSA neither classifies vehicles nor does it approve or endorse any vehicle classification before the manufacturer has done so. NHTSA may, however, reexamine the manufacturer's classification during the course of enforcement proceedings. I note that, in the case of the 1977 14-foot Kurbmaster, there have been no enforcement proceedings.

The classification given the 1977 14-foot Kurbmaster by the manufacturer will be found on the certification label required by 49 CFR 567.4(a), and NHTSA has not reviewed or taken issue with that classification. Assuming it was classified as a truck, a truck was in 1977, and still is, defined in 49 CFR 571.3 as "a motor vehicle with motive power, except a trailer, designed primarily for the transportation of property or special purpose equipment."

As you noted in your letter, certain of the Federal motor vehicle safety standards exclude "walk-in vans" from their coverage. See, e.g., paragraph S2, Standard 203, Impact Protection for the Driver from the Steering Control System (49 CFR 571.203). The term "walk-in van" is commonly used and understood within the motor vehicle industry, and for many years the Federal motor vehicle safety standards did not include any definition of the term. I note, however, that in a recent rulemaking which extended Standard No. 214, Side Impact Protection, to light trucks, buses and multipurpose passenger vehicles, the agency added a definition of "walk-in van" to that standard. Effective September 1, 1993, Standard No. 214 defines "walk-in van" as "a van in which a person can enter the occupant compartment in an upright position." See S2.1.

I hope this information will be helpful to you. If you have any further questions, please feel free to contact Mr. Myers at this address or at (202) 366-2992.

Sincerely,

Paul Jackson Rice Chief Counsel

Enclosure

Ref:#571 d:11/10/92

ID: 7763

Ms. Mindy Lang
Division Manager
Huntleigh Transportation Services Inc.
#12 Millpark Court
Maryland Heights, MO 63043

Dear Ms. Lang:

This responds to your letter of September 12, 1992, requesting information on regulations concerning bus conversions. Your company converts the interior of buses by installing such materials as carpets, wall coverings, and blinds. In particular you asked for information on regulations concerning the attachment of seats to vehicles and the material used for the construction of seats. I am pleased to have this opportunity to explain our law and regulations to you.

The National Traffic and Motor Vehicle Safety Act (the Safety Act; 15 U.S.C. 1381 et seq.) authorizes this agency to issue Federal motor vehicle safety standards applicable to new motor vehicles and new items of motor vehicle equipment. Section 108(a)(1)(A) of the Safety Act (15 U.S.C. 1397(a)(1)(A)) prohibits any person from manufacturing, introducing into commerce, selling, or importing any new motor vehicle or item of motor vehicle equipment unless the vehicle or equipment item is in conformity with all applicable safety standards. NHTSA, however, does not approve motor vehicles or motor vehicle equipment, nor do we endorse any commercial products. Instead, the Safety Act establishes a "self-certification" process under which each manufacturer is responsible for certifying that its products meet all applicable safety standards.

NHTSA has exercised its authority to establish one safety standard relevant to seating, Standard No. 207, Seating Systems, which establishes strength and other performance requirements for vehicle seats. However, this standard excludes passenger seats on buses from these performance requirements. There is one other safety standard that could be affected by the work your company performs. Standard No. 302, Flammability of Interior Materials, specifies burn resistance requirements for materials used in motor vehicles, including buses.

If your company converts previously certified buses, it could be considered an alterer under our regulations. Under 49 CFR Part 567, Certification, an alterer is defined as:

A person who alters a vehicle that has been previously certified ... other than by the addition, substitution, or removal of readily attachable components such as mirrors or tire and rim assemblies, or minor finishing operations such as painting, ... before the first purchase of the vehicle in good faith for purposes other than resale ....

If considered an alterer, your company would be subject to the certification requirements of 49 CFR 567.7. These requirements include provisions that the alterer supplement the original manufacturer's certification label, which must remain on the vehicle, by affixing an additional label. The label must state that the vehicle as altered conforms to all applicable Federal motor vehicle safety standards, including Standard No. 302. The label must also state the name of the alterer and the month and the year in which the alterations were completed.

Your company would not be subject to the certification requirements of 49 CFR 567.7 if the modifications involve only readily attachable components. However, the modifications would still be affected by section 108(a)(2)(A) of the Safety Act. 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.

Any violation of this "render inoperative" prohibition would subject the violator to a potential civil penalty of up to $1,000 for each violation.

I hope you find this information helpful. I have enclosed an information sheet for new manufacturers of motor vehicle equipment that briefly explains the responsibilities imposed on manufacturers, and tells how to get copies of the relevant laws and regulations. If you have any other questions, please contact Mary Versailles of my staff at this address or by phone at (202) 366-2992.

Sincerely,

Paul Jackson Rice Chief Counsel

Enclosure ref:#207,#301 d:10/20/92

ID: 7764

Mr. G. Thomas Owens
Senior Engineering Representative
Aetna
Post Office Box 26283
Richmond, VA 23260-6283

Dear Mr. Owens:

This responds to your letter requesting information regarding the legal aspects of school bus safety standards. Specifically, you requested a book or pamphlet containing the requested information.

By way of background information, under the provisions of the National Traffic and Motor Vehicle Safety Act of 1966, 15 U.S.C. 1381 et seq. (Safety Act), the National Highway Traffic Safety Administration (NHTSA) is authorized to promulgate Federal motor vehicle safety standards that apply to the manufacture and sale of new motor vehicles, in order to reduce the number of fatalities and injuries that result from motor vehicle crashes. In 1974 Congress enacted the Motor Vehicle and Schoolbus Safety Amendments of 1974 which, by amending section 121 of the Safety Act, directed the issuance of motor vehicle safety standards on specific aspects of school bus safety, applicable to all school buses. Those standards became effective on April 1, 1977 and are included, along with the rest of the agency's safety standards, in 49 CFR Part 571.

