ID: 7027

Mr. Neil Friedkin
Attorney at Law
325 Exterior Street
Bronx, NY 10451

Dear Mr. Friedkin:

This responds to your letter asking about the certification of a converted vehicle. You explained that your client leased a 1986 Mercedes and that as part of the lease agreement, Coachbuilders Ltd converted the vehicle from a hardtop to a convertible. In a pending lawsuit, your client is alleging that Coachbuilders did not recertify the vehicle after conversion and that the conversion did not conform with the National Traffic and Motor Vehicle Safety Act ("Safety Act," 15 U.S.C. 1381). You asked the agency to explain our regulations about conversion and recertification. I am pleased to have this opportunity to do so.

The agency's certification regulation requires the manufacturer of a new vehicle to certify that the vehicle conforms to all applicable safety standards in effect on the date of manufacture (567.4 and 567.5). Persons that alter certified vehicles before the first purchase of the vehicle in good faith for purposes other than resale are required to allow the original certification label to remain in place and to add an additional label stating that the vehicle as altered continues to conform to all applicable standards (567.7).

Once a vehicle is purchased for purposes other than resale, there is no requirement for an alterer to certify the vehicle's compliance with the standards. The Safety Act, in 114, requires manufacturers and distributors of motor vehicles to certify the vehicles' compliance, but does not extend this requirement to other persons. The Safety Act further provides, in 108(b)(1), that the requirement for a vehicle to comply with all applicable safety standards does not apply after the first purchase for purposes other than resale.

In this case, we would consider the purchase by the leasing company to be the first purchase of the vehicle for purposes other than resale. If the modifications were made before that purchase, the modifier would have been required by 567.7 to certify that the altered vehicle continued to conform with the applicable safety standards. If, however, the modifications were made after the leasing company had purchased the vehicle, the modifier would not have been required to make any certification that the modified vehicle continued to conform to all applicable safety standards.

If modifications were made after the leasing company purchased the vehicle, the only provision of Federal law that would apply would be section 108(a)(2)(A) of the Safety Act. That section provides in relevant part 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.

In general, this section prohibits any manufacturer, dealer, distributor, or repair shop from removing, disabling, or otherwise "rendering inoperative" any of the safety systems or devices installed on the vehicle to comply with a safety standard. However, modifications that change a vehicle from one vehicle type to another (e.g., from a hard-top to a convertible) do not violate the "render inoperative" prohibition, as long as the converted vehicle complies with those safety standards that would have applied if the vehicle had been originally manufactured as the new type.

In the case of your client's 1986 Mercedes, there would be no violation of the "render inoperative" prohibition if the car, as modified, complied with those standards that were applicable to 1986 convertible passenger cars.

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:567#VSA d:4/13/92

ID: 7027r

Mr. Neil Friedkin
Attorney at Law
325 Exterior Street
Bronx, NY 10451

Dear Mr. Friedkin:

This responds to your letter asking about the certification of a converted vehicle. You explained that your client leased a 1986 Mercedes and that as part of the lease agreement, Coachbuilders Ltd converted the vehicle from a hardtop to a convertible. In a pending lawsuit, your client is alleging that Coachbuilders did not recertify the vehicle after conversion and that the conversion did not conform with the National Traffic and Motor Vehicle Safety Act ("Safety Act," 15 U.S.C. 1381). You asked the agency to explain our regulations about conversion and recertification. I am pleased to have this opportunity to do so.

The agency's certification regulation requires the manufacturer of a new vehicle to certify that the vehicle conforms to all applicable safety standards in effect on the date of manufacture (567.4 and 567.5). Persons that alter certified vehicles before the first purchase of the vehicle in good faith for purposes other than resale are required to allow the original certification label to remain in place and to add an additional label stating that the vehicle as altered continues to conform to all applicable standards (567.7).

Once a vehicle is purchased for purposes other than resale, there is no requirement for an alterer to certify the vehicle's compliance with the standards. The Safety Act, in 114, requires manufacturers and distributors of motor vehicles to certify the vehicles' compliance, but does not extend this requirement to other persons. The Safety Act further provides, in 108(b)(1), that the requirement for a vehicle to comply with all applicable safety standards does not apply after the first purchase for purposes other than resale.

