ID: 09-000883drn sanford mar 25 09

ID: 22151.drn

The Honorable Patsy Mink
U.S. House of Representatives
Washington, DC 20515-1102






Dear Congresswoman Mink:

Thank you for your letter to the National Highway Traffic Safety Administration (NHTSA) Administrator Dr. Sue Bailey. Your constituent, Ms. Grace Fox works for the Lutheran High School in Honolulu. Ms. Fox's school was notified by their insurance company that the school's coverage would not be continued because the vans used by the school to transport students do not meet Federal safety standards. You wish to know what the Federal standards for school buses are and whether the standards apply to both public school and private school buses. Because you seek information about NHTSA's laws, Dr. Bailey has asked me to respond to you.

NHTSA is authorized to issue and enforce Federal motor vehicle safety standards (FMVSS) applicable to new motor vehicles. Our statute at 49 U.S.C. 30112(a) requires any person selling or leasing a new vehicle to sell or lease a vehicle that meets all applicable standards. Accordingly, persons selling or leasing a new "school bus" must sell or lease a vehicle that meets the safety standards applicable to school buses. Our statute defines a "school bus" as any vehicle that is designed for carrying a driver and more than 10 passengers and which, NHTSA decides, is likely to be "used significantly" to transport "preprimary, primary, and secondary" students to or from school or related events. ⁽¹⁾ 49 U.S.C. 30125. This definition was enacted in 1974, as part of a comprehensive effort by Congress to increase school bus safety. By regulation, the capacity threshold for school buses corresponds to that of buses -- vehicles designed for carrying more than ten (10) persons.

The great majority of vehicles used to transport students fall within the definition of "school bus." More specifically, any new "bus" sold to a school district, or to a private school, is considered to be a "school bus" when sold for pupil transportation, and as such must comply with the school bus safety standards. A dealer or distributor who sells a new bus to a school district or private school that does not meet school bus standards is subject to penalties under the statute.

Some of the FMVSSs have additional requirements that apply to school buses, but do not apply to buses that are not school buses. In addition, some FMVSSs apply only to school buses. As an example of the former, additional exterior lighting and reflective tape are required that make these vehicles more visible and alert other motorists that school children may be in the roadway when a school bus is stopped. For the latter, school buses must be equipped with stop arm devices to reduce the instances where other motorists pass stopped school buses. Furthermore, school buses must provide crash protection in areas where pupils are seated.

Because our laws generally apply only to manufacturers and dealers of new motor vehicles, we do not regulate a school's use of a bus to transport school children, even when the bus does not meet Federal school bus safety standards. However, each state has the authority to set its own standards regarding the use of motor vehicles, including school buses.

A school district or private school can be sold a used bus, even when the bus could not be sold when new. This is because our requirement to sell vehicles that meet applicable safety standards does not apply to the sale of a motor vehicle "after the first purchase of the vehicle ... in good faith other than for resale," i.e., to sales of used vehicles. Nonetheless, because school buses are one of the safest forms of transportation in this country, we strongly recommend that all buses that are used to transport school children be certified as meeting NHTSA's school bus safety standards. In addition, using buses that do not meet NHTSA's school bus standards to transport students could result in liability in the event of a crash.

I am enclosing NHTSA's publication: "School Bus Safety: Safe Passage for America's Children." This brochure explains the safety enhancements of a school bus that makes school buses safer than non-school buses.

Our belief that vehicles providing the safety of school buses should be used whenever transporting children in buses is shared by the National Transportation Safety Board (NTSB). At a June 8, 1999, public meeting, the NTSB issued the enclosed abstract of a special investigative report on nonconforming buses. The NTSB issued the report after investigating four crashes in 1998 and 1999 in which 9 people were killed and 36 injured when riding in "nonconforming buses." NTSB defines "nonconforming bus" as a "bus that does not meet the FMVSSs specific to school buses." Most of the victims, including eight of the fatalities, were children.

I hope this information is helpful. If you have any further questions, please contact John Womack, Esq., NHTSA's Senior Assistant Chief Counsel, at (202) 366-9511.

