ID: 2793o

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

Dear Mr. Reeser:

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Sincerely,

Erika Z. Jones Chief Counsel

ref:VSA d:8/8/88

ID: 2858o

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

Dear Mr. Nash:

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Sincerely,

Erika Z. Jones Chief Counsel

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

ID: 3143o

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

Dear Mr. Kato:

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

I hope this information is helpful.

Sincerely,

Erika Z. Jones Chief Counsel

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

ID: 21938

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





Dear Mr. Biondi:

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

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

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

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

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

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

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

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

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

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

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

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

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

Heavy hauler trailer is defined in S4 as:

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

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

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

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

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

Sincerely,

John Womack.
Acting Chief Counsel

ref:121
d.3/22/01

ID: nht76-1.43

DATE: 06/23/76

FROM: AUTHOR UNAVAILABLE; T. W. Herlihy for S. P. Wood; NHTSA

TO: Little Dude Trailer Company, Inc.

TITLE: FMVSS INTERPRETATION

TEXT: This is in response to your March 26, 1976, letter concerning the certification label requirements in S5.3 of Federal Motor Vehicle Safety Standard No. 120, Tire Selection and Rims for Motor Vehicles Other Than Passenger Cars.

You have pointed out that the example shown in S5.3 presents rim, inflation, and maximum speed information after the Gross Vehicle Weight Ratings (GVWRs) as well as after the Gross Axle Weight Ratings (GAWRs). You have suggested that the text of S5.3 merely requires such information to appear after the GAWRs and urged such an interpretation. It appears that you have misunderstood the text.

In its present form, S5.3 requires each listed GVWR and GAWR to be followed by the information specified in paragraphs S5.3(a) through (d). Paragraph (a) is divided into subparagraphs (a)(1) and (a)(2) in order to specify different items to follow GVWR and GAWR, respectively. Paragraphs (b) through (d) (which specify rim, inflation, and maximum speed information) are not subdivided because the same items are intended to follow GVWR and GAWR.

Several petitions for reconsideration of the standard have requested an amendment of S5.3 to eliminate the requirement that tire and rim information appear after the GVWR. Your suggestions on this matter, as well as the other suggestions in your letter, are being considered by the National Highway Traffic Safety Administration in the preparation of its response to those petitions.

Please note that the effective dates of several of the standard's requirements, including that of S5.3, were delayed in a Federal Register notice published on May 6, 1976 (41 FR 18659; Docket No. 71-19, Notice 4). A copy of that notice is enclosed for your convenience.

YOURS TRULY,

little dude TRAILER COMPANY, INC.

March 26, 1976

James B. Gregory Administrator National Highway Traffic Safety Administration Department of Transportation

Re: Safety Standard 120

We have some questions and comments regarding the subject standard. On page 3480 (S5.3) you cover the requirements of the certification label. Part (a) (1) states, "After GVWR, the size designation of tires appropriate as a minimum for the GAWR's corresponding to that GVWR." Paragraph (a) (2) then goes into GAWR which is to be followed by (b), (c), and (d) as well as the appropriate tire size. On the surface, it appears that the GVWR is to be followed only by tire size; yet, your example shows it (GVWR) followed by everything, even though it is a duplication, that follows GAWR. Which is correct? If the example is correct, why should rim size, cold inflation, and maximum speed be repeated since they obviously must be the same?

Now, as to your discussion of the comments. On page 3478, 3rd column, 2nd paragraph, you state that the commentors pointing to the large number of possible combinations making the decal too large and confusing are not correct because they fail to fully understand the rule. We have no doubt that this is true on the comprehension part; but we cannot possibly see how rim designation, tire inflation, and maximum speed can be of any possible use to the consumer when the tires on the vehicle need not be listed. We hope that people do not apply this info in servicing, driving, or replacing a larger size tire than appears on the decal. The obvious question is, if these items don't have to apply to the tires on the vehicle, what good are they?