In this case, we would consider the purchase by the leasing company to be the first purchase of the vehicle for purposes other than resale. If the modifications were made before that purchase, the modifier would have been required by 567.7 to certify that the altered vehicle continued to conform with the applicable safety standards. If, however, the modifications were made after the leasing company had purchased the vehicle, the modifier would not have been required to make any certification that the modified vehicle continued to conform to all applicable safety standards.

If modifications were made after the leasing company purchased the vehicle, the only provision of Federal law that would apply would be section 108(a)(2)(A) of the Safety Act. That section provides in relevant part 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.

In general, this section prohibits any manufacturer, dealer, distributor, or repair shop from removing, disabling, or otherwise "rendering inoperative" any of the safety systems or devices installed on the vehicle to comply with a safety standard. However, modifications that change a vehicle from one vehicle type to another (e.g., from a hard-top to a convertible) do not violate the "render inoperative" prohibition, as long as the converted vehicle complies with those safety standards that would have applied if the vehicle had been originally manufactured as the new type.

In the case of your client's 1986 Mercedes, there would be no violation of the "render inoperative" prohibition if the car, as modified, complied with those standards that were applicable to 1986 convertible passenger cars.

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:567#VSA d:4/13/92

ID: nht95-1.7

TYPE: INTERPRETATION-NHTSA

DATE: January 4, 1995

FROM: Philip R. Recht -- Chief Counsel, NHTSA

TO: Mr. Harold Sousa

TITLE: NONE

ATTACHMT: Attached to 8/31/94 letter from Harold Sousa to NHTSA Counsel

TEXT: Dear Mr. Sousa:

This responds to your letter asking about whether you can import a product into the United States. You stated that the product uses air pressure from a vehicle's brake system to "prevent the air from escaping from the tires of trucks and buses" and "kee ps air pressure in the case of puncture (sic)." I am pleased to have this opportunity to explain how this agency's requirements apply to the manufacture and importation of such a product. The following represents our opinion based on the facts provided in your letter.

By way of background information, this agency, the National Highway Traffic Safety Administration (NHTSA), regulates the manufacture of motor vehicles and motor vehicle equipment. Under our governing statute, the manufacturer must certify that its vehic le or equipment complies with all applicable Federal motor vehicle safety standards (FMVSS). Importers are included in the definition of "manufacturer" under our statute.

NHTSA does not have any specific regulations covering a tire pressure device such as you describe. However, since this device is tied into a vehicle's air brake system, it could affect a vehicle's compliance with Standard No. 121, Air Brake Systems.

If the device is installed as original equipment on a new vehicle, the vehicle manufacturer is required to certify that, with the device installed, the vehicle satisfies the requirements of all applicable Federal safety standards. If the device is added to a previously certified new motor vehicle prior to its first sale, the person who modifies the vehicle would be an alterer of a previously certified motor vehicle and would be required to certify that, as altered, the vehicle continues to comply with all of the safety standards affected by the alteration.

One relevant issue is whether your device is considered an integral part of the brake system in the sense that it would need to comply with certain of Standard No. 121's requirements. A related issue is whether certain parts of the device are considered brake hoses and therefore subject to the requirements of Standard No. 106, Brake Hoses.

We do not have sufficient information about your device to specifically address these issues. I can advise you, however, that your device would not be considered part of the braking system if it were separated from the vehicle's main braking system by a check valve in such way that the main braking system would not be affected by a leakage failure in the device. Moreover, if your device is not considered to be part of the braking system, it would not be subject to Standard No. 106.

If the device is installed on a used vehicle by a business such as a repair shop, the repair shop would not be required to attach a certification label. However, it would have to make sure that it did not knowingly make inoperative any part of a device o r element of design installed on or in a motor vehicle or item of motor vehicle equipment in compliance with an applicable FMVSS.

You should also be aware that all manufacturers headquartered outside of the United States must designate a permanent resident of the United States as the manufacturer's agent for service of process, notices, orders, and decisions. This designation is to be mailed to the Chief Counsel of NHTSA. In accordance with 49 CFR 551.45, the designation must include the following information:

1. A certification that the designation is valid in form and binding on the manufacturer under the laws, corporate by-laws, or other requirements governing the making of the designation at the time and place where it is made;

2. The full name, principal place of business, and mailing address of the manufacturer;

3. Marks, trade names, or other designations of origin of any of the manufacturer's products which do not bear its name;

4. A statement that the designation shall remain in effect until withdrawn or replaced by the manufacturer;

5. A declaration of acceptance duly signed by the agency appointed, which may be an individual, a firm, or a U.S. corporation; and

6. The full legal name and address of the designated agent.

7. The signature of one with authority to appoint the agency. The signer's name and title should be clearly indicated beneath his signature.