Sincerely,

Frank Seales, Jr.
Chief Counsel

Enclosures
ref:VSA#571.3
d.10/17/00

---

1. NHTSA has consistently interpreted "related events" to include school-sponsored field trips and athletic events.

ID: nht93-7.19

DATE: October 12, 1993

FROM: John Womack -- Acting Chief Counsel, NHTSA

TO: Thomas Dougherty -- C.A.P.S. Inc

TITLE: None

ATTACHMT: Attached to letter dated 8/9/93 from Thomas Dougherty to John Womack (OCC 8995)

TEXT:

This responds to your letter asking about how this agency's regulations might apply to your product, the "E.A.R.S." system. You state that your product contains an LED light and an 82 decibel tone and serves to alert hearing impaired drivers of approaching emergency vehicles. You further state that the part of the system that alerts drivers plugs into the cigarette lighter, while a microphone is placed outside the vehicle. (You did not explain how or where the microphone is placed or whether a hole is drilled through the windshield.)

I am pleased to have this opportunity to explain our regulations. I am also enclosing a copy of a fact sheet titled "Information for New Manufacturers of Motor Vehicles and Motor Vehicle Equipment."

By way of background information, the National Highway Traffic Safety Administration (NHTSA) is authorized to issue Federal motor vehicle safety standards (FMVSS's) for new motor vehicles and new items of motor vehicle equipment. Section 102(4) of the National Traffic and Motor Vehicle Safety Act (the "Safety Act") defines, in relevant part, the term "motor vehicle equipment" as:

any system, part, or component of a motor vehicle as originally manufactured or any similar part or component manufactured or sold for replacement or improvement of such system, part, or component OR AS ANY ACCESSORY, or addition to the motor vehicle ... (emphasis added).

In determining whether an item of equipment is considered an accessory, NHTSA applies two criteria. The first criterion is whether a substantial portion of the expected use of the item is related to the operation or maintenance of motor vehicles. We determine a product's expected use by considering product advertising, product labeling, and the type of store that retails the product, as well as available information about the actual use of the product. The second criterion is whether the product is intended to be used principally by ordinary users of motor vehicles. If the product satisfies both criteria, then the product is considered to be an "accessory" and thus is subject to the provisions of the Safety Act.

Applying these criteria to the E.A.R.S. system, it appears that this product would be an accessory and thus an item of motor vehicle equipment under the Safety Act. Based on our understanding of the product, it appears that the entire portion of the expected use of the E.A.R.S system relates to motor vehicle operation. That is, the system is intended to alert the vehicle driver about an oncoming emergency vehicle. Also, it appears that the product would typically be used by ordinary users of motor vehicles, in particular, hearing impaired drivers.

While it appears that the E.A.R.S. system is an item of motor vehicle equipment, NHTSA has not issued any standards for such a device. Nevertheless, there are other Federal laws that indirectly affect the manufacture and sale of your product. You as the product's manufacturer are subject to the requirements in sections 151-159 of the Safety Act concerning the recall and remedy of products with defects related to motor vehicle safety. In the event that the manufacturer or NHTSA determines that the product contains a safety related defect, the manufacturer would be responsible for notifying purchasers of the defective equipment and remedying the problem free of charge.

A commercial business that installs the E.A.R.S. system would also be subject to provisions of the Safety Act that affect modifications of new or used vehicles. Section 108(a)(2)(A) of the Safety Act (15 U.S.C. 1397(a)(2)(A)) 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.

This means that a manufacturer, distributor, dealer, or motor vehicle repair business must not install your device if the system renders inoperative the vehicle's compliance with the FMVSS's. For instance, compliance with Standard No. 205 might be degraded if it were necessary to drill a hole through the windshield. Any violation of this "render inoperative" prohibition would subject the violator to a potential civil penalty of up to $1,000 for each violation.

Please note also that the render inoperative prohibition does not apply to modifications that vehicle owners make to their own vehicles. Thus, Federal law would not apply in situations where individual vehicle owners install the E.A.R.S. system in their own vehicles, even if the installation were to result in the vehicle no longer complying with the safety standards. However, NHTSA encourages vehicle owners not to degrade any safety device or system installed in their vehicles. In addition, individual States have the authority to regulate modifications that individual vehicle owners may make to their vehicles, so you might wish to consult State regulations to see whether your device would be permitted.

