Are you a manufacturer? Your federal safety certification responsibilities

Federal motor vehicle safety regulations directly affect your business — even if you are not an original equipment manufacturer (OEM) of vehicles. If you are a dealer (a person selling and distributing new motor vehicles or motor vehicle equipment primarily to purchasers that in good faith purchase the vehicles or equipment other than for resale), federal law prohibits you from selling, offering for sale, manufacturing for sale, importing or delivering a motor vehicle or motor vehicle equipment unless it complies with the Federal Motor Vehicle Safety Standards (FMVSS) in effect when it was built and is properly certified. Dealers have a responsibility and must be certain the vehicles they deliver are in compliance with FMVSS and properly certified. Any work you have done on a vehicle may affect its certification. Safety standard certification for dealers and alterers Repair facilities, dealers and upfitters must comply with various motor vehicle safety regulations. While National Highway Traffic Safety Administration (NHTSA) safety standards (and possible safety and defect recalls) are most commonly viewed as applicable to OEMs, all of those previous industry players (repair facilities, dealers and upfitters) are in numerous ways required to abide by the regulations at various stages of the vehicle’s life cycle. Do you install — or have installed — lift kits, snowplows, flatbeds, trailer hitches, partitions or shelving? Do you change wheels, tires or bumpers, mount winches, tint windows or any number of other alterations or modifications requested by customers? Did any of your work change the position or view of the rearview camera, or did the weight of the equipment you added change overall vehicle payload capacity by 100 pounds or more? Depending on what you’re doing and when, you likely have significant federal safety certification responsibilities that could even include requiring you to conduct a recall if something was done incorrectly or contrary to safety standards. Both upfitters and an OEM’s franchised dealer play vital roles in the safety certification of a motor vehicle. While dealers, in particular, are likely to be heavily involved in safety recalls initiated by an OEM, upfitters and dealers are responsible for their own actions and could end up conducting recalls and remedies based on those actions. It’s important to note, these responsibilities apply even if the vehicle already has been certified in the final stage. Any company that performs work on a vehicle after it has been certified by a final-stage manufacturer may have significant certification and safety responsibilities. It’s not just the vehicle OEM’s responsibility When a vehicle arrives at a dealership or upfitter facility, it may be completed or incomplete. Completed vehicles are those that are already certified to the FMVSS, either by the OEM or another final-stage manufacturer. If not, it is an incomplete vehicle and must be completed and certified before it can be delivered to the customer. Depending on vehicle status, the actions you take determine your responsibilities in the safety certification process. If the vehicle is certified in the final stage, it is ready to be sold to a customer. If you perform certain activities prior to the vehicle being sold and titled, you may have responsibilities as an alterer. Similar activities done after the vehicle has been sold and titled would qualify as modifications, which entail somewhat different responsibilities. If a vehicle arrives as an incomplete vehicle, you or someone else will need to complete and certify it in the final stage before it can be sold to an end user. A vehicle commonly arriving in an incomplete stage could be a chassis cab or cutaway chassis. Following are two key rules to note. Rule 1 — All vehicles must be certified in the final stage. Rule 2 — All manufacturing operations performed on a motor vehicle before the first retail sale for use (meaning licensed and titled in some U.S. state) must be certified. What am I Are you a dealer, upfitter, manufacturer, alterer or a modifier? The answer could be all of the above. The role you assume is based on actions you take and at what stage. For instance, if you install a flatbed on a new chassis cab, you would be a final-stage manufacturer with responsibility for certifying (and labeling) the vehicle in the final stage. Alterations, commonly performed by dealers, are actions taken after final-stage certification but before the vehicle has been registered and titled. Adding a snowplow to a new pickup or lift kit to an SUV, for instance, would be an alteration. An alterer is responsible for ensuring the vehicle, as altered, remains in compliance with the safety standards. You are also required to affix an altered vehicle certification label; additional labeling responsibilities are possible, depending on gross vehicle weight rating (GVWR). In the aforementioned examples, even though you are a dealer, you also become the final-stage manufacturer or alterer. If you perform those functions, you need to be registered with NHTSA for the stages of manufacturing you perform. Identifying your business as a manufacturer Whether completing new incomplete vehicles (as a final-stage manufacturer) or performing manufacturing operations on completed vehicles, prior to the first retail sale (as an alterer), you are a manufacturer and have a responsibility to identify your business under 49 CFR, Part 566. Manufacturers have the authority to certify the vehicles they complete or alter, and as you “name it to claim it,” your identification as a manufacturer provides you the authority to perform your certification duties. Not only is it mandated by federal regulation, purchasers such as leasing companies and private fleets