We feel that the comments about the size of and confusion on the decal definitely are pertinent to boat trailers even if not pertinent to cars and trucks. We are limited in size (3" to 5") for vertical decal expansion; consequently, we can only go horizontally to add the new information. Since some decals encompass as many as 4 GVWR's and GAWR's (8 on a tandem) we could very easily have one whole side of the trailer which would require no paint. What you failed to realize in your comment interpretation is that 99% of the changes in tires on boat trailers are made to change capacities; therefore, your answer that the law does not require the listing of more than one tire size is just not applicable to trailers. The changing of tires changes both the GVWR and the GAWR which adds all of your additional information in as much as fourfold for GVWR and up to eightfold on GAWR for a tandem. Some trailer manufacturers even go as far as 3 axles. The only alternative to this horrendous decal that no one could read or understand is a separate one for each capacity trailer. This alternative would be utter chaos for the Marine Industry and any other trailer shipped in a knocked down condition. When the same frame has up to 4 different running gear and load capacity combinations there is no assurance that our assembly people will be able to distinguish which decal goes with which running gear. Needless to say, the people putting trailers together for a dealer will never get them right or even care. The inventory duplication will be impossible for the manufacturer and his customers.

For once, why can't trailers be excepted from the laws governing cars and trucks? They are entirely different both in type and use. Between the lighting, decal, new warranty requirements, and cutting of tire capacities, we are fast protecting the consumer fully. Since all these costs must be passed on, the consumer will soon be unable to afford a trailer; hence, full protection because no one will have one.

No Marine Dealer or consumer that we have talked to knows or cares what GVWR and GAWR means. Furthermore, most trailer manufacturers buy their wheels and tires mounted. The rim information is to be on the wheel, capacity and inflation pressure are on the tires, and the over-the-road speed limit is 55 MPH. Aren't these items enough? They are certainly a safer guide than the decal information which you admit may or may not apply to the tires on the trailer. The only problem would be a disreputable tire or trailer manufacturer mounting a high capacity tire on a lower capacity rim. The trailer manufacturers that would do this aren't legal on lights and decal (some don't even have one) now; so, they won't be affected anyway, and the tire companies simply can't afford to run that kind of risk. This will be just another means of making reputable manufacturers less competitive with our already illegal "backyard" competitors. They never even paid their excise tax and certainly aren't worried about a decal.

Please advise:

1. Whether the example or the language is correct,

2. If we have misinterpreted anything,

3. If there is any way trailers, can be excluded from the new decal requirements.

Richard L. Rogers President

cc: CHUCK VERRILL; JEFF NAPIER

ID: nht90-3.98

TYPE: Interpretation-NHTSA

DATE: July 5, 1990

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

TO: Paul Jackson Rice -- Chief Counsel, NHTSA

TITLE: None

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

TEXT:

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

Background

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

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

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

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

Questions

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

1. Vehicle Load Adjustment for Speed (Passenger Cars)

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

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

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

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

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

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

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

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

Conclusion

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

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

Enclosures

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

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

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

ID: nht91-5.15

DATE: August 7, 1991

FROM: Paul Jackson Rice -- Chief Counsel, NHTSA

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

TITLE: None

ATTACHMT: Attached to letter dated 6-28-91 from Dale R. Thompson to Mary Versailles

TEXT:

This responds to your letter of June 28, 1991, requesting information regarding transportation of handicapped children ages 3 and 4. In your letter and in subsequent phone conversations with Mary Versailles of my staff, you indicated that children in this age group "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." Previously, your agency had transportated these children, using 15 passenger vans, to your center for developmental training and custodial care. You are now planning to coordinate your services with the local public schools. You plan to use your vans to transport these children to and from the public school. While at the school, the children would receive approximately two hours of educational services from public school teachers. Prior to and after these services, the children would receive custodial care by your staff.

I am pleased to have this opportunity to clarify the operation of Federal law as it applies to school buses. You asked the following three questions about transporting these children.

