[Federal Register: March 19, 2002 (Volume 67, Number 53)]
[Proposed Rules]
[Page 12789-12797]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr19mr02-37]
[[Page 12789]]
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Part VII
Department of Transportation
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National Highway Traffic Safety Administration
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49 CFR Part 567
Retroactive Certification of Commercial Vehicles by Motor Vehicle
Manufacturers; Proposed Rule
[[Page 12790]]
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DEPARTMENT OF TRANSPORTATION
National Highway Traffic Safety Administration
49 CFR Part 567
[Docket No. NHTSA 02-11594; Notice 1]
RIN 2127-AI59
Retroactive Certification of Commercial Vehicles by Motor Vehicle
Manufacturers
AGENCY: National Highway Traffic Safety Administration (NHTSA), DOT.
ACTION: Proposed policy statement; request for comments.
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SUMMARY: NHTSA seeks comment on a draft policy statement. The policy is
part of the Department of Transportation's efforts to ensure that the
interests of safety are protected as the United States takes the steps
necessary to comply with its obligations under the North American Free
Trade Agreement regarding the access of Mexico-domiciled motor carriers
to the United States.
The policy statement is being issued pursuant to the National
Traffic and Motor Vehicle Safety Act of 1966, codified at 49 U.S.C.
Chapter 301, which provides for the issuance of Federal Motor Vehicle
Safety Standards (FMVSSs), requires all vehicles imported into the
United States or introduced into interstate commerce to have been
manufactured in compliance with those standards, and requires that a
label bearing a statement certifying that compliance be attached to
each vehicle. These requirements apply to new motor vehicles that
vehicle manufacturers produce for sale in the United States. New or
used motor vehicles imported into the United States that were not
originally manufactured in compliance with all applicable FMVSSs must
also be certified after they have been brought into compliance with
those standards. NHTSA has long interpreted ``import'' to include
bringing a commercial motor vehicle into the United States for the
purpose of transporting cargo or passengers.
The policy statement addresses commercial motor vehicles that were
not originally manufactured for sale in the United States, and thus
were not required at the time of manufacture to be certified as
complying with the FMVSSs, but are subsequently sought to be imported
into the United States. The statement provides that a vehicle
manufacturer may, if it has sufficient basis for doing so,
retroactively apply a label to a commercial motor vehicle certifying
that the vehicle complied with all applicable FMVSSs in effect at the
time it was originally manufactured.
The purpose of this policy statement is to facilitate compliance by
motor carriers domiciled in other countries, primarily those in Mexico
and Canada, with the above statute and a companion notice of proposed
rulemaking by the Federal Motor Carrier Safety Administration (FMCSA).
In its document, FMCSA will be proposing to promote the effective
enforcement of that statute by requiring that all commercial motor
vehicles operating in the United States have labels certifying their
compliance with the FMVSSs in effect when they were built. NHTSA has
been advised that there are many commercial motor vehicles used by
motor carriers in Mexico and Canada that were manufactured in
accordance with the FMVSSs, but were not certified as complying with
those standards because the vehicles were manufactured for sale in
Canada or Mexico. In two separate documents, NHTSA will be proposing
recordkeeping requirements for foreign manufacturers that retroactively
certify vehicles, and proposing to codify its interpretation of the
term ``import,'' as used in the statute, by incorporating that
interpretation into its primary regulation concerning the importation
of vehicles.
DATES: Comment closing date: You should submit your comments early
enough to ensure that Docket Management receives them not later than
May 20, 2002.
ADDRESSES: For purposes of identification, please mention the docket
number of this document in your comments. You may submit those comments
in writing to: Docket Management, Room PL-401, 400 Seventh Street, SW.,
Washington, DC 20590. Alternatively, you may submit your comments by e-
mail at http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=http://dms.dot.gov.
You may call Docket Management at (202) 366-9324, or you may visit
the Docket from 10 a.m. to 5 p.m., Monday through Friday. The Docket is
located at the Plaza level of this building, northeast entrance.
FOR FURTHER INFORMATION CONTACT: For technical issues: Mr. George
Entwistle, Chief, Equipment and Imports Division, Certification Branch,
Office of Safety Assurance, National Highway Traffic Safety
Administration, 400 Seventh Street, SW., Washington, DC 20590;
telephone (202) 366-5291; telefax (202) 366-1024.
For legal issues: Ms. Rebecca MacPherson, Office of the Chief
Counsel, National Highway Traffic Safety Administration, 400 Seventh
Street, SW., Washington, DC 20590; telephone (202) 366-2992; telefax
(202) 366-3820.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Background
A. NAFTA provisions for cross border operation of commercial
motor vehicles
B. Implementation of the NAFTA provisions in a manner consistent
with safety
1. NHTSA
2. FMCSA
II. FMCSA proposal to require all commercial motor vehicles to bear
a FMVSS certification label
III. NHTSA draft policy statement on retroactive certification of
the compliance of commercial motor vehicles with the FMVSSs
IV. Companion NHTSA actions
V. Request for comments
VI. Rulemaking analysis and notices
VII. Submission of comments
Appendix to Preamble--FMVSSs applicable to commercial motor vehicles
Text to be added to the Code of Federal Regulations
I. Background
A. NAFTA Provisions for Cross Border Operation of Commercial Motor
Vehicles
On December 17, 1992, the United States, Canada and Mexico signed
the North American Free Trade Agreement (NAFTA). Following
Congressional approval, the Agreement entered into force on January 1,
1994.
Since 1982, a statutory moratorium in the United States on the
issuance operating authority to Mexico-domiciled motor carriers had,
with a few exceptions, limited the operations of such carriers to
municipalities and commercial zones along the United States-Mexico
border (``border zone''). Annex I of NAFTA called for liberalization of
access for Mexico-domiciled motor carriers on a phased schedule.