occasionally require proof that the manufacturers of their vehicles fulfilled their requirements to submit the information in accordance with Part 566. Sometimes referred to as NHTSA registration, this is a one-time registration unless a business moves or makes relevant changes or additions to its product offerings. You can submit your organization’s identification information via the Manufacturer Portal at vpic.nhtsa.dot.gov/mfrportal. Many vehicle dealers are unaware some of the activities they perform frequently qualify them as manufacturers under NHTSA’s regulations. Being a franchised OEM dealer does not fulfill this registration requirement. Stages of manufacturing and certification A commercial vehicle or truck may have several certifications by multiple companies. Depending on the vehicle delivered to the dealer, it may be incomplete or complete, and thus have different labels. The responsibilities for final-stage manufacturers or alterers to certify, including labeling, the vehicles they build is recognizable for vehicles completed from incomplete vehicles like chassis cabs and cutaways that are intentionally produced with the need to have bodies and equipment added by a final-stage manufacturer. Like all motor vehicles, they must meet applicable FMVSS and emissions regulations. What is less obvious are the same responsibilities for modifications that have been performed on vehicles that are certified as completed vehicles, like pickups and SUVs completed by an OEM, or those completed by a final-stage manufacturer, that undergo altered stage manufacturing. Final-stage certification If the vehicle was sent from the OEM as an incomplete vehicle — stripped, cowl and cutaway chassis or chassis cab — it will have an incomplete vehicle document or manual (IVD or IVM), which includes a listing of each applicable safety standard followed by a conformity statement. It provides information and guidelines necessary for an analysis of each safety standard to assess what can or cannot be done to the incomplete vehicle in order to maintain OEM certification. An incomplete vehicle could also have an intermediate-stage certification (e.g., a dealer might send a new chassis cab — incomplete vehicle — to a truck equipment distributor/upfitter to lengthen the wheelbase and install a pusher axle but will send it elsewhere for later installation of a dump body). The upfitter lengthening the wheelbase and installing the axle would affix an intermediate-stage certification label, and the company installing the body would affix the final-stage label. Altered-stage certification Alteration refers to certain work done on a vehicle after being certified in the final stage but before the first retail sale for use (see Rule 2 on page 3, meaning licensed and titled in some U.S. state). If you receive a complete motor vehicle that has its complete vehicle certification from one or more manufacturers and you perform a manufacturing function that alters the vehicle prior to its first sale other than resale, you must Allow the original certification label to remain on the vehicle; Ascertain that the vehicle as altered conforms to the safety standards affected by the alterations; and Affix to the vehicle an altered vehicle certification label, and possibly a vehicle placard or load carrying capacity modification label. Altered certification regulations cover all manufacturing performed after the vehicle has been certified in the final stage and before the first purchase of the vehicle in good faith for purposes other than resale. It includes anything that affects a vehicle’s compliance with a safety standard or that invalidates the vehicle’s stated weight ratings. However, not all altering operations are considered (by the regulations) as manufacturing. Specifically, the addition, substitution or removal of readily attachable components (such as mirrors or tire and rim assemblies) or minor finishing operations (such as painting) are not considered manufacturing. However, in certain cases, these activities will affect compliance to specific safety standards, such as substituting tires and/or rims not designated by the OEM as one of the suitable combinations for that specific vehicle, and require additional certification and labeling by the alterer. For instance, a vehicle dealer has a new pickup truck sitting on the lot, and a customer is interested but needs a platform body. You figure the body swap is easy enough and complete it in the service department. You have now become an alterer (because you performed work on a final-stage vehicle not yet sold). As an alterer, you are required to ensure the vehicle continues to meet all applicable safety standards and must affix the proper alteration label to the truck. Had you installed the same platform body on a pickup chassis (it had been delivered by the factory without a bed and was certified as an incomplete vehicle), you would become the final-stage manufacturer and have the full certification responsibility of a motor vehicle manufacturer. FMVSS compliance and tools The ultimate goal of certification is to be able to represent the vehicles you manufacture comply with all applicable FMVSS and emissions requirements, based on vehicle type, GVWR and conformity date. As a final-stage manufacturer, you’ll have to determine which standards apply and how to ensure they’re met in the final configurations of vehicles you build. The base chassis will already meet certain FMVSS, but you’ll need to determine how to meet the remainder, while maintaining compliance with the others. As previously noted, incomplete vehicle manufacturers (chassis OEMs) are required to provide downstream manufacturers with an IVD. This is a very important tool, as it helps identify all FMVSS that apply and provides guidance for maintaining compliance to standards with which