1. The vehicles our agency has previously purchased to transport this population prior to their public school age classification does not meet FMVSS/(NHTSA) 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 educational and custodial care, are our vehicles subject to any current, or proposed (NHTSA) 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.

The National Traffic and Motor Vehicle Safety Act (the 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." The National Highway Traffic Safety Administration (NHTSA) has stated that whether a program for preprimary-age students is a "school" is determined by whether the program is educational or custodial. Because your students will be receiving approximately two hours of education each day, the program would be considered educational.

The Act gives NHTSA the authority to regulate the MANUFACTURE and SALE of new vehicles, including new school buses. NHTSA defines "school bus" as a

motor vehicle designed for carrying 11 or more persons, including a driver, and sold for transporting students to and from school or school-related events. See 49 CFR Part 571.3. Note that in determining whether a vehicle is a school bus, one must consider both the vehicle's seating capacity, and its intended use. Thus, under Federal law, a 12-15 passenger van is considered a school bus if its intended use is to transport school children.

NHTSA has issued Federal motor vehicle safety standards applicable to all new school buses. It is a violation of Federal law for any person to sell as a school bus any new vehicle that does not comply with all school bus safety standards. Since you will be transporting children to school, it would be a violation of Federal law for any person, aware of the vehicles' intended use, to sell you a vehicle that is not a school bus.

On the other hand, without violating any provision of Federal law, you may USE a vehicle which does not comply with Federal school bus regulations to transport school children. This is so because the individual States have authority over the use of vehicles. Therefore, to determine whether you may use noncomplying vans to transport school children, you must look to state law. In addition, using noncomplying vans as a school bus could result in increased liability in the event of an accident. You might want to consult your attorney and insurance company to discuss this matter.

2. Would these vehicles be subject to (NHTSA)/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.

NHTSA regulations define a "school bus" as a bus used for purposes that include carrying students to and from school or related events. See 49 CFR Part 571.3. We interpret the term "to and from" to be inclusive of situations where a bus is used to transport children only one way between home and the school. We also note that the Act's definition of school bus uses the term "to or from school."

3. What safety features are required of a "bus" in order to comply with (NHTSA)/FMVSS standards. (NOTE: In a subsequent phone conversation, you stated that you were interested in which standards are applicable to a "school bus.")

The following is a list of all Federal motor vehicle safety standards that include requirements for school buses:

Standards No. 101 through 104; Standard No. 105 (school buses with hydraulic service brake systems); Standards No. 106 through 108; Standards No. 111 through 113; Standard No. 115; Standard No. 116 (school buses with hydraulic service brake systems); Standards No. 119 and 120; Standard No. 121 (school buses with air brake systems); Standard No. 124;

Standard No. 131 (effective September 1, 1992); Standards No. 201 through 204 (school buses with GVWR of 10,000 pounds or less); Standard No. 205; Standards No. 207 through 210; Standard No. 212 (school buses with GVWR of 10,000 pounds or less); Standard No. 217; Standard No. 219 (school buses with GVWR of 10,000 pounds or less); Standard No. 220; Standard No. 221 (school buses with GVWR greater than 10,000 pounds); Standard No. 222; Standards No. 301 and 302.

Some of these standards have unique requirements for school buses, including, but not necessarily limited to, Standards No. 105, 108, 111, 217, and 301. Other standards are applicable only to school buses, including Standards No. 131, 220, 221, and 222. Standard No. 131 requires all school buses manufactured after September 1, 1992 to have a stop signal arm. Standard No. 220 establishes requirements for school bus rollover protection. Standard No. 221 establishes strength requirements for the body panel joints in school buses. Standard No. 222 establishes minimum crash protection levels for occupants on school buses. Under Standard No. 222, small school buses (those with a gross vehicle weight rating (GVWR) of 10,000 pounds or less) must be equipped with lap belts. For large school bus, the standard requires occupant protection through a concept called "compartmentalization" - strong, well-padded, well-anchored, high-backed, evenly spaced seats.