The Safety Act defines a school bus as a vehicle that "is likely to be significantly used for the purpose of transporting primary, preprimary, or secondary school students to or from such schools or events related to such schools." NHTSA further defines a school bus as a motor vehicle designed for carrying eleven or more persons, including the driver, and sold for transporting students to and from school or school-related events. See 49 CFR 571.3.

It is a violation of Federal law for any person knowingly to sell as a school bus any new vehicle that does not comply with all applicable Federal school bus safety standards. On the other hand, once a vehicle has been sold to the first purchaser for purposes other than resale, it may be used to transport school children without violating Federal law, even though it may not comply with Federal school bus safety standards. That is because individual states have the authority to regulate the use of vehicles. Therefore, to ascertain whether one may use noncomplying vehicles to transport school children, one must look to state law. It is this agency's position that vehicles meeting Federal school bus safety standards are the safest way to transport school children.

Please find enclosed a pamphlet issued by this agency entitled Federal Motor Vehicle Safety Standards and Regulations, which summarizes our safety standards. Specifically, the following standards include requirements for school buses:

Standards 101 through 104; Standard 105 (school buses with hydraulic brakes) Standards 106 through 108; Standards 111 through 113; Standard 115; Standard 116 (school buses with hydraulic service brakes); Standards 119 and 120; Standard 121 (school buses with air brakes); Standard 124; Standard 131 (effective September 1, 1992); Standards 201 through 204 (school buses with a gross vehicle weight rating (GVWR) of 10,000 pounds or less); Standard 205; Standards 207 through 210; Standard 212 (school buses with GVWR of 10,000 pounds or less); Standard 217; Standard 219 (school buses with GVWR of 10,000 pounds or less); Standard 220; Standard 221 (school buses with GVWR greater than 10,000 pounds); Standard 222; Standards 301 and 302.

Some of the above-listed standards have unique requirements for school buses, including, but not necessarily limited to, Standards 105, 108, 111, 217, and 301. Other standards are applicable only to school buses, such as Standards 131, 220, 221, and 222. Standard 131 was promulgated on May 3, 1991 and may be found at 56 Federal Register 20370. It requires all school buses manufactured after September 1, 1992, to be equipped with stop signal arms. Standard 220 establishes requirements for school bus rollover protection. Standard 221 establishes strength requirements for school bus body panel joints. Standard 222 establishes minimum crash protection levels for occupants of school buses. Under the provisions of Standard 222, small school buses, that is those with a GVWR of 10,000 pounds or less, must be equipped with lap belts. For large school buses, those with a GVWR greater than 10,000 pounds, the standard requires occupant protection through "compartmentalization," a concept which calls for strong, well-padded, well-anchored, high-backed, evenly spaced seats.

Should you wish copies of our safety standards, I am enclosing for your information a fact sheet prepared by this office entitled Where to Obtain NHTSA's Safety Standards and Regulations.

I hope this information is helpful. If you have further questions in this regard, please feel free to contact Mr. Walter Myers of my staff at this address or by telephone at (202) 366-2992.

Sincerely,

Paul Jackson Rice Chief Counsel

Enclosures

Ref:571 d:11/3/92

ID: 7765

Mr. Tim Bohn
Portec, Inc.
Construction Equipment Division
West 21st Street
P.O. Box 20
Yankton, SD 57078

Dear Mr. Bohn:

This responds to your inquiry about whether portable construction equipment that you manufacture would have to comply with the Federal Motor Vehicle Safety Standards, particularly those standards related to brakes. You explained that your construction equipment is transported over public roads, but only between job sites and from the factory. In a telephone conversation with Marvin Shaw of my staff, you further described your equipment as a portable conveyor belt that typically spends extended periods of time at a single construction site but is occasionally towed over the public roads to other construction sites. I am pleased to have this opportunity to explain our regulations to you.

This agency interprets and enforces the National Traffic and Motor Vehicle Safety Act under which the Federal Motor Vehicle Safety Standards are promulgated. The 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."

Whether the agency will consider a construction vehicle to be a motor vehicle depends on its use. It is the agency's position that this statutory definition does not encompass mobile construction equipment, such as cranes and scrapers, which use the highway only to move between job sites and which typically spend extended periods of time at a single job site. In such cases, the on-highway use of the vehicle is merely incidental and is not the primary purpose for which the vehicle was manufactured. In instances where vehicles, such as dump trucks, frequently use the highway going to and from job sites, and stay at a job site for only a limited time, such vehicles are considered motor vehicles for purposes of the Safety Act, since the on-highway use is more than "incidental."

Based on the above considerations, it appears that your portable conveyer belt is not a "motor vehicle" within the meaning of the Safety Act. Therefore, it would not be subject to our Federal Motor Vehicle Safety Standards. This conclusion is based on your statements that your equipment spends extended periods of time at a single construction site and only uses the public roads infrequently to move between job sites. Thus, the agency would consider the use of your portable conveyor belt on the public roads to be incidental and not its primary purpose.

I hope this information is helpful. If you have any further questions about NHTSA's safety standards, please feel free to contact Marvin Shaw of my staff at this address or by telephone at (202) 366-2992.

Sincerely,

Paul Jackson Rice Chief Counsel

Ref: VSA d:11/10/92