the chassis is already produced to comply, meeting those dependent on the vehicle being completed, and those which need to be fully determined by the final-stage manufacturer. Weight is a factor in the outcome of a number of different FMVSS tests. As such, numerous standards have weight and center of gravity limitations, detailed in OEM IVDs, that must be evaluated to determine compliance. Weight analyses are therefore an everyday function in the truck equipment industry, and NTEA provides a complimentary, online axle weight and center of gravity calculator to members (ntea.com/weightcalculator). Additionally, the Association offers the Commercial Vehicle Certification Guide as another resource to gain understanding of the certification process, including different labels. Visit ntea.com/vehiclecertification to learn more. As an alterer, you have effectively the same responsibility to ensure a compliant vehicle, but from a different starting point. Completed vehicles do not come with an IVD, but these documents can still provide relevant guidance to evaluate alterations made to these vehicles, relative to the standards that can be affected. Other helpful resources include OEM body builder books and technical bulletins. These publications provide a variety of detail and specifications for individual chassis models. Regardless of the stages of manufacturing in which you are engaged, there is no substitute for developing an understanding of the different FMVSS and how to ensure the vehicles you complete and/or alter comply. Final-stage manufacturers have the full complement of FMVSS to evaluate, but there are a number of standards that should be reviewed for alterations such as pickup box removal, snowplow installation, wheel and tire changes, and other truck personalization. These include, but are not limited to FMVSS 105: Hydraulic and Electric Brakes FMVSS 108: Lamps, Reflective Devices and Associated Equipment FMVSS 110: Tire Selection and Rims and Motor Home/Recreation Vehicle Trailer Load Carrying Capacity Information for Motor Vehicles with a GVWR of 4,536 Kilograms (10,000 pounds) or Less FMVSS 111: Rearview Mirrors and Rear Visibility Systems FMVSS 126: Electronic Stability Control Systems FMVSS 135: Light Vehicle Brake Systems FMVSS 201: Occupant Protection in Interior Impact FMVSS 204: Steering Control Rearward Displacement FMVSS 208: Occupant Crash Protection (in Frontal Impacts) FMVSS 212: Windshield Mounting F/CMVSS 214: Side Impact Protection FMVSS 216a: Roof Crush Resistance FMVSS 219: Windshield Zone Intrusion (upgraded) FMVSS 226: Ejection Mitigation FMVSS 301: Fuel System Integrity Maintaining compliance with these standards as an alterer requires numerous upfront considerations before performing manufacturing operations on new vehicles. Labels Below are typical label examples required as part of final- or altered-stage certification. For vehicles with a GVWR of 10,000 pounds or less that are completed from incomplete vehicles (e.g., chassis cabs, cutaways, stripped chassis or incomplete vans), the incomplete vehicle is not required to have a vehicle placard since the final-stage manufacturing process will change some of the information required on the it. Therefore, it’s the final-stage manufacturer’s responsibility to provide all necessary information on a new placard and affix it to the completed vehicle in one of the locations allowed by FMVSS 110. For vehicle alterations or other modifications to a completed vehicle that involve permanently installed equipment or any changes to the vehicle tires, the existing placard must be examined by the vehicle alterer/modifier to determine if any of the information has been invalidated by the alteration or other modifications. Note, there is a separate version of this label specific to trailers with a GVWR of 10,000 pounds or less, which does not refer to seating capacity or occupant weights. When altering or modifying a completed vehicle by only adding equipment to a previously certified vehicle (not changing tires or wheels) prior to its first retail sale, the manufacturer that previously completed the vehicle is required to affix a placard that includes capacity weight. If you are adding permanently attached equipment in excess of 1.5% times the GVWR or 100 pounds — whichever is less — to the vehicle, the existing load carrying capacity of the vehicle placard must be updated to reflect the reduced capacity. The most common option for correcting this value is the load carrying capacity modification label. The net increase in curb weight is communicated on this label, which is applied within 25mm of the vehicle placard. If the particular model has been tested under NCAP (New Car Assessment Program), an additional label will be needed to indicate that as altered, the Stars for Cars rating may no longer be applicable (see Altered Supplemental NCAP “Stars for Cars” Window Cling at ntea.com/shopntea). If the specific model has not been tested, it would not have a rating, and no supplemental labeling is required. A list of models rated under this program (and, therefore, requiring this label, if altered) is available at safercar.gov. You can search models assessed on this site, as well as a list of upcoming the agency plans to test. If the new vehicle is already on-site, check for a star rating on the Monroney Label (also known as the MSRP label or window sticker). Modifiers versus alterers The term modifier is often mixed in with certification terminology. A modifier is a person who works on a used vehicle (i.e., one that has been sold but is not intended for resale, licensed and titled). Modifications do not require a certification label, but a modifier does have a safety responsibility. For example, an owner purchases a pickup truck certified as complete by the vehicle manufacturer. After operating the vehicle