Pursuant to this schedule, Mexico-domiciled charter and tour bus
operations were permitted beyond the border zone on January 1, 1994.
Truck operations were to have been permitted in the four United States
border states in December 1995, and throughout the United States on
January 1, 2000; scheduled bus operations were to have been permitted
throughout the United States on January 1, 1997.
Because of concerns about safety, the United States postponed
implementation with respect to Mexico-domiciled truck and scheduled bus
service and continued its blanket moratorium on processing applications
[[Page 12791]]
by these Mexico-domiciled motor carriers for authority to operate in
the United States outside the border zone. On February 6, 2001, a NAFTA
dispute resolution panel ruled that the blanket moratorium violated the
United States' commitments under NAFTA.
B. Implementation of the NAFTA Provisions in a Manner Consistent With
Safety
The Department of Transportation (DOT) is now preparing for the
implementation of these NAFTA provisions. The Department's NHTSA and
FMCSA are committed to taking the steps necessary to ensure that the
NAFTA provisions are implemented in a manner consistent with the
interests of safety.
1. NHTSA
While NHTSA does not have any enforcement authority over motor
carriers, it does administer a statute that affects the operations in
the United States of motor carriers domiciled in other countries. The
statute requires that motor vehicles manufactured for sale in the
United States or imported into the United States, i.e., vehicles that
are driven on the public roads and highways of the United States, be
manufactured so as to reduce the likelihood of motor vehicle crashes
and of deaths and injuries when crashes do occur. That statute is the
National Traffic and Motor Vehicle Safety Act of 1966 (``Vehicle Safety
Act'') (codified as 49 U.S.C. 30101, et seq.).
One of the agency's most important functions under that Act is to
issue and enforce the FMVSSs. Many of these standards specify safety
performance requirements for motor vehicles, while others do so for
items of motor vehicle equipment. Manufacturers of motor vehicles must
certify compliance with all applicable safety standards and permanently
affix a label to each vehicle stating that the vehicle complies with
all applicable FMVSSs.\1\
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\1\ The Vehicle Safety Act requires that motor vehicle
manufacturers certify the compliance of motor vehicles with the
FMVSS before introducing them into interstate commerce, offering
them for sale or selling them. Vehicles are not subject to pre-
introduction, pre-offer, or pre-sale approval by NHTSA.
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The Vehicle Safety Act specifies that:
A manufacturer or distributor of a motor vehicle or motor
vehicle equipment shall certify to the distributor or dealer at
delivery that the vehicle or equipment complies with the applicable
motor vehicle safety standards prescribed under this chapter. A
person may not issue a certificate if, in exercising reasonable
care, the person has reason to know the certificate is false or
misleading in a material respect. Certification of a vehicle must be
shown by a label or tag permanently fixed to the vehicle.
(49 U.S.C. 30115.)
The Vehicle Safety Act further provides that, subject to specific
exemptions,\2\
\2\ For example, our regulations provide that exemptions may be
issued for motor vehicles or items of motor vehicle equipment that
are necessary for research, investigations, demonstration, training,
competitive racing events, show, or display; vehicles being
temporarily imported for personal use; and vehicles being
temporarily imported by individuals who are attached to the military
or diplomatic service of another country or to an international
organization (49 CFR Part 591, Importation of Vehicles and Equipment
Subject to Federal Safety, Bumper and Theft Prevention Standards.)
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a person may not manufacture for sale, offer to sell, introduce
or deliver for introduction in interstate commerce, or import into
the United States, any motor vehicle or motor vehicle equipment
manufactured on or after the date an applicable motor vehicle safety
standard * * * takes effect unless the vehicle or equipment complies
with the standard and is covered by a certification issued under
section 30115 of this title.
(49 U.S.C. 30112.)
Since 1975, NHTSA has interpreted this provision of section 30112
as applying to all vehicles entering the United States. In a letter
from the NHTSA Administrator to the Canadian Trucking Association, the
agency stated that commercial vehicles transporting cargo into and
within the United States are imports within the context of 49 U.S.C.
30112 and must be certified.\3\ Although the 1975 letter did not
address the issue of Mexico-domiciled motor carriers, its rationale
applied equally to those carriers.
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\3\ See letter dated May 9, 1975 from NHTSA Administrator James
B. Gregory to M. C. Carruth, Docket No. NHTSA-02-11594.
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In 1995, DOT publicized this interpretation in connection with its
efforts to prepare for the implementation of NAFTA. DOT did so by
incorporating the interpretation in a NAFTA Operating Requirements
Handbook, which was printed in three languages and distributed to all
participants at a North American Free Trade Agreement (NAFTA)
conference held in San Antonio, TX on November 14-16, 1995. The
handbook stated that all commercial vehicles entering the United States
must have been manufactured in compliance with all applicable FMVSSs
and must bear a label certifying such compliance. A list of the FMVSSs
that are applicable to commercial motor vehicles, as well as a brief
synopsis of those standards, may be found in the appendix to the
preamble of this document. (We have placed a copy of the relevant
portions of the Handbook in the docket for this document.)
Following the decision of the NAFTA panel in February of this year,
NHTSA reviewed its 1975 interpretation. As noted below in the section
on ``Companion NHTSA actions,'' after consulting with the Office of
Regulations and Rulings of the United States Customs Service (USCS),
NHTSA has reaffirmed that interpretation and is seeking public comment
on codifying it in the Code of Federal Regulations.
2. FMCSA
FMCSA is the agency within the Department of Transportation that is
responsible for oversight of commercial motor carriers. It regulates
the operation of vehicles used to transport both cargo (primarily on
heavy trucks and trailers) and passengers (primarily in heavy buses).
Its regulations address both the commercial motor vehicles and drivers
of those vehicles. The regulations also require commercial motor
carriers, i.e., those businesses that engage in the transport of cargo
or passengers, to meet specified operating requirements.