ID: 10333

Mr. Harold Sousa
32-30 54 Street - Woodside
New York, NY 11377

Dear Mr. Sousa:

This responds to your letter asking about whether you can import a product into the United States. You stated that the product uses air pressure from a vehicle's brake system to "prevent the air from escaping from the tires of trucks and buses" and "keeps air pressure in the case of punctur (sic)." I am pleased to have this opportunity to explain how this agency's requirements apply to the manufacture and importation of such a product. The following represents our opinion based on the facts provided in your letter.

By way of background information, this agency, the National Highway Traffic Safety Administration (NHTSA), regulates the manufacture of motor vehicles and motor vehicle equipment. Under our governing statute, the manufacturer must certify that its vehicle or equipment complies with all applicable Federal motor vehicle safety standards (FMVSS). Importers are included in the definition of "manufacturer" under our statute.

NHTSA does not have any specific regulations covering a tire pressure device such as you describe. However, since this device is tied into a vehicle's air brake system, it could affect a vehicle's compliance with Standard No. 121, Air Brake Systems.

If the device is installed as original equipment on a new vehicle, the vehicle manufacturer is required to certify that, with the device installed, the vehicle satisfies the requirements of all applicable Federal safety standards. If the device is added to a previously certified new motor vehicle prior to its first sale, the person who modifies the vehicle would be an alterer of a previously certified motor vehicle and would be required to certify that, as altered, the vehicle continues to comply with all of the safety standards affected by the alteration.

One relevant issue is whether your device is considered an integral part of the brake system in the sense that it would need to comply with certain of Standard No. 121's requirements. A related issue is whether certain parts of the device are considered brake hoses and therefore subject to the requirements of Standard No. 106, Brake Hoses.

We do not have sufficient information about your device to specifically address these issues. I can advise you, however, that your device would not be considered part of the braking system if it were separated from the vehicle's main braking system by a check valve in such way that the main braking system would not be affected by a leakage failure in the device. Moreover, if your device is not considered to be part of the braking system, it would not be subject to Standard No. 106.

If the device is installed on a used vehicle by a business such as a repair shop, the repair shop would not be required to attach a certification label. However, it would have to make sure that it did not knowingly make inoperative any part of a device or element of design installed on or in a motor vehicle or item of motor vehicle equipment in compliance with an applicable FMVSS.

You should also be aware that all manufacturers headquartered outside of the United States must designate a permanent resident of the United States as the manufacturer's agent for service of process, notices, orders, and decisions. This designation is to be mailed to the Chief Counsel of NHTSA. In accordance with 49 CFR 551.45, the designation must include the following information:

1. A certification that the designation is valid in form and binding on the manufacturer under the laws, corporate by-laws, or other requirements governing the making of the designation at the time and place where it is made;

2. The full name, principal place of business, and mailing address of the manufacturer;

3. Marks, trade names, or other designations of origin of any of the manufacturer's products which do not bear its name;

4. A statement that the designation shall remain in effect until withdrawn or replaced by the manufacturer;

5. A declaration of acceptance duly signed by the agency appointed, which may be an individual, a firm, or a U.S. corporation; and

6. The full legal name and address of the designated agent.

7. The signature of one with authority to appoint the agency. The signer's name and title should be clearly indicated beneath his signature.

Sincerely,

Philip R. Recht Chief Counsel ref:551#121 d:1/4/95

ID: 21915.drn

Mr. Karl-Heinz Ziwica
General Manager, Environmental Engineering
BMW of North America, Inc.
BMW Plaza
Montvale, NJ 07645





Dear Mr. Ziwica:

This responds to your letter dated December 3, 1999, concerning the use by BMW of North America, Inc. (BMWNA) of a particular world manufacturer identifier (WMI) in the Vehicle Identification Numbers (VIN) for BMW motor vehicles manufactured at your "Manufacturing Plant Number 10 in Greer, South Carolina ('Greer')." I apologize for the delay in responding. This letter addresses only WMI and VIN requirements for BMW motor vehicles manufactured in this country for sale in the U.S.