for several months, the owner brings the vehicle to you to add a snowplow. Since the modifications were made after the first purchase of the vehicle for purposes other than resale, you have no obligation to provide further certification. While NHTSA’s certification regulations apply only to new motor vehicles, there are stipulations that apply to used vehicles. Federal law prohibits a manufacturer, distributor, dealer or motor vehicle repair business from knowingly making inoperative any part of a motor vehicle or motor vehicle equipment that is in compliance with an applicable safety standard. Also, manufacturing operations/modifications performed on used vehicles still subject the manufacturer/modifier to recall and remedy responsibilities. Therefore, any installation or work done on a used truck should be performed in the same manner as though it were to be certified. In other words, don’t do to a used vehicle what you would not do to a new one, just because you don’t have to certify and label it. Vehicle dealer responsibilities A dealer is prohibited (as is anyone) from manufacturing for sale, selling, offering for sale, importing or delivering a motor vehicle or motor vehicle equipment unless it complies with the FMVSS in effect when it was built and is covered by a certification. Under this section, dealers must be certain the vehicles they deliver are certified. As such, it’s important to understand the basics of certification and which certifications are required for a given vehicle. Liability concerns Every company in the manufacturing and distribution chain has liability concerns. Proper certification and documentation will help you to be prepared in the event you encounter any legal concerns. If you are a body or equipment manufacturer, make sure your distributor/installer (which may be a dealer) is installing and using your equipment correctly. If not, there is more likely to be a failure that could result in a safety problem, recall and possible legal action. Truck equipment distributors, dealers, alterers and modifiers all benefit from close working relationships with manufacturers of bodies, equipment and chassis. If you receive and follow good installation instructions, you have a better chance of avoiding liability problems. Similarly, as an OEM or body and equipment manufacturer, having good working relationships with the installers and sellers of your product will help ensure those products perform the way you intend. Look at how installations are done and how the vehicle is certified. If the manufacturer or alterer has solid processes in place for certification, you can likely be more confident they will take the same care with the work they do for you. Definitions Alterer — Defined in 49 CFR 567.3 of NHTSA regulations as “a person who alters by addition, substitution or removal of components (other than readily attachable components) a certified vehicle before the first purchase of the vehicle other than for resale.” (First purchase means the vehicle has been licensed and titled in some U.S. state.) For instance, a dealer has a completed new vehicle and a customer asks for a lift kit installation or pickup box removal for a different body as part of their purchase. As this work is being done prior to the actual first retail sale and registration, it’s considered an alteration and falls within the vehicle certification regulations. Alterers are required to add an altered certification label to the vehicle. Dealer — A person selling and distributing new motor vehicles or motor vehicle equipment primarily to purchasers who, in good faith, purchase the vehicles or equipment other than for resale. Final-stage manufacturer — Anyone who completes and certifies a vehicle in the final stage (meaning it’s ready for sale and registration). This may be a vehicle completed from an OEM chassis cab, such as a dump truck. Incomplete vehicle manufacturer — OEMs produce both complete and incomplete vehicles. Incomplete vehicles include stripped, cowl and cutaway chassis or chassis cabs. These are certified in an incomplete stage and require further work by a final-stage manufacturer in order to be certified in the final stage and ready for sale. Incidentally, an incomplete vehicle could go through multiple incomplete vehicle manufacturing stages. For instance, the OEM chassis cab may be sent out for an additional axle (another incomplete vehicle certification stage, known as intermediate-stage manufacturing) and then on to an upfitter for final-stage certification work (adding a body, etc.). Manufacturer — A person a) Manufacturing or assembling motor vehicles or motor vehicle equipment; or b) Importing motor vehicles or motor vehicle equipment for resale. Modifier — Similar to an alterer, but the work is performed after the first retail sale and registration. You still have much the same legal responsibilities as an alterer but are not required to certify the vehicle or add a new certification label. Registered manufacturer — If you complete new incomplete vehicles (as a final-stage manufacturer) or perform manufacturing operations on completed vehicles, prior to the first retail sale (as an alterer), you are a manufacturer as defined by NHTSA. If you fall within NHTSA’s definition of a manufacturer, you are required to identify your business as such with the agency. Upfitter — This is a common term for an NTEA distributor member. These companies routinely take incomplete vehicles and install the body and equipment necessary to complete them (final stage). Upfitters are required to certify the new vehicle, as completed, is in compliance with all applicable safety standards in place at the time of manufacture. Upfitters may also serve as an alterer, modifier or incomplete vehicle manufacturer, depending on what manufacturing activities they perform and in what