The condition of safety equipment and features on commercial motor
vehicles is governed by 49 CFR Part 393, Parts and Accessories
Necessary for Safe Operation. The Federal Motor Carrier Safety
Regulations (FMCSRs) in Part 393 currently cross-reference most of the
FMVSSs applicable to heavy trucks and buses. (Part 393 does not
currently require that commercial motor vehicles have a FMVSS
certification label.) The FMCSRs require that motor carriers operating
in the United States, including Mexico-domiciled carriers, must
maintain much of the safety equipment and features that NHTSA requires
vehicle manufacturers to install.
Generally, enforcement of the FMVSSs incorporated in the FMCSRs by
FMCSA and its Motor Carrier Safety Assistance Act grant partners is
accomplished through roadside inspections. If the violations are
discovered during a roadside inspection, a citation may be issued under
Part 393 or conforming State laws and regulations. If violations are
serious enough to meet the out-of-service criteria used in roadside
inspections (i.e., the condition of the vehicle is likely to cause a
crash or cause the vehicle to break down), the vehicle would be placed
out of service until the necessary repairs are made. The roadside
inspection procedure is the same for all commercial motor vehicles
operated in the United States, regardless
[[Page 12792]]
of the country in which a motor carrier is domiciled. The FMCSA also
has the option of imposing civil penalties for violations of Part 393.
Any violations of the FMVSSs that also constitute violations of Part
393 could subject motor carriers to a maximum civil penalty of up to
$10,000 per violation. FMCSA has the statutory authority to prohibit
the operation of commercial motor vehicles by motor carriers that fail
to pay civil penalties for violations of the FMCSRs.
If the FMCSA determines that a Mexico-domiciled carrier is
operating vehicles that do not comply with the applicable FMVSSs, this
information could be used to take appropriate enforcement action
against the carrier for making a false certification on its application
under 49 CFR Part 365, Rules Governing Applications for Operating
Authority, for a Certificate of Registration or operating authority.
Such action could include suspension or even revocation of such
registration or authority.
FMCSA is issuing four final rules to ensure that the interests of
safety are protected in granting authority for Mexico-domiciled motor
carriers to operate within the United States. Two of the final rules
revise FMCSA's regulations and the forms governing applications by
those carriers for such authority. The forms require additional
information about each applicant's business and operating practices to
help FMCSA to determine if the applicant is capable of meeting the
safety requirements established for operating in interstate commerce in
the United States. Among other things, a carrier must certify on its
application form that its vehicles were manufactured in compliance with
the applicable FMVSSs. The third final rule, being issued on an interim
basis, establishes a safety monitoring system and compliance initiative
to further aid FMCSA in determining whether Mexico-domiciled carriers
applying to operate anywhere in the United States have the capability
to comply with applicable safety regulations and conduct safe
operations. The fourth final rule, also being issued on an interim
basis, establishes procedures to certify and maintain certification for
auditors and investigators.
II. FMCSA Proposal To Require All Commercial Motor Vehicles Have a
FMVSS Certification Label
FMCSA is taking steps to help enforce the prohibition against
importing into this country motor vehicles that do not have labels
certifying their compliance with the FMVSSs. Specifically, FMCSA is
proposing to amend Part 393 to require that all commercial motor
vehicles operating within the United States, including those operated
by Canada- and Mexico-domiciled carriers, bear a FMVSS certification
label. As with all existing requirements in Part 393, the new
requirement would apply to all commercial motor vehicles engaged in
transporting passengers or cargo in the United States, regardless of
where they are domiciled. If Part 393 is ultimately amended to include
a requirement that each commercial motor vehicle have a FMVSS
certification label, civil penalties could be assessed against a motor
carrier operating a vehicle without a FMVSS certification label.
However, FMCSA would not place a commercial motor vehicle out of
service solely because it lacks a FMVSS certification label, since such
a violation would not meet the out-of-service criteria established by
that agency.
III. NHTSA Draft Policy Statement on Retroactive Certification of
Commercial Motor Vehicles With the FMVSSs
NHTSA has been advised that many of the vehicles currently operated
by Mexico- and Canada-domiciled motor carriers may meet all applicable
FMVSSs even if they were manufactured for use in Mexico and Canada and
thus were not required to, and do not, bear a FMVSS certification
label. In general, these are vehicles that were built at the same
assembly plants and according to the same design specifications as
vehicles manufactured for sale in the United States and certified to
the FMVSSs. They may bear a label certifying compliance to Canadian
standards or, in the instance of vehicles manufactured for the Mexican
market, may bear no certification label at all. If these vehicles were
manufactured to comply with the FMVSSs, they could be as safe as
vehicles manufactured for sale in the United States. Nevertheless, it
would be a violation of the Vehicle Safety Act to bring these vehicles
into the United States because they do not bear a FMVSS certification
label.
The agency already has an informal policy in place that addresses a
similar situation. Since 1999, NHTSA has allowed, in certain
circumstances, Canadian vehicle manufacturers to place certification
labels retroactively on previously leased passenger cars and light
trucks that would have met all applicable FMVSSs after minor
modifications, such as changing the odometer from mph to km/h. These
leased vehicles were essentially identical to ones manufactured for
sale in the United States by the same manufacturers.
We note that only those manufacturers that have produced vehicles
for sale in the United States are likely to have generated the type of
data and analysis necessary to enable them to certify their vehicles to
the FMVSSs, whether contemporaneously or retroactively.
NHTSA and FMCSA representatives met with representatives of the
Mexican and Canadian governments, and Mexican manufacturers and
trucking industry associations, in Mexico City on June 20, 2001. NHTSA
and FMCSA were told then by Mexican vehicle manufacturers that many
Mexican commercial vehicles built since 1994 were built in conformity
with applicable FMVSSs. NHTSA was advised that of the approximately
400,000 trucks and buses that operate on the Federal roads in Mexico,
about 130,000 may comply with all applicable FMVSSs. Most of these
130,000 trucks and buses, however, do not have a FMVSS certification
label because it is not required for vehicles manufactured for sale in
Mexico.