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.

ID: 8995

Mr. Thomas Dougherty
C.A.P.S. Inc.
1712 Rudder Industrial Park Drive
Fenton, MO 63026

Dear Mr. Dougherty:

This responds to your letter asking about how this agency's regulations might apply to your product, the "E.A.R.S." system. You state that your product contains an LED light and an 82 decibel tone and serves to alert hearing impaired drivers of approaching emergency vehicles. You further state that the part of the system that alerts drivers plugs into the cigarette lighter, while a microphone is placed outside the vehicle. (You did not explain how or where the microphone is placed or whether a hole is drilled through the windshield.)

I am pleased to have this opportunity to explain our regulations. I am also enclosing a copy of a fact sheet titled "Information for New Manufacturers of Motor Vehicles and Motor Vehicle Equipment."

By way of background information, the National Highway Traffic Safety Administration (NHTSA) is authorized to issue Federal motor vehicle safety standards (FMVSS's) for new motor vehicles and new items of motor vehicle equipment. Section 102(4) of the National Traffic and Motor Vehicle Safety Act (the "Safety Act") defines, in relevant part, the term "motor vehicle equipment" as:

any system, part, or component of a motor vehicle as originally manufactured or any similar part or component manufactured or sold for replacement or improvement of such system, part, or component or as any accessory, or addition to the motor vehicle ... (emphasis added).

In determining whether an item of equipment is considered an accessory, NHTSA applies two criteria. The first criterion is whether a substantial portion of the expected use of the item is related to the operation or maintenance of motor vehicles. We determine a product's expected use by considering product advertising, product labeling, and the type of store that retails the product, as well as available information about the actual use of the product. The second criterion is whether the product is intended to be used principally by ordinary users of motor vehicles. If the product satisfies both criteria, then the product is considered to be an "accessory" and thus is subject to the provisions of the Safety Act.

Applying these criteria to the E.A.R.S. system, it appears that this product would be an accessory and thus an item of motor vehicle equipment under the Safety Act. Based on our understanding of the product, it appears that the entire portion of the expected use of the E.A.R.S system relates to motor vehicle operation. That is, the system is intended to alert the vehicle driver about an oncoming emergency vehicle. Also, it appears that the product would typically be used by ordinary users of motor vehicles, in particular, hearing impaired drivers.

While it appears that the E.A.R.S. system is an item of motor vehicle equipment, NHTSA has not issued any standards for such a device. Nevertheless, there are other Federal laws that indirectly affect the manufacture and sale of your product. You as the product's manufacturer are subject to the requirements in sections 151-159 of the Safety Act concerning the recall and remedy of products with defects related to motor vehicle safety. In the event that the manufacturer or NHTSA determines that the product contains a safety related defect, the manufacturer would be responsible for notifying purchasers of the defective equipment and remedying the problem free of charge.

A commercial business that installs the E.A.R.S. system would also be subject to provisions of the Safety Act that affect modifications of new or used vehicles. Section 108(a)(2)(A) of the Safety Act (15 U.S.C. 1397(a)(2)(A)) 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.

This means that a manufacturer, distributor, dealer, or motor vehicle repair business must not install your device if the system renders inoperative the vehicle's compliance with the FMVSS's. For instance, compliance with Standard No. 205 might be degraded if it were necessary to drill a hole through the windshield. Any violation of this "render inoperative" prohibition would subject the violator to a potential civil penalty of up to $1,000 for each violation.

Please note also that the render inoperative prohibition does not apply to modifications that vehicle owners make to their own vehicles. Thus, Federal law would not apply in situations where individual vehicle owners install the E.A.R.S. system in their own vehicles, even if the installation were to result in the vehicle no longer complying with the safety standards. However, NHTSA encourages vehicle owners not to degrade any safety device or system installed in their vehicles. In addition, individual States have the authority to regulate modifications that individual vehicle owners may make to their vehicles, so you might wish to consult State regulations to see whether your device would be permitted.

