Interpretation ID: 7436
Counsel - Transaction
General Electric Company
One Plastics Avenue
Pittsfield, MA 01201
Dear Mr. Reinert:
This responds to your letter requesting an interpretation of Standard No. 205, Glazing Materials (49 CFR 571.205). Specifically, you asked about the certification and marking responsibilities of your company, General Electric (GE), and your distributors under section S6 of Standard No. 205. This interpretation is based on my understanding of the statements in your letter as well as statements made by GE's representatives Mr. Timothy Commons and Mr. Bruce Torry in a July 8, 1992 meeting with Mr. Clark Harper of this agency's Office of Vehicle Safety Standards and Mr. Marvin Shaw of my staff.
We understand that GE manufactures large sheets of LEXAN polycarbonate which are used in both motor vehicle and non- vehicle applications. You explained that under a contractual agreement with GE, your distributors have agreed to mark the LEXAN sheet with GE's manufacturer code mark and the symbol DOT (which you refer to as the DOT number). In other words, GE is sending LEXAN sheets without the manufacturer code mark and the symbol DOT to its distributors who then mark the sheets with this information before shipping them to their motor vehicle customers.
You asked whether shipping LEXAN sheets without the manufacturer code mark and symbol DOT to GE's distributors is consistent with GE's responsibilities as a prime glazing material manufacturer having its own DOT number. I note that Mr. Commons and Mr. Torry raised additional questions about GE's certification responsibilities under Standard No. 205. Specifically, they questioned whether GE was a manufacturer of raw material rather than a prime glazing material manufacturer; and if GE were not a prime glazing material manufacturer, whether each of GE's distributors would be required to mark the LEXAN sheets with its own DOT number rather than GE's number. Your company's questions are addressed below.
Standard No. 205 specifies performance requirements for glazing for use in motor vehicles. Section S6 of Standard No. 205 establishes marking and certification requirements for manufacturers and distributors of glazing materials. Different marking and certification requirements apply depending upon whether an entity is a prime glazing material manufacturer or a manufacturer that cuts sections of glazing material to which Standard No. 205 applies. Further distinction in certification requirements for prime manufacturers depends on whether the glazing is designed for use in a specific motor vehicle or camper, or whether the glazing is designed to be cut into components for use in motor vehicles or items of motor vehicle equipment. None of the marking and certification requirements would apply to manufacturers of raw materials.
Section S6.1 defines a "prime glazing material manufacturer" as "one who fabricates, laminates, or tempers the glazing material." If an entity performs any one of these operations, it must comply with the marking and certification requirements set forth in S6.1 through S6.3 of Standard No. 205.
Before addressing the question posed in your letter, I will respond to your representatives' question concerning whether GE might be a manufacturer of a raw material and thus not be subject to Standard No. 205's marking and certification requirements. In support of this view, they stated that distributors frequently undertake what they termed significant fabricating operations (e.g., drilling, routing, and polishing the glazing) beyond merely cutting the glazing, and thus in such situations should be considered the "prime glazing material manufacturer."
Notwithstanding your representatives' contentions, we consider GE to be the prime glazing material manufacturer in the situation at hand. GE's activities involve a fundamental manufacturing operation that constitutes fabrication of glazing. In contrast, the distributor's operations, though arguably more extensive than mere cutting, constitute relatively minor finishing operations to an item of glazing that has been fabricated by another company. Since GE fabricates the glazing, it is the prime glazing material manufacturer under S6.1. This determination renders moot your representatives' follow-up question about the distributor's marking responsibilities if GE were not a prime glazing material manufacturer.
I will now summarize the marking and certification requirements that apply to GE, as a prime glazing material manufacturer, and to its distributors. S6.1 requires every prime glazing material manufacturer to mark all glazing materials it manufactures with the following information in accordance with section 6 of the American National Standard (ANS) Z26: (1) the words "American National Standard" or the characters "AS," (2) a number identifying the item of glazing, (3) a model number assigned by the manufacturer that identifies the type of construction of the glazing material, and (4) the manufacturer's distinctive designation or trademark.
In addition to the information required by S6.1, if an item of glazing material is designed to be used in a specific motor vehicle, then S6.2 requires each prime glazing material manufacturer to certify such an item of glazing with the symbol "DOT" and a manufacturer's code mark assigned by this agency. The purpose of requiring the manufacturer's code mark is to help NHTSA identify the actual manufacturer of the glazing material for the purpose of defect and noncompliance recall campaigns. Section S6.3 requires each prime glazing material manufacturer to certify compliance with Standard No. 205 for 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. Under section 114, certification of an item of glazing "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."
Sections S6.4 and S6.5 set forth requirements that apply to 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. Section S6.4 requires the manufacturer or distributor to mark that material in accordance with section 6 of ANS Z26. Section S6.5 requires the manufacturer or distributor to certify that its product complies with Standard No. 205, pursuant to section 114.
You asked whether shipping LEXAN sheets without GE's manufacturer code mark and the symbol DOT to GE's distributors is consistent with GE's responsibilities as a prime glazing material manufacturer that has its own DOT number. Under the above requirements, the only type of glazing that a prime glazing material manufacturer is required to mark with its manufacturer code mark and the symbol "DOT" is glazing designed as a component of a specific motor vehicle or camper. GE, as a prime glazing material manufacturer, is not required to mark glazing with the symbol "DOT" and its manufacturer's code mark if such glazing is not designed as a component of a specific motor vehicle or camper.
As for sheets of glazing that a manufacturer or distributor will cut into components for motor vehicles, GE and GE's distributors may contractually agree to have the distributor mark the LEXAN sheets and glazing cut from such sheets with GE's manufacturer code mark. However, there is no requirement for either GE or its distributors to so mark the glazing.
I hope this information is helpful. If you have any further questions about NHTSA's safety standards, please feel free to contact Marvin Shaw of my staff at this address or by telephone at (202) 366-2992.
Sincerely,
Paul Jackson Rice Chief Counsel Enclosure
Ref: 205 d:9/4/92