NHTSA, FMCSA, USCS, the Environmental Protection Agency and
Transport Canada conducted a follow-up seminar in Mexico on August 2-3,
2001, to tell representatives of Mexican vehicle manufacturers and the
motor carrier industry about the requirements of the United States.
During the seminar, the Mexican vehicle manufacturers indicated that
they would consider affixing a certification label retroactively,
depending on the results of their review of vehicle test data, and on
their ability to make a determination that a particular vehicle or
group of vehicles met all applicable FMVSSs in effect on the date of
manufacture.
NHTSA tentatively concludes that extending the agency's policy on
retroactive certification to vehicles that are engaged in the transport
of goods or passengers across Canadian or Mexican borders would
facilitate the compliance of Mexico- and Canada-domiciled motor
carriers with the requirement for operating FMVSS-certified vehicles in
the United States, without any adverse effects on safety, while also
helping the United States to meet its obligations under NAFTA. Absent
such an extension, Mexico- and Canada-domiciled carriers could not use
any of their existing vehicles lacking a FMVSS certification label in
the United States, even those that complied with the FMVSSs at the time
of their manufacture.
[[Page 12793]]
Under NHTSA's draft policy statement, a manufacturer wishing to
certify a commercial motor vehicle retroactively and affix a FMVSS
certification label to that vehicle would have to assure itself that
the vehicle did, in fact, comply with all applicable FMVSSs in effect
at the time of original manufacture or that it could be readily
modified so that the vehicle, as modified, would have met the standards
in effect at the time the vehicle was originally manufactured.
In order to certify compliance retroactively, it is likely that the
manufacturer would engage in a multi-step evaluation process. In most,
if not all, cases, it would need to identify a substantially similar
vehicle (``paired vehicle'') that it certified, at the time of
manufacture, as complying with all applicable FMVSSs and then determine
whether there are any design, production, or other differences between
the paired vehicle and the candidate vehicle. This determination would
likely include an assessment of whether the component parts of the two
vehicles are substantially similar. A manufacturer would then need to
determine whether any of those differences preclude the candidate
vehicle from being in compliance with all applicable FMVSSs. If
modifications were needed to bring the vehicle into compliance with
applicable FMVSSs, the manufacturer would have to make those
modifications. Likewise, if either NHTSA or the manufacturer had
decided, subsequent to the certification of the paired vehicle, that
that vehicle did not comply with one or more applicable FMVSSs, the
manufacturer would have to correct any similar noncompliances in the
candidate vehicle before certifying compliance.
Once the evaluation process is complete and the manufacturer has
made any necessary repairs or modifications, it may apply the
retroactive certification label to the commercial motor vehicle. The
label must be applied by the manufacturer because the certification
responsibility belongs to the vehicle manufacturer under the Vehicle
Safety Act. The label cannot be applied by other parties such as owner,
lessee, or operator of the vehicle. The label must meet the
requirements of Part 567. It must state the month and year of original
manufacture of the vehicle. It must also state the month and year in
which it was affixed to the vehicle.
NHTSA anticipates that the need for retroactive certification of
commercial vehicles will eventually disappear. The expanded policy is
intended to be a short-term solution to a short-term problem. In the
long run, the simplest course of action for Mexico- and Canada-
domiciled motor carriers would be to buy or lease vehicles certified at
the time of manufacture as complying with all applicable FMVSSs.
Likewise, the simplest course of action for Mexican and Canadian
vehicle manufacturers would be to place FMVSS certification labels on
any FMVSS compliant vehicles at the time of manufacture even if they
are not certain whether the vehicles will be used in cross-border
operations. NHTSA believes that manufacturers will quickly be able to
determine whether vehicles they are currently manufacturing comply with
all applicable FMVSS, and to bring them into compliance promptly if
they are not. Thus, the opportunity under the expanded policy to
certify commercial vehicles retroactively would be limited to vehicles
manufactured before August 31, 2002. Additionally, NHTSA believes
manufacturers do not need an unlimited amount of time to determine
whether existing vehicles complied with all applicable safety standards
in effect at the time of manufacture. Likewise, motor carriers do not
need an unlimited amount of time to determine whether they need to
request a manufacturer to retroactively certify a particular vehicle.
Accordingly, NHTSA is proposing to terminate this policy of allowing
retroactive certification for commercial vehicles on September 1, 2005.
If a motor carrier wishes to use a heavy truck or bus manufactured
after August 31, 2002 in its operations within the United States, the
vehicle would be required to comply with the applicable FMVSS and have
a FMVSS certification label applied by the vehicle manufacturer at the
time of manufacture. If the carrier does not intend to operate the
vehicle in the United States, then there would, of course, be no
requirement that the vehicle bear a FMVSS certification label.
Vehicle manufacturers would not be required to retroactively
certify the compliance of a motor vehicle and in many instances would
be unable to do so. This inability would stem from the fact that the
certification of a vehicle would in most, if not all, cases be based on
data that the manufacturer generated at the time the vehicle was
originally built. As a practical matter, only those manufacturers that
produced and certified substantially similar vehicles for sale in the
United States at the same time that the non-certified vehicle was
manufactured are likely to have generated this information.
Should a vehicle manufacturer decline to certify a motor carrier's
vehicle retroactively, the carrier may be able to have the vehicle
certified by a registered importer. An individual or business
registered with NHTSA as a registered importer under 49 CFR Part 592,
Registered Importers of Vehicles Not Originally Manufactured to Conform
to the Federal Motor Vehicle Safety Standards, may import non-complying
motor vehicles into the United States. However, a registered importer
may do so only if NHTSA has determined under 49 CFR Part 593,
Determinations that a Vehicle Not Originally Manufactured to Conform to
the Federal Motor Vehicle Safety Standards is Eligible for Importation,
that the vehicles are capable of being readily altered to comply with
all applicable standards in effect at the time the vehicle is imported.