The National Highway Traffic Safety Administration (NHTSA) has established vehicle identification number (VIN) requirements for motor vehicle manufacturers at 49 CFR Part 565, Vehicle Identification Number Requirements. Part 565 specifies the format, content and physical requirements for a vehicle identification number system and its installation, to simplify the retrieval of vehicle identification information and to increase the accuracy and efficiency of vehicle recall campaigns. The first three characters of the seventeen-digit VIN comprise a grouping known as the "manufacturer identifier" or "world manufacturer identifier," which uniquely identifies each large manufacturer, and the make and type of each motor vehicle. Section 565.6(a) states that the characters "are assigned in accordance with 565.7(a)."

Section 565.7(a) states that NHTSA has entered into a contract with the Society of Automotive Engineers (SAE) to coordinate the assignment of manufacturer identifiers. That paragraph also specifies: "Manufacturers may request a specific identifier or may request only assignment of an identifier(s). SAE will review requests for specific identifiers to determine that they do not conflict with an identifier already assigned or block of identifiers already reserved. SAE will confirm the assignments in writing to the requester. . . ."

BMW is using identifiers "WBA" and "WBS" for its vehicles manufactured in Greer, South Carolina, which have not been assigned by SAE under 565.7(a) nor confirmed by it as being assigned to your company. ⁽¹⁾ You state that the identifiers were assigned by the "Kraftfahrt Bundesamt, the national organization responsible for WMI assignment in Germany." Apparently WBA and WBS identify "BMW Germany" as the manufacturer. You state that BMW Germany assigns the VIN of each of vehicle manufactured at each of its manufacturing sites, including Greer.

We appreciate that Kraftfahrt Bundesamt has a role similar to ours in the assignment of WMIs. However, we cannot agree that a VIN using a WMI assigned by that organization complies with 565.7(a). The VINs of the vehicles produced at Greer have to bear WMIs that have been assigned or approved by NHTSA (i.e., by our contractor, SAE), as specified in 565.7(a). Our regulations do not permit Kraftfahrt Bundesamt to assign WMIs for the motor vehicles at issue. See 49 CFR 565.2.

There is good reason for this. The assignment of WMIs has to be well coordinated in order to establish an effective vehicle identification program. NHTSA must have an accurate record of the WMIs that have been assigned to each manufacturer in order, among other things, to identify vehicles for our safety recall and theft prevention programs. VINs are also compiled in a database that is used by local and state police forces to identify stolen vehicles. Coordination of assignment of WMIs by NHTSA ensures that WMIs uniquely identify manufacturers and that they do not engender confusion as to the identity of a manufacturer. The effectiveness of recall, theft- and other crime-prevention programs would be reduced if we permitted manufacturers to identify themselves with an identification that did not conform to our requirements.

You believe that the WMIs comply with part 565 because paragraph (a) of 565.5, Motor vehicles imported into the United States, states "Importers shall utilize the VIN assigned by the original manufacturer of the motor vehicle." This section does not apply to the situation at hand. Because the vehicles manufactured at Greer are manufactured in the U.S. and sold in the U.S., the vehicles are not considered imported for purposes of 565.5. You state that because the Greer assembly plant is in a foreign trade zone, BMWNA is required to enter the motor vehicles manufactured at that facility into the United States in accordance with 49 CFR 591.5, Declarations required for importation. This statement is incorrect. Section 591.5 specifies the contents of the declaration that a motor vehicle importer must file at the time that a motor vehicle is imported into the United States. NHTSA has previously stated that because foreign trade zones are established solely for the administration of the customs laws of the United States, they have no applicability to NHTSA's importation regulations at 49 CFR Part 591, which are not customs laws because they are administered solely by NHTSA. This was addressed in our interpretive letter to Richard A. Kulics, Esquire, dated February 22, 1990 (copy enclosed), which has been readily available on the NHTSA Website. Moreover, because a vehicle manufactured in a foreign trade zone within the boundaries of the United States is manufactured in the United States, there is no need for an importation declaration to be filed when the vehicle leaves the foreign trade zone.

Please take immediate action to coordinate with SAE as to the WMI you will use on vehicles manufactured at the Greer plant. For information from the SAE on the WMIs, you may contact Ms. Douds at (724) 772-8511. If you have questions concerning this letter, please contact Mr. Coleman Sachs of my office at (202) 366-5263. We would appreciate hearing from you within 15 days about your plans to conform your practices to 565.7(a).





