Interpretation ID: nht92-9.50

DATE: January 15, 1992

FROM: Paul Jackson Rice -- Chief Counsel, NHTSA

TO: William E. Kenyon -- Mr. K's Original Headsaver, Patented Restraint Systems

TITLE: None

ATTACHMT: Attached to letter dated 11/1/91 from William E. Kenyon to Chief Counsel, NHTSA (OCC 6670)

TEXT:

This responds to your letter regarding a head restraint system your company is producing for use in pickup trucks with bench seats. You indicated that your company's head restraints meet or exceed the performance requirements specified in Standard No. 202, Head Restraints. As support for this statement, you enclosed with your letter an affidavit, in which you stated that you had tested your company's head restraint in accordance with Standard No. 202 and that the results of the testing showed that your company's head restraint complied with the performance requirements of Standard No. 202. Accordingly, you stated that you would like your company's head restraint system to be "federally approved as an after-market safety product." As I will explain in more detail below, this agency has no authority to approve, endorse, or offer assurances of compliance for any motor vehicle or item of motor vehicle equipment.

By way of background information, Section 103 of the National Traffic and Motor Vehicle Safety Act (Safety Act; 15 U.S.C. 1392) authorizes the National Highway Traffic Safety Administration (NHTSA) to issue Federal motor vehicle safety standards for new motor vehicles and new items of motor vehicle equipment. We have exercised this authority to establish Standard No. 202, Head Restraints (49 CFR S571.213), which applies to all new passenger cars, and all new trucks, buses, and multipurpose passenger vehicles with a gross vehicle weight rating of 10,000 pounds or less. I have enclosed a copy of Standard No. 202 for your information.

The Safety Act requires that all motor vehicles and motor vehicle equipment sold or imported into the United States comply with the safety standards adopted by NHTSA. Specifically, S108(a)(1)(A) of the Safety Act (15 U.S.C. 1397(a)(1)(A)) provides:

no person shall manufacture for sale, sell, offer for sale, or introduce or deliver into 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 and is covered by a certification issued under S114...

With respect to your company's product, please note that Standard No. 202 applies only to new motor vehicles and requires the motor vehicle manufacturer to certify that its VEHICLE complies with the standard. By its own terms, Standard No. 202 does not apply to head restraints as a separate item of motor vehicle equipment. Thus, the Safety Act does not

require manufacturers of head restraints to certify that the head restraint complies with Standard No. 202 before selling the product.

Additionally, the Safety Act does not authorize NHTSA to certify or approve motor vehicles or items of motor vehicle equipment as complying with our standards. In this regard, the process for certifying compliance with applicable safety standards under the Safety Act is substantially different than that used in many other countries. For instance, the European nations require manufacturers to deliver their products to a governmental entity for testing. After the governmental entity itself tests the product, the government approves the product for use and assigns it an approval code.

In place of this sort of process, section 114 of the Safety Act (15 U.S.C. 1403) establishes a self-certification process under which every manufacturer is required to certify that each of its products meets all applicable Federal safety standards. The manufacturer's certification need not be based on actual tests in accordance with the standard. United States law only requires that the manufacturer's certification be made with the exercise of "due care" on the part of the manufacturer. It is up to the individual manufacturer in the first instance to determine what test results, engineering analyses, computer simulations, or other information it needs to certify compliance with the applicable safety standards. Once the manufacturer has made this determination and certified its product in accordance with the applicable standard, it is free to offer the product for sale in the United States. The agency periodically tests vehicles and items of equipment that have been certified by the manufacturer to ensure that they do, in fact, comply with the safety standards. NHTSA also investigates alleged defects related to motor vehicle safety.

Although we do not have any safety standards that directly apply to your product, there are several provisions of the Safety Act that apply to the sale of aftermarket items of motor vehicle equipment. Manufacturers of motor vehicle equipment such as your head restraints are subject to the requirements in sections 151-159 of the Safety Act (15 U.S.C. 1411-1419) concerning the recall and remedy of products with defects related to motor vehicle safety. In addition, the use of aftermarket items could be affected by section 108(a)(2)(A) of the Safety Act (15 U.S.C. 1397(a)(2)(A). That section prohibits any manufacturer, distributor, dealer, or repair shop from knowingly "rendering inoperative" any device or element of design installed on or in a vehicle in compliance with an applicable safety standard. The effect of this provision is to make it unlawful for any of the named commercial establishments to replace an original equipment head restraint with an aftermarket head restraint if the commercial establishment knows or should know that the switch to the aftermarket head restraint results in the vehicle no longer complying with Standard No. 202.

Finally, I have enclosed an information sheet which identifies relevant Federal statutes and NHTSA regulations affecting motor vehicle and motor vehicle equipment manufacturers. This information sheet also explains how to obtain copies of those regulations.

Attachments

NHTSA information sheet dated September, 1985 entitled Information for New Manufacturers of Motor Vehicles and Motor Vehicle Equipment.

Copy of Standard No. 202, Head Restraints.

(Attachments omitted)