United States Department of TransportationInterpretation ID: 2500y
Guy & Gilbert
Place Mercantile
770 Sherbrooke Street West
Suite 2300
Montreal, Quebec
CANADA H3A 1G1
Dear Mr. Laurendeau:
Thank you for your letter on behalf of your client, who distributes auto glass parts in Canada. You had two questions regarding your client's status as an "intermediate" in the motor vehicle industry.
Before I address your specific questions, I believe some background information about this agency may be of assistance to you. The National Highway Traffic Safety Administration (NHTSA) has the authority under the National Traffic and Motor Vehicle Safety Act (Safety Act) to issue safety standards applicable to new motor vehicles and new 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 Act establishes a "self-certification" process under which each manufacturer is responsible for certifying that its products meet our safety standards. The agency periodically tests vehicles and equipment items for compliance with the standards, and also investigates other alleged safety-related defects. I have enclosed an information sheet which briefly describes each of a manufacturer's responsibilities under the Safety Act. The information sheet also explains how a company offering an item of motor vehicle equipment for importation into the United States must designate an agent within this country for service of process.
Your letter describes your client as "one of the major distributors of auto glass parts in all of Canada." Your letter states that your client's customers demand that your client "certifies all glasses shipped with D.O.T. number AS1 or AS2 for domestic and export purposes in all countries." I will now address the specific questions raised in your letter.
Your first question was whether your client, as a distributor of automotive safety glass, needs a D.O.T. number to operate in the United States. The answer to this question depends on what role your client has in the process that results in glazing being sold to the customer.
The agency has issued Standard No. 205, Glazing Materials (49 CFR 571.205) which specifies performance requirements for glazing for use in motor vehicles. S6 of Standard No. 205 establishes marking and certification requirements for manufacturers and distributors of glazing materials.
The marking and certification requirements differ, depending upon whether your client is a "prime glazing material manufacturer" or simply a manufacturer or distributor. A "prime glazing material manufacturer" is defined in S6.1 of Standard No. 205 as "one who fabricates, laminates, or tempers the glazing material." If your client performs any of these operations, it must comply with the marking and certification requirements set forth in S6.1 through S6.3 of Standard No. 205. S6.1 requires every prime glazing material manufacturer to mark all glazing materials it manufactures in accordance with American National Standard "Safety Code for Safety Glazing Materials for Glazing Motor Vehicles Operating on Land Highways" Z-26.1-1977, January 26, 1977, as supplemented by Z26.1a, July 3, 1980 (hereinafter referred to as "ANS Z26). S6.2 of Standard No. 205 requires each prime glazing material manufacturer to certify each piece of glazing designed as a component of any specific motor vehicle or camper by adding to the mark required by S6.1 the symbol "DOT" and a manufacturer's code mark that is assigned by this agency. S6.3 requires each prime glazing manufacturer to certify each piece of glazing designed to be cut into components for use in motor vehicles pursuant to the requirements of section 114 of the Safety Act (15 U.S.C. 1403).
Assuming that your client would not be considered a "prime glazing material manufacturer," but is simply a distributor, it would not need to be assigned a DOT number pursuant to S6.2 of Standard No. 205. In your letter, however, you incorrectly identified the codes AS1 and AS2 as DOT numbers. Those codes are required on glazing materials by section 6 of ANS Z26. As explained below, your client may be required to add such markings to glazing materials, even if your client is only considered a distributor for the purposes of Standard No. 205.
Each manufacturer or distributor who cuts a section of glazing material to which Standard No. 205 applies, for use in a motor vehicle or camper, must comply with the requirements set forth in S6.4 and S6.5 of Standard No. 205. For sections of glazing that are cut by the manufacturer or distributor, the manufacturer or distributor must mark it in accordance with section 6 of ANS Z26 (S6.4) and certify it in accordance with section 114 of the Safety Act (S6.5).
Your second question asked about the potential liability of a distributor for the certification of automotive safety glazing for importation into the United States.
If your client is required to certify glazing it distributes pursuant to the provisions in either S6.2, S6.3, or S6.5 of Standard No. 205, the failure to so certify would be a violation of the standard. Section 108(a)(1)(A) of the Safety Act (15 U.S.C. 1397(a)(1)(A)) provides that:
No person shall manufacture for sale, sell, offer for sale, or introduce or deliver for introduction in interstate commerce, or import into the United States, any motor vehicle or item of motor vehicle equipment manufactured on or after the date any applicable Federal motor vehicle safety standard takes effect under this title unless it is in conformity with such standard ...
Thus, if your client is required by Standard No. 205 to certify some glazing it distributes, the failure to make such a certification would be a violation of section 108(a)(1)(A) of the Safety Act. Even if your client is not required to certify the glazing it distributes pursuant to Standard No. 205, section 114 of the Safety Act requires every distributor of motor vehicle equipment (such as glazing) to furnish a certification. Section 114 provides:
Every manufacturer or distributor of ... motor vehicle equipment shall furnish to the distributor or dealer at the time of delivery of such ... equipment by such ... distributor the certification that each such ... item of motor vehicle equipment conforms to all applicable Federal motor vehicle safety standards. In the case of an item of motor vehicle equipment such certification may be in the form of a label or tag on such item or on the outside of a container in which such item is delivered.
Section 108(a)(1)(C) of the Safety Act provides that no person shall fail to issue a certificate required by section 114, or issue a certificate to the effect that a motor vehicle or item of motor vehicle equipment conforms to all applicable safety standards, if such person in the exercise of due care has reason to know that such certificate is false or misleading in a material respect. Section 109 of the Safety Act (15 U.S.C. 1398) provides that any violations of section 108 subject the violator to a civil penalty of not to exceed $1,000 for each such violation, up to a maximum penalty of $800,000.
I hope this information is helpful. If you have any further questions or need any additional information, please feel free to contact Dorothy Nakama of my staff at this address or by telephone at (202) 366-2992.
Sincerely,
Paul Jackson Rice Chief Counsel
Enclosure /ref:205#VSA d:6/l4/90