Sincerely,
Frank Seales, Jr.
Chief Counsel

Enclosure

cc: Ms. Cathy Douds

WMI Coordinator
Society of Automotive Engineers
400 Commonwealth Avenue
Warrendale, PA 15096

ref:565
d.11/3/00

---

1. WBS and WBA do not meet the Society of Automotive Engineers' WMI format for US-manufactured vehicles (which is indicated by a first digit of 1, 4, or 5). SAE's WMI coordinator, Ms. Cathy Douds, has informed us that pursuant to BMWNA's request, SAE assigned the WMI "4US" in 1993 and"4UR" in 1995. Both WMIs identify the BMWNA plant location as Spartanburg, South Carolina.

ID: nht95-4.83

TYPE: INTERPRETATION-NHTSA

DATE: November 21, 1995

FROM: Samuel J. Dubbin -- Chief Counsel, NHTSA

TO: Eric D. Swanger -- Engineering Manager, Specialty Manufacturing Co.

TITLE: NONE

ATTACHMT: ATTACHED TO 8/8/95 LETTER FROM Eric D. Swanger to John Womack

TEXT: Dear Mr. Swanger:

This responds to your request for an interpretation of the conspicuity requirements in Federal Motor Vehicle Safety Standard No. 131, School Bus Pedestrain Safety Devices. According to your letter, a State has requested that you use light-emitting diodes (LEDs) to outline the word "STOP" on the stop arm blade. That State believes such lighting would increase the sign's conspicuity in certain weather conditions. In your letter and in an October 2, 1995, telephone conversation with Mr. Paul Atelsek of m y staff, you expressed your concerns that using LEDs on stop signal arms may cause confusion and asked whether they are permitted. You raised three specific issues relating to viewing angles, legibility from certain distances, and inconsistencies among various jurisdictions.

The short answer to your question is that the LEDs could comply with out standard, but only under certain conditions. As you are aware, S5.3 Conspicuity states that "The stop signal arm shall comply with either S5.3.1 or S5.3.2, or both." Either method of providing conspicuity is by itself sufficient. I will discuss how the presence of LEDs relates to each of these options and then address your specific questions below.

Section S5.3.1 sets forth the requirements of the reflectorization option, stating that "[t]he entire surface of both sides of the stop signal arm shall be reflectorized with type III retroreflectorized material . . . ." LEDs would appear on the surface of the arm but could not, as far as we know, qualify as type III retroreflectorized material. Therefore, LEDs are not permissible when compliance depends upon the reflectorization option.

Section S5.3.2, which references S6.2, sets forth requirements addressing flashing lamps. Section S6.2, sets forth requirements addressing flashing lamps. Section S6.2 specifies the lamp's color, flash rate, and on-off time. These rather specific requi rements reflect the importance of consistency in any signage or labeling requirement. However, we do not see

P2

anything intrinsic about LEDs that would preclude their use in stop signal arms with flashing lamps. As long as the familiar flashing lamps are used, we do not believe that interstate confusion would result from the addition of LEDs. Note that we do no t consider the use of LEDs as an "optional" method of compliance with S5.3.2, because the LEDs would not be centered on the vertical centerline at the top and bottom of the stop arm.

You expressed concerns in your letter about the narrow viewing angle of LEDs compared to incandescent lights, and about the legibility of the LEDs at a distance. Since the LEDs would be used as a supplement to a standard method of compliance (i.e., flas hing lamps), a diminished viewing angle is not important. We assume manufacturer's quality control practices would prevent uneven viewing angles from LED to LED within a given stop arm. While your concerns about the legibility of the word "STOP" at a di stance are important, they do not seem to relate to the presence or absence of the LEDs unless the LEDs reduce the legibility of the word. If you have data indicating that the size or spacing of the letters need to be increased to achieve greater legibi lity at a distance, you may petition NHTSA to revise the standard.

I want to raise one potential safety issue, in case you receive a request to design an LED-equipped stop signal with flashing lamps. Certain arrangements of LEDs might affect compliance by impairing the effectiveness fo the stop signal arm's flashing la mp. Very closely spaced red LEDs could enhance the readability fo the letters in poor visibility conditions. On the other hand, red LEDs spaced every few centimeters around the outline of the 15 cm high letters could appear as a random field of lights (like a Christmas tree), distracting the observer and resulting in diminished readability. Similarly, different flash rates or on-off speeds from installed incandescent lamps might detract from readability by creating a distracting double-flash effect, as you suggest. Whether a particular LED-equipped stop signal arm complies with Standard No. 131 as a matter that can be determined only in the context of an enforcement proceeding.