As of this date, NHTSA has not made any such determination regarding
any vehicle that would be covered by the draft policy statement.
Furthermore, the registered importer must provide the Federal
Government with a bond equal to 1.5 times the dutiable value of the
vehicle before it can be imported and must bring the vehicle into full
compliance before any vehicle may be sold or released for highway use
and the bond released. For detailed information on NHTSA's registered
importer program, please refer to http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=http://www.nhtsa.dot.gov/cars/rules/maninfo/.
IV. Companion NHTSA Actions
As noted above, in two separate documents, NHTSA will be proposing
recordkeeping requirements for manufacturers that retroactively certify
vehicles, and to codify its interpretation of the term ``import,'' as
used in the Vehicle Safety Act. The first document will propose
requiring that manufacturers that retroactively certify their vehicles
maintain information sufficient to identify those vehicles. This
information would include any vehicle identification number (VIN) on
each vehicle, or comparable information if the vehicle does not have a
VIN. The other document will discuss the basis for our 1975
interpretation of the term ``import'' as including bringing commercial
vehicles into the United States for the purpose of transporting cargo
or passengers, and propose to codify that interpretation in Part 591.
V. Request for Comments
This draft policy statement is not subject to the notice and
comment requirements of the Administrative Procedure Act (5 U.S.C.
553(b)(A)).
[[Page 12794]]
Nevertheless, NHTSA is seeking public comment on the draft statement
before publishing a final version.
(1) Please comment on whether a termination date of August 31, 2005
would provide sufficient time to accommodate the needs of the Mexico-
and Canada-domiciled motor carriers.
(2) Please comment on whether retroactive certification should be
permitted in instances in which the vehicle must be modified
significantly, such as modifications that would entail additional
testing by the manufacturer to assure that the vehicle, as modified,
would have complied with the FMVSSs in effect when the vehicle was
originally manufactured.
VI. Rulemaking Analyses and Notices
A. Executive Order 12866 and DOT Regulatory Policies and Procedures
NHTSA has considered the impact of this draft policy statement
under Executive Order 12866 and the Department of Transportation's
regulatory policies and procedures. This draft policy statement was not
reviewed by the Office of Management and Budget under E.O. 12866,
``Regulatory Planning and Review.'' This action is not ``significant''
under the Department of Transportation's regulatory policies and
procedures.
This draft policy statement would not mandate compliance with any
new requirements or the expenditure of any resources. Instead, it would
facilitate compliance with the requirement in the Vehicle Safety Act
for imported vehicles to be certified as complying with all applicable
FMVSS and with a proposal that FMCSA will issue to require that all
commercial motor vehicles operating in the United States to be so
certified.
B. Regulatory Flexibility Act
NHTSA has considered the effects of this draft policy statement
under the Regulatory Flexibility Act. I hereby certify that it would
not have a significant economic impact on a substantial number of small
entities. The statement would primarily affect manufacturers of motor
vehicle, and secondarily affect motor carriers. Few motor vehicle
manufacturers qualify as small businesses.
The Small Business Administration's regulations define a small
business, in part, as a business entity ``which operates primarily
within the United States.'' (13 CFR part 121.105(a)) SBA's size
standards are organized according to Standard Industrial Classification
Codes (SIC). SIC Code 3711 ``Motor Vehicles and Passenger Car Bodies''
has a small business size standard of 1,000 employees or fewer. SIC
Code 3714 ``Motor Vehicle Parts and Accessories'' has a small business
size standard of 750 employees or fewer.
As noted above, this draft policy statement would not mandate
compliance with any new requirements or the expenditure of any
resources. Instead, it would facilitate compliance with the requirement
in the Vehicle Safety Act for imported vehicles to be certified as
complying with all applicable FMVSS and with a proposal that FMCSA will
issue to require that all commercial motor vehicles operating in the
United States to be so certified.
C. National Environmental Policy Act
NHTSA has analyzed this draft policy statement for the purposes of
the National Environmental Policy Act and determined that it would not
have any significant impact on the quality of the human environment.
D. Executive Order 13132 (Federalism)
The agency has analyzed this draft policy statement in accordance
with the principles and criteria contained in Executive Order 13132 and
has determined that it would not have sufficient Federal implications
to warrant consultation with State and local officials or the
preparation of a federalism summary impact statement. The statement
would not have any substantial impact on the States, or on the current
Federal-State relationship, or on the current distribution of power and
responsibilities among the various local officials.
E. Unfunded Mandates Act
The Unfunded Mandates Reform Act of 1995 requires agencies to
prepare a written assessment of the costs, benefits and other effects
of proposed or final rules that include a Federal mandate likely to
result in the expenditure by State, local or tribal governments, in the
aggregate, or by the private sector, of more than $100 million annually
(adjusted annually for inflation with base year of 1995). Adjusting
this amount by the implicit gross domestic product price deflator for
the year 2000 results in $109 million (106.99/98.11=1.09). The
assessment may be included in conjunction with other assessments.
This draft policy statement would not mandate any expenditures by
State, local or tribal governments.
VII. Submission of Comments
How Do I Prepare and Submit Comments?
Your comments must be written and in English. To ensure that your
comments are correctly filed in the Docket, please include the docket
number of this document in your comments.
Your comments must not be more than 15 pages long. (49 CFR 553.21).
We established this limit to encourage you to write your primary
comments in a concise fashion. However, you may attach necessary
additional documents to your comments. There is no limit on the length
of the attachments.
Please submit two copies of your comments, including the
attachments, to Docket Management at the address given above under
ADDRESSES.
How Can I Be Sure That My Comments Were Received?