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,

John Womack Acting Chief Counsel

Enclosure

ref:VSA d:10/12/93

ID: 9448

Mr. J. Hulshof
Nedap N.V.
P.O. Box 6
7140 AA Groenlo
The Netherlands

Dear Mr. Hulshof:

This responds to your letter to Mr. Patrick Boyd requesting a written interpretation concerning whether your sunroof would meet the requirements of Federal Motor Vehicle Safety Standard No. 118, "Power-Operated Window, Partition, and Roof Panel Systems." I apologize for the delay in responding.

By way of background, the National Traffic and Motor Vehicle Safety Act establishes a self-certification system under which manufacturers are responsible for ensuring that their products comply with all applicable FMVSSs. We do not approve, endorse, or gives assurances of compliance of any product. In response to manufacturers' requests for interpretations of the FMVSS's, we try, to the extent possible, to provide information that will help them make their determinations of compliance. However, these responses are based on information provided by the manufacturer, and are subject to the findings of actual compliance testing by the agency. Should the agency, in the future, examine your product and detect an apparent noncompliance or defect, those results will control.

You explain in your letter that your power-operated sunroof (which is a power operated "roof panel system" under Standard 118) can be closed only in four circumstances. In three of these, the ignition key must be activated. In the fourth, the sunroof can be closed when there is "Continuous operation of Central close mechanism, not capable [sic] closing the roof panel from a distance of more than 6 meters from the vehicle."

Standard 118 requires sunroofs other than those that have an automatic reversing feature to close only in certain circumstances. One of those (S4(a)) is when the key controlling the vehicle's engine is in the activated (i.e. "on", "start" or "accessory") position. The three circumstances you described where the ignition key must be activated to operate the sunroof appear to satisfy S4(a).

With regard to the fourth circumstance, Standard 118 also permits sunroofs to close "Upon continuous activation of a remote actuation device, provided that the...device shall be incapable of closing the [sunroof] from a distance of more than 6 meters from the vehicle" (S4(d)). The circumstance you described appears to satisfy S4(d). Your sunroof will close only upon continuous operation of a "Central close mechanism," and the mechanism is incapable of closing the sunroof from a distance of more than 6 meters from the vehicle.

I hope this information has been helpful. If you have any further questions, please contact Mr. David Elias of my office at the above address or by phone at (202) 366-2992.

Sincerely,

John Womack Acting Chief Counsel

ref:118 d:4/12/94

ID: nht94-6.39

DATE: April 12, 1994

FROM: John Womack -- Acting Chief Counsel, NHTSA

TO: J. Hulshof -- Nedap N.V. (The Netherlands)

TITLE: None

ATTACHMT: Attached to letter/fax dated 12/14/93 from J. Hulshof to Patrick Boyd (OCC 9448)

TEXT:

This responds to your letter to Mr. Patrick Boyd requesting a written interpretation concerning whether your sunroof would meet the requirements of Federal Motor Vehicle Safety Standard No. 118, "Power-Operated Window, Partition, and Roof Panel systems." I apologize for the delay in responding.

By way of background, the National Traffic and Motor Vehicle Safety Act establishes a self-certification system under which manufacturers are responsible for ensuring that their products comply with all applicable FMVSSs. We do not approve, endorse, or gives assurances of compliance of any product. In response to manufacturers' requests for interpretations of the FMVSS's, we try, to the extent possible, to provide information that will help them make their determinations of compliance. However, these responses are based on information provided by the manufacturer, and are subject to the findings of actual compliance testing by the agency. Should the agency, in the future, examine your product and detect an apparent noncompliance or defect, those results will control.

You explain in your letter that your power-operated sunroof (which is a power operated "roof panel system" under Standard 118) can be closed only in four circumstances. In three of these, the ignition key must be activated. In the fourth, the sunroof can be closed when there is "Continuous operation of Central close mechanism, not capable (sic) closing the roof panel from a distance of more than 6 meters from the vehicle."

Standard 118 requires sunroofs other than those that have an automatic reversing feature to close only in certain circumstances. One of those (S4(a)) is when the key controlling the vehicle's engine is in the activated (i.e. "on", "start" or "accessory") position. The three circumstances you described where the ignition key must be activated to operate the sunroof appear to satisfy S4(a).