I hope this information is helpful. If you have any further questions, please feel free to contact Paul Atelsek at this address or by telephone at (202) 366-2992.

Sincerely,

ID: nht95-7.43

TYPE: INTERPRETATION-NHTSA

DATE: November 21, 1995

FROM: Samuel J. Dubbin -- Chief Counsel, NHTSA

TO: Eric D. Swanger -- Engineering Manager, Specialty Manufacturing Co.

TITLE: NONE

ATTACHMT: ATTACHED TO 8/8/95 LETTER FROM Eric D. Swanger to John Womack

TEXT: Dear Mr. Swanger:

This responds to your request for an interpretation of the conspicuity requirements in Federal Motor Vehicle Safety Standard No. 131, School Bus Pedestrain Safety Devices. According to your letter, a State has requested that you use light-emitting diodes (LEDs) to outline the word "STOP" on the stop arm blade. That State believes such lighting would increase the sign's conspicuity in certain weather conditions. In your letter and in an October 2, 1995, telephone conversation with Mr. Paul Atelsek of my staff, you expressed your concerns that using LEDs on stop signal arms may cause confusion and asked whether they are permitted. You raised three specific issues relating to viewing angles, legibility from certain distances, and inconsistencies among various jurisdictions.

The short answer to your question is that the LEDs could comply with out standard, but only under certain conditions. As you are aware, S5.3 Conspicuity states that "The stop signal arm shall comply with either S5.3.1 or S5.3.2, or both." Either method of providing conspicuity is by itself sufficient. I will discuss how the presence of LEDs relates to each of these options and then address your specific questions below.

Section S5.3.1 sets forth the requirements of the reflectorization option, stating that "[t]he entire surface of both sides of the stop signal arm shall be reflectorized with type III retroreflectorized material . . . ." LEDs would appear on the surface of the arm but could not, as far as we know, qualify as type III retroreflectorized material. Therefore, LEDs are not permissible when compliance depends upon the reflectorization option.

Section S5.3.2, which references S6.2, sets forth requirements addressing flashing lamps. Section S6.2, sets forth requirements addressing flashing lamps. Section S6.2 specifies the lamp's color, flash rate, and on-off time. These rather specific requirements reflect the importance of consistency in any signage or labeling requirement. However, we do not see

P2

anything intrinsic about LEDs that would preclude their use in stop signal arms with flashing lamps. As long as the familiar flashing lamps are used, we do not believe that interstate confusion would result from the addition of LEDs. Note that we do not consider the use of LEDs as an "optional" method of compliance with S5.3.2, because the LEDs would not be centered on the vertical centerline at the top and bottom of the stop arm.

You expressed concerns in your letter about the narrow viewing angle of LEDs compared to incandescent lights, and about the legibility of the LEDs at a distance. Since the LEDs would be used as a supplement to a standard method of compliance (i.e., flashing lamps), a diminished viewing angle is not important. We assume manufacturer's quality control practices would prevent uneven viewing angles from LED to LED within a given stop arm. While your concerns about the legibility of the word "STOP" at a distance are important, they do not seem to relate to the presence or absence of the LEDs unless the LEDs reduce the legibility of the word. If you have data indicating that the size or spacing of the letters need to be increased to achieve greater legibility at a distance, you may petition NHTSA to revise the standard.

I want to raise one potential safety issue, in case you receive a request to design an LED-equipped stop signal with flashing lamps. Certain arrangements of LEDs might affect compliance by impairing the effectiveness fo the stop signal arm's flashing lamp. Very closely spaced red LEDs could enhance the readability fo the letters in poor visibility conditions. On the other hand, red LEDs spaced every few centimeters around the outline of the 15 cm high letters could appear as a random field of lights (like a Christmas tree), distracting the observer and resulting in diminished readability. Similarly, different flash rates or on-off speeds from installed incandescent lamps might detract from readability by creating a distracting double-flash effect, as you suggest. Whether a particular LED-equipped stop signal arm complies with Standard No. 131 as a matter that can be determined only in the context of an enforcement proceeding.

I hope this information is helpful. If you have any further questions, please feel free to contact Paul Atelsek at this address or by telephone at (202) 366-2992.