If you wish Docket Management to notify you upon its receipt of
your comments, enclose a self-addressed, stamped postcard in the
envelope containing your comments. Upon receiving your comments, Docket
Management will return the postcard by mail.
How Do I Submit Confidential Business Information?
If you wish to submit any information under a claim of
confidentiality, you should submit three copies of your complete
submission, including the information you claim to be confidential
business information, to the Chief Counsel, NHTSA, at the address given
above under FOR FURTHER INFORMATION CONTACT. In addition, you should
submit two copies, from which you have deleted the claimed confidential
business information, to Docket Management at the address given above
under ADDRESSES. When you send a comment containing information claimed
to be confidential business information, you should include a cover
letter setting forth the information specified in our confidential
business information regulation. (49 CFR part 512.)
Will the Agency Consider Late Comments?
We will consider all comments that Docket Management receives
before the close of business on the comment closing date indicated
above under DATES. To the extent possible, we will also consider
comments that Docket Management receives after that date. If Docket
Management receives a comment too late for us to consider it in
developing a final rule (assuming that one is issued), we will consider
that comment as an informal suggestion for future rulemaking action.
[[Page 12795]]
How Can I Read the Comments Submitted by Other People?
You may read the comments received by Docket Management at the
address given above under ADDRESSES. The hours of the Docket are
indicated above in the same location.
You may also see the comments on the Internet. To read the comments
on the Internet, take the following steps:
Go to the Docket Management System (DMS) Web page of the Department
of Transportation (http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=http://dms.dot.gov/).
On that page, click on ``search.''
On the next page (http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=http://dms.dot.gov/search/), type in the four-
digit docket number shown at the beginning of this document. Example:
If the docket number were ``NHTSA-1998-1234,'' you would type ``1234.''
After typing the docket number, click on ``search.''
On the next page, which contains docket summary information for the
docket you selected, click on the desired comments. You may download
the comments.
Please note that even after the comment closing date, we will
continue to file relevant information in the Docket as it becomes
available. Further, some people may submit late comments. Accordingly,
we recommend that you periodically check the Docket for new material.
Appendix to Preamble--FMVSS Applicable to Commercial Motor Vehicles
The following table sets forth the FMVSSs that are applicable to
heavy trucks, heavy buses (other than school buses), and trailers. A
brief synopsis of each standard is presented after the table. All
three vehicle classifications apply to vehicles with a gross vehicle
weight rating greater than 4,536 kg. While there may be some
commercial motor vehicles that are not classified as a heavy truck,
heavy bus, or trailer, the vast majority of commercial motor
vehicles will fit into one of these categories.
----------------------------------------------------------------------------------------------------------------
FMVSS Title Heavy trucks Heavy buses Trailers
----------------------------------------------------------------------------------------------------------------
101................. Controls and displays... yes................. yes................. no.
102................. Transmission shift lever yes................. yes................. no.
device.
103................. Windshield defrosting yes................. yes................. no.
and defogging.
104................. Windshield wiping and yes................. yes................. no.
washing.
105................. Hydraulic and electric yes *............... yes*................ no.
brake systems.
106................. Brake hoses............. yes................. yes................. yes.
108................. Lamps, reflective yes................. yes................. yes.
devices, and associated
equipment.
111................. Rearview mirrors........ yes................. yes................. no.
113................. Hood latch systems...... yes................. yes................. no.
116................. Hydraulic brake fluids.. yes *............... yes *............... yes.
119................. New pneumatic tires for yes................. yes................. yes.
vehicles other than
passenger cars.
120................. Tire selection and rims yes................. yes................. no.
for vehicles other than
passenger cars.
121................. Air brake systems....... yes**............... yes**............... yes. **
124................. Accelerator control yes................. yes................. no.
systems.
205................. Glazing materials....... yes................. yes................. no.
206................. Door locks and retention yes................. no.................. no.
systems.
207................. Seating systems......... yes................. yes................. no.
208................. Occupant crash yes................. yes................. no.
protection.
209................. Seat belt assemblies.... yes................. yes................. no.
210................. Seat belt assembly yes................. yes................. no.
anchorages.
217................. Bus emergency exits and no.................. yes................. no.
window retention.
223................. Rear impact guards...... no.................. no.................. yes.
224................. Rear impact protection.. no.................. no.................. yes.
302................. Flammability of interior yes................. yes................. no.
materials.
304................. CNG tanks............... yes++............... yes++............... no.
----------------------------------------------------------------------------------------------------------------
*If equipped with hydraulic brakes.
**If equipped with air brakes.
++If engine is powered by CNG.
Synopsis of FMVSSs Applicable to Heavy Trucks, Buses and Trailers
FMVSS No. 101, Controls and Displays
Effective date: September 1, 1972.
Recent amendments: None.
Requirements for new heavy trucks and buses:
Equipment: If equipped with a control listed in the standard,
shall meet the requirements for the location, identification, and
illumination of the control. No requirements exist for displays,
e.g., hazard warning telltale. Examples of controls: Turn signal,
windshield defroster, and heating and air conditioning system.
Location: Controls must be operable by the driver wearing his/
her seat belt.
Identification: Symbol, if listed in the standard; wording if
stated in the standard.
Illumination: For the controls listed in the standard with some
exceptions, e.g., controls that are foot operated or located on the
floor, floor console, or steering column, or in the windshield
header area. Brightness must be adjustable.
FMVSS No. 102, Transmission Shift Lever Sequence, Starter
Interlock, and Transmission Braking Effect
Effective date: September 1, 1968.
Recent amendments: None.
Requirements for new heavy trucks and buses:
Equipment: If equipped with an automatic transmission, must have
a transmission braking effect, starter interlock, and identification
of shift lever positions. If equipped with a manual transmission,
must identify the shift pattern. Automatic transmission shift lever
identification: The position selected, e.g., drive, and other
positions, e.g., neutral, in front of and in clear view of the
driver. Manual transmission shift pattern: All except 3-speed, H
pattern, in driver's view.