With regard to the fourth circumstance, Standard 118 also permits sunroofs to close "Upon continuous activation of a remote actuation device, provided that the...device shall be incapable of closing the (sunroof) from a distance of more than 6 meters from the vehicle" (S4(d)). The circumstance you described appears to satisfy S4(d). Your sunroof will close only upon continuous operation of a "Central close mechanism," and the mechanism is incapable of closing the sunroof from a distance of more than 6 meters from the vehicle.

I hope this information has been helpful. If you have any further questions, please contact Mr. David Elias of my office at the above address or by phone at (202) 366-2992.

ID: nht94-5.30

DATE: May 16, 1994

FROM: John Womack -- Acting Chief Counsel, NHTSA

TO: Fred Benford -- 100+ Motoring Accessories

TITLE: None

ATTACHMT: Attached To Letter Dated 4/18/94 From Fred Benford To John womack (OCC-9891)

TEXT: Dear Mr. Benford:

This responds to your request for an interpretation of Federal Motor Vehicle Safety Standard (FMVSS) No. 211, Wheel nuts, wheel discs and hub caps. You wrote that your company manufactures aluminum wheel covers without "protruding objects." You requested confirmation that the wheel covers do not violate any FMVSS. Our response is provided below.

By way of background information, the National Highway Traffic Safety Administration (NHTSA) does not provide approvals of motor vehicles, or of motor vehicle equipment. Under the National Traffic and Motor Vehicle Safety Act (Safety Act), it is the responsibility of the manufacturers of motor vehicle equipment to ensure that its equipment meet applicable requirements. The following represents our opinion based on the facts provided in your letter.

Standard No. 211 regulates wheel nuts, wheel discs, and hub caps. Since "wheel discs" encompasses wheel covers, your company's wheel covers are subject to Standard No. 211. S4. Requirements of Standard No. 211 states in part:

As installed on any physically compatible combination of axle and wheel rim, wheel nuts, wheel discs, and hub caps for use on passenger cars and multipurpose passenger vehicles shall not incorporate winged projections . . .

In your letter, you stated that your wheel covers do not have any "protruding objects." Since Standard No. 211 prohibits wheel discs (covers) with "winged projections," if your company's wheel covers do not incorporate "winged projections," the wheel covers would satisfy Standard No. 211. "Winged projection" is defined at S3.2 of Standard No. 211 as an exposed cantilevered appendage that projects radially from a wheel disc and that typically has front, edge, and/or rear surfaces which are not in contact with the wheel when the wheel disc is installed on the axle.

2

You also asked whether wheel covers made of aluminum violate any FMVSS. The answer is no, because Standard No. 211 does not specify materials for use in wheel covers. However, since wheel covers are "motor vehicle equipment," your company must ensure that the wheel covers are free of safety-related defects under the Safety Act. Sections 151-159 of the Safety Act concern the recall and remedy of products with defects related to motor vehicle safety. In the event that your company or NHTSA determines that the wheel covers have a safety-related defect, your company would be responsible for notifying purchasers of the defective wheel covers and remedying the problem free of charge.

I hope this information is helpful. If you have any further questions, please contact Dorothy Nakama of my staff at (202) 366-2992.

Sincerely,

ID: nht94-2.35

TYPE: Interpretation-NHTSA

DATE: April 12, 1994

FROM: John Womack -- Acting Chief Counsel, NHTSA

TO: J. Hulshof -- Nedap N.V. (The Netherlands)

TITLE: None

ATTACHMT: Attached to letter/fax dated 12/14/93 from J. Hulshof to Patrick Boyd (OCC 9448)

TEXT:

This responds to your letter to Mr. Patrick Boyd requesting a written interpretation concerning whether your sunroof would meet the requirements of Federal Motor Vehicle Safety Standard No. 118, "Power-Operated Window, Partition, and Roof Panel systems." I apologize for the delay in responding.