Sincerely,

ID: 11176-2

Mr. Eric D. Swanger
Engineering Manager
Specialty Manufacturing Co.
P.O. Box 790
10200 Pineville Road
Pineville, NC 28134

Dear Mr. Swanger:

This responds to your request for an interpretation of the conspicuity requirements in Federal Motor Vehicle Safety Standard No. 131, School Bus Pedestrian Safety Devices. According to your letter, a State has requested that you use light-emitting diodes (LEDs) to outline the word "STOP" on the stop arm blade. That State believes such lighting would increase the sign's conspicuity in certain weather conditions. In your letter and in an October 2, 1995, telephone conversation with Mr. Paul Atelsek of my staff, you expressed your concerns that using LEDs on stop signal arms may cause confusion and asked whether they are permitted. You raised three specific issues relating to viewing angles, legibility from certain distances, and inconsistencies among various jurisdictions.

The short answer to your question is that the LEDs could comply with our standard, but only under certain conditions. As you are aware, S5.3 Conspicuity states that "The stop signal arm shall comply with either S5.3.1 or S5.3.2, or both." Either method of providing conspicuity is by itself sufficient. I will discuss how the presence of LEDs relates to each of these options and then address your specific questions below.

Section S5.3.1 sets forth the requirements of the reflectorization option, stating that "[t]he entire surface of both sides of the stop signal arm shall be reflectorized with type III retroreflectorized material . . . ." LEDs would appear on the surface of the arm but could not, as far as we know, qualify as type III retroreflectorized material. Therefore, LEDs are not permissible when compliance depends upon the reflectorization option.

Section S5.3.2, which references S6.2, sets forth requirements addressing flashing lamps. Section S6.2 specifies the lamp's color, flash rate, and on-off time. These rather specific requirements reflect the importance of consistency in any signage or labeling requirement. However, we do not see anything intrinsic about LEDs that would preclude their use in stop signal arms with flashing lamps. As long as the familiar flashing lamps are used, we do not believe that interstate confusion would result from the addition of LEDs. Note that we do not consider the use of LEDs as an "optional" method of compliance with S5.3.2, because the LEDs would not be centered on the vertical centerline at the top and bottom of the stop arm.

You expressed concerns in your letter about the narrow viewing angle of LEDs compared to incandescent lights, and about the legibility of the LEDs at a distance. Since the LEDs would be used as a supplement to a standard method of compliance (i.e., flashing lamps), a diminished viewing angle is not important. We assume manufacturer's quality control practices would prevent uneven viewing angles from LED to LED within a given stop arm. While your concerns about the legibility of the word "STOP" at a distance are important, they do not seem to relate to the presence or absence of the LEDs unless the LEDs reduce the legibility of the word. If you have data indicating that the size or spacing of the letters needs to be increased to achieve greater legibility at a distance, you may petition NHTSA to revise the standard.

I want to raise one potential safety issue, in case you receive a request to design an LED-equipped stop signal with flashing lamps. Certain arrangements of LEDs might affect compliance by impairing the effectiveness of the stop signal arm's flashing lamp. Very closely spaced red LEDs could enhance the readability of the letters in poor visibility conditions. On the other hand, red LEDs spaced every few centimeters around the outline of the 15 cm high letters could appear as a random field of lights (like a Christmas tree), distracting the observer and resulting in diminished readability. Similarly, different flash rates or on-off speeds from installed incandescent lamps might detract from readability by creating a distracting double-flash effect, as you suggest. Whether a particular LED-equipped stop signal arm complies with Standard No. 131 is a matter that can be determined only in the context of an enforcement proceeding.

I hope this information is helpful. If you have any further questions, please feel free to contact Paul Atelsek at this address or by telephone at (202) 366-2992.

Sincerely,

Samuel J. Dubbin Chief Counsel ref:131 d:11/21/95

ID: nht88-2.89

TYPE: INTERPRETATION-NHTSA

DATE: 08/08/88

FROM: ERIKA Z. JONES -- CHIEF COUNSEL NHTSA

TO: WARD W. REESER -- PROJECT ENGINEER ELECTRICAL SYSTEMS CATERPILLAR TRACTOR CO.

TITLE: NONE

ATTACHMT: LETTER DATED 12/04/87 TO TAYLOR VINSON FROM W.W. REESER, OCC-1383

TEXT: 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 (FVSS) 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 vehi cle 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 manufact ured 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 o f 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-ro ad 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 use d 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 expected 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 capabilit ies 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." Howev er, 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 f or 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 th ey 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 wh ether 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 woul d 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 equi pment 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,

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