The Federal motor vehicle safety standards are contained in Title 49 of the Code of Federal Regulations (CFR), Part 571. You may find a copy of 49 CFR Part 571 at a Federal Depository Library in your State. If you so choose, you may purchase a copy of the volume of Title 49 which includes Part 571 from the United States Printing Office (GPO), Washington, D.C., 20402, (202) 783-3238.

If you have further questions or need some additional information in this area, please contact Mary Versailles of my staff at this address or by telephone at (202) 366-2992.

ID: nht93-3.34

DATE: May 5, 1993

FROM: John Womack -- Acting Chief Counsel, U.S. Department of Transportation, NHTSA

TO: Bob Dittert -- Trooper, Texas Department of Public Safety

TITLE: None

ATTACHMT: Attached to letter dated 1-14-93 from Bob Dittert to NHTSA (OCC 8240)

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

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

Under S108(a)(1)(A) of the Safety Act, no person shall manufacture or sell a new motor vehicle or new item of motor vehicle equipment that does not meet all applicable FMVSS's. NHTSA tests vehicles and equipment sold to consumers for compliance with the FMVSS's and investigates defects relating to motor vehicle safety. If a manufacturer or NHTSA determines that a noncompliance or safety-related defect exists, the manufacturer must notify purchasers of its product and remedy the problem free of charge. A manufacturer of a noncomplying product is also subject to a civil penalty of up to $1,000 for each noncomplying item it produces.

The prohibition in S108(a)(1)(A) against selling complying vehicles and items of equipment does not apply to a vehicle or item of equipment after its first sale to a consumer. However, S108(a)(2)(A) of the Act applies to modifications made to new and used vehicles by motor vehicle manufacturers, distributors, dealers and repair businesses. That section provides that:

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

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

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

your letter.

QUESTION ONE:

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

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

QUESTION TWO:

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

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

QUESTION THREE:

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

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

Your question relates to S103(d) of the Safety Act, which states:

Whenever a Federal motor vehicle safety standard ...

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

Whether State law is preempted under S103(d) depends in part on the conduct that is regulated by that law. Federal safety standards regulate the manufacture and sale of new motor vehicles and new items of motor vehicle equipment. State law would be preempted to the extent it established performance requirements applicable to the MANUFACTURE of vehicles or glazing that differ from those in Standard 205. State law would also be preempted if it purported to ALLOW THE MANUFACTURE OR SALE of glazing materials or new vehicles containing glazing material that did not meet the specifications of

Standard 205.

As stated above, Federal law also regulates modifications made to new and used vehicles by motor vehicle manufacturers, distributors, dealers and repair businesses (SlO8(a)(2)(A) of the Safety Act). The effect of S108(a)(2)(A) is to impose limits on the tinting practices of businesses listed in S108(a)(2)(A). These businesses may not install tinting on new or used vehicles that reduces the light transmittance of windows covered by Standard 205 to a level below the Federal requirement of 70 percent. A state law would be preempted if it purported to ALLOW MODIFICATIONS VIOLATING STANDARD 205 by these named businesses. Section 108(a)(2)(A) does not apply to actions by individual vehicle owners.

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

QUESTION 4:

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

You are correct that S108(a)(2)(A) of the Safety Act regulates the modifications of only the commercial entities listed in that section of the Act, and that the Safety Act does not prohibit an individual from modifying his or her vehicle such that it no longer complies with the FMVSS's. The States may have requirements governing the modification of a vehicle by individual owners.

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

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: nht88-3.60

TYPE: INTERPRETATION-NHTSA

DATE: 10/03/88 EST

FROM: ERIKA Z. JONES -- NHTSA CHIEF COUNSEL

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

TITLE: NONE

ATTACHMT: FEBRUARY 26, 1988 LETTER FROM SHIMAZU TO JONES

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

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

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

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

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

* * *

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

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

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

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

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

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

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

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