By way of background, the National Traffic and Motor Vehicle Safety Act establishes a self-certification system under which manufacturers are responsible for ensuring that their products comply with all applicable FMVSSs. We do not approve, endorse, or g ives assurances of compliance of any product. In response to manufacturers' requests for interpretations of the FMVSS's, we try, to the extent possible, to provide information that will help them make their determinations of compliance. However, these r esponses are based on information provided by the manufacturer, and are subject to the findings of actual compliance testing by the agency. Should the agency, in the future, examine your product and detect an apparent noncompliance or defect, those resu lts will control.

You explain in your letter that your power-operated sunroof (which is a power operated "roof panel system" under Standard 118) can be closed only in four circumstances. In three of these, the ignition key must be activated. In the fourth, the sunroof c an be closed when there is "Continuous operation of Central close mechanism, not capable (sic) closing the roof panel from a distance of more than 6 meters from the vehicle."

Standard 118 requires sunroofs other than those that have an automatic reversing feature to close only in certain circumstances. One of those (S4(a)) is when the key controlling the vehicle's engine is in the activated (i.e. "on", "start" or "accessory" ) position. The three circumstances you described where the ignition key must be activated to operate the sunroof appear to satisfy S4(a).

With regard to the fourth circumstance, Standard 118 also permits sunroofs to close "Upon continuous activation of a remote actuation device, provided that the...device shall be incapable of closing the (sunroof) from a distance of more than 6 meters fro m the vehicle" (S4(d)). The circumstance you described appears to satisfy S4(d). Your sunroof will close only upon continuous operation of a "Central close mechanism," and the mechanism is incapable of closing the sunroof from a distance of more than 6 meters from the vehicle.

I hope this information has been helpful. If you have any further questions, please contact Mr. David Elias of my office at the above address or by phone at (202) 366-2992.

ID: nht91-4.32

DATE: June 28, 1991

FROM: Dale R. Thompson -- Executive Director, Anderson County Board for the Mentally Retarded and Developmentally Disabled

TO: Mary Versailles -- NHTSA

TITLE: None

ATTACHMT: Attached to letter dated 8-7-91 from Paul Jackson Rice to Dale R. Thompson (A38; Part 571.3)

TEXT:

Per our recent phone conversation, I am contacting your office requesting FHTSA rulings on several transportation issues confronting my agency and the public school districts of Anderson County. These issues involve the transportation of handicapped children ages 3 and 4 that are officially classified as public school children under recent implementation of Public Law 99-457. Public Law 99-457 requires that public schools provide educational and related services. (including transportation) to eligible handicapped children. Prior to the implementation of this law, our agency has transported this population to and from our center based program for developmental and custodial care. We were not subject to FEDERAL or state PUBLIC SCHOOL TRANSPORTATION guidelines as these children were not, prior to implementation of Public Law 99-457, classified as public school children. As the fiscal demands of Public Law 99-457 are forcing a combined effort between my agency and the local public schools, we are evaluating the possibility of utilizing my agency's transportation vehicles to provide total or partial transportation assistance as a collaborative effort. However, prior to making such decisions all agencies and Boards involved feel a federal and state analysis for legal compliance are needed. I would appreciate your guidance or rulings on the following: (Note: The vehicles for proposed use are 15 passenger Dodge/ Chevy/Ford/GMC body types). 1. The vehicles our agency has previously purchased to transport this population prior to their public school age classification does not meet FMVSS/FHTSA standards as a "school bus". As we are proposing to utilize these vehicles to transport this population TO and FROM a public school facility for both education and custodial care, are our vehicles subject to any current, or proposed FHTSA requirements? Note 1. Each child will receive approximately 2 hours of educational services from the school system and 3-4 hours of custodial care per day at the same location.

2. Would these vehicles be subject to FHTSA/FMVSS requirements if they were only used to transport this population FROM the educational/ custodial location each afternoon (From school to home only). Note 2. After mid-morning public school services are completed, our agency will be providing afternoon custodial care prior to the return trip home.

3. What safety features are required of a "bus" in order to comply with FHTSA/FMVSS standards.

As I mentioned to you over the phone, I would appreciate as prompt a response as possible gives the onset of a new school year.

If you need additional information or clarification to assist your determination process, let me know.

ID: 06-000678drn-2