FMVSS No. 103, Windshield Defrosting and Defogging Systems
Effective date: January 1, 1968.
Recent amendments: None.
Requirements for new heavy trucks and buses:
Equipment: A defrosting and defogging system.
FMVSS No. 104, Windshield Wiping and Washing Systems
Effective date: January 1, 1968.
Recent amendments: None.
Requirements for new heavy trucks and buses:
Equipment: Power driven windshield wipers and washer system.
FMVSS No. 105, Hydraulic and Electric Brake Systems
Effective date: September 1, 1983.
Recent amendments: Brakes must have automatic adjustment,
October 20, 1993.
[[Page 12796]]
Antilock brake system equipment requirement, effective March 1,
1999.
Requirements for new heavy trucks and buses:
Equipment: Service brakes on all wheels, automatic adjusters
(drum type brakes), and an antilock brake system that directly
controls the wheels of at least one front and rear axle.
FMVSS No. 106, Brake Hoses
Effective date: January 1, 1968.
Recent amendments: None.
Requirements for new heavy trucks, trailers, and buses:
Equipment: Aftermarket hoses must be labeled according to the
standard.
FMVSS No. 108, Lamps, Reflective Devices, and Associated Equipment
Effective date: January 1, 1968.
Recent amendments: Conspicuity systems: trailers must be
equipped with retroreflective sheeting and/or reflectors, December
1, 1993; truck tractors, July 1, 1997.
Requirements for new heavy trucks, trailers, and buses:
Equipment: As shown in the wall poster, the lamps, reflective
devices, and associated equipment, e.g., retroreflective strips and/
or reflex reflectors for the rear of trailers and truck tractors and
the side of trailers, must be located as specified in the standard.
FMVSS No. 111, Rearview Mirrors
Effective date: January 1, 1968.
Recent amendments: None.
Requirements for new heavy trucks and buses:
Equipment: Outside mirrors of unit magnification, each with not
less than 323 sq cm of reflective surface, on both sides of the
vehicle, adjustable both in the horizontal and vertical directions
to view the rearward scene.
FMVSS No. 113, Hood Latch Systems
Effective date: January 1, 1969.
Recent amendments: None.
Requirements for new heavy trucks and buses:
Equipment: Each hood must have a hood latch system; a front
opening hood that could obstruct the driver's view must have a
second latch.
FMVSS No. 116, Hydraulic Brake Fluid
Effective date: January 1, 1968.
Recent amendments: None.
Requirements for new heavy trucks, buses, and trailers, if
equipped with hydraulic brakes:
Equipment: Fluid used in these vehicles must have been
manufactured and packaged according to the requirements in the
standard.
FMVSS No. 119, New Pneumatic Tires for Vehicles Other Than
Passenger Cars.
Effective date: March 1, 1975.
Recent amendments: None.
Requirements for new heavy trucks, trailers, and buses:
Equipment: Tires on these vehicles must have required markings,
e.g., the symbol DOT certifying that the tire complies with
applicable FMVSS, tire identification number, tire size designation,
maximum load rating and corresponding inflation pressure, any speed
restriction, the number of plies and ply composition, the words
``tubeless'' or ``tube type,'' ``regroovable,'' and ``radial,'' as
applicable, and the letter designating load range.
FMVSS No. 120, Tire Selection and Rims for Motor Vehicles Other
Than Passenger Cars
Effective date: August 1, 1976.
Recent amendments: None.
Requirements for heavy trucks, trailers, and buses:
Equipment: Sum of tire load ratings of tires on an axle must be
equal to or greater than the axle's GAWR; rims must be permanently
marked including size, e.g., 20 x 5.5 (inches) and DOT; a label on
the vehicle must display, for each axle, a tire size and inflation
pressure appropriate for the GAWR.
FMVSS No. 121, Air Brake Systems
Effective date: January 1, 1975; Note: stopping distance
requirements rescinded effective August 9, 1979, but reinstated as
shown below.
Recent amendments:
Equipment: Brakes must have automatic adjustment, October 20,
1994. Antilock brake system including malfunction indicator required
for truck tractors, March 1, 1997, and for trucks and buses, March
1, 1998. Vehicles that tow another air-braked vehicle shall have an
electrical circuit for the other vehicle's ABS. Towing vehicles
shall have an electrical circuit for indicating a malfunction in the
other vehicle's ABS, March 1, 2001. ABS on trailers and malfunction
signal, March 1, 1998, and external malfunction indicator lamp, from
March 1, 1998 through end of February 2009.
Requirements for new heavy trucks and buses:
Equipment: Compressor, reservoirs, towing vehicle protection,
pressure gauge, warning signal, ABS with malfunction indicator,
brakes on all wheels, automatic brake adjustment with indicator.
Requirements for new trailers with air brakes:
Equipment: Reservoirs, ABS with malfunction signal and external
lamp, brakes on all wheels, automatic brake adjustment with
indicator.
FMVSS No. 124, Accelerator Control Systems
Effective date: September 1, 1993.
Recent amendments: None.
Requirements for new heavy trucks and buses:
Equipment: At least two sources of energy returning throttle to
idle.
FMVSS No. 205, Glazing Materials
Effective date: January 1, 1968.
Recent amendments: None.
Requirements for new heavy trucks and buses:
Equipment: Must be labeled as to type, e.g., windshields must be
marked ``AS-1.''
FMVSS No. 206, Door Locks and Door Retention Components
Effective date: January 1, 1972.
Recent amendments: None.
Requirements for new heavy trucks:
Equipment: Side doors must have a fully latched and a secondary
latched position.
FMVSS No. 207, Seating Systems
Effective date: January 1, 1972.
Recent amendments: None.
Requirements for new heavy trucks (all seating positions) and
buses (driver's seat only):
Equipment: Vehicle must have a driver's seat; a hinged or
folding seat must have a self-locking device.
FMVSS No. 208, Occupant Crash Protection
Effective date: January 1, 1972.
Recent amendments: None.
Requirements for heavy trucks (all seats) and buses (driver's
seat only):
Equipment: Each seat shall be equipped with a Type 1 (lap) or
Type 2 (lap and shoulder) seat belt assembly that conforms to FMVSS
209. Seat belt assembly includes either an emergency locking
retractor or automatic locking retractor. If an automatic locking
retractor is used on a suspension seat, it must be attached to the
seat structure.
FMVSS No. 209, Seat Belt Assemblies
Effective date: March 1, 1967.
Recent amendments: None.
Requirements for new heavy trucks and buses:
Equipment: Each seat belt assembly shall be for use by one
person and must be adjustable to fit a range of occupant sizes from
5th percentile females to 95th percentile males; labeled as to date
of manufacture, model No., and trademark of manufacturer,
distributor, or importer.
FMVSS No. 210, Seat Belt Assembly Anchorages
Effective date: July 1, 1971.
Recent amendments: None.
Requirements for new heavy trucks (all seating positions) and
buses (driver's seat only):
Equipment: Anchorages located in the vehicle must be within the
dimensions and angles stated in the standard, referenced from the
seating reference point; anchorages for each seat belt assembly
shall be at least 165 mm apart.
FMVSS No. 217, Bus Emergency Exits and Window Retention and Release
Effective date: September 1, 1973.
Recent amendments: None.
Requirements for new heavy buses other than school buses:
Equipment: Total emergency exit area (unobstructed openings for
emergency exits) in sq cm must be at least 432 times the number of
designated seating positions on the bus; at least 40 percent of the
total area shall be on each side of the bus; no single exit is
credited with more than 3,458 sq cm; each bus shall have a rear exit
unless the bus configuration precludes one, then the bus shall have
a roof exit in the rear half of the bus; emergency exits can have
one or two release mechanisms, and at least one must be operated in
a different direction from the motion to open the exit by 90-180
degrees; each exit shall be labeled emergency exit or emergency door
and provide operating instructions.
[[Page 12797]]
FMVSS No. 223, Rear Impact Guards
Effective date: January 26, 1998.
Recent amendments: None.
Requirements for new trailers:
Equipment: Guard shall be permanently labeled, e.g.,
manufacturer's name and address, month and year of manufacture, and
must be certified by the symbol DOT, and located as specified in the
standard; installation instructions shall be provided specifying the
vehicles on which it can be installed and the method to properly
install it.
FMVSS No. 224, Rear Impact Protection
Effective date: January 26, 1998.
Recent amendments: None.
Requirements for new trailers:
Equipment: Rear impact guard meeting FMVSS 223 shall be
installed. Location and dimensional requirements are specified. Some
trailers are excluded.
FMVSS No. 302, Flammability of Interior Materials
Effective date: September 1, 1972.
Recent amendments: None.
Requirements for new heavy trucks and buses:
Equipment: Any single or composite material located within 13 mm
of the occupant compartment air space shall meet performance
requirements.
FMVSS No. 304, Compressed Natural Gas Fuel Container Integrity
Effective date: March 27, 1995.
Recent amendments: None.
Requirements for new heavy trucks and buses if operated using
CNG:
Equipment: Each CNG fuel container shall be labeled with the
manufacturer's name, address, and telephone number, month and year
of manufacture, service pressure, and other informational
statements. It must also be certified with the symbol DOT.
List of Subjects in 49 CFR Part 567
Imports, Motor vehicle safety, Motor vehicles.
In consideration of the foregoing, NHTSA proposes to amend 49 CFR
Part 567 as follows:
PART 567--CERTIFICATION
1. The authority citation for Part 567 continues to read as
follows:
Authority: 49 U.S.C. 322, 30111, 30115, 30117, 30166, 32502,
32504, 33101-33104, and 33109; delegation of authority at 49 CFR
1.50.
2. Add Appendix A to 49 CFR Part 567 to read as follows:
Appendix A to Part 567--Statement of Policy: Retroactive Certification
of Commercial Motor Vehicles
I. Agency policy on retroactive certification. It is the policy
of the National Highway Traffic Safety Administration to allow a
vehicle manufacturer to retroactively apply a label to a used
commercial motor vehicle that it originally manufactured, certifying
the compliance of that motor vehicle with all applicable Federal
motor vehicle safety standards that were in effect when the vehicle
was originally manufactured.
II. Application. This policy applies to commercial motor
vehicles that were manufactured for sale in Mexico or Canada before
August 31, 2002 and were not certified at the time that they were
originally manufactured as complying with all applicable Federal
motor vehicle safety standards. Any commercial motor vehicle
certified pursuant to this policy statement must be certified on or
before August 31, 2005.
III. Conditions. A vehicle manufacturer may retroactively
certify the compliance of a commercial motor vehicle with the
Federal motor vehicle safety standards if the manufacturer meets the
following conditions:
A. Determines that the vehicle complied with all applicable
Federal motor vehicle safety standards in effect at the time the
vehicle was originally manufactured, or has been modified such that
it complies with those standards.
B. Affixes a certification label meeting the requirements of 49
U.S.C. Sec. 30115 and 49 CFR Part 567. Such label shall state the
month and year of original manufacture and the month and year of the
retroactive certification.
C. Maintains any records required by NHTSA in 49 CFR Part 576,
Subpart B.
D. Provides, upon request, any records required by 49 CFR Part
576, Subpart B.
Issued on: March 6, 2002.
Kenneth N. Weinstein,
Associate Administrator for Safety Assurance.
[FR Doc. 02-5897 Filed 3-14-02; 8:45 am]
BILLING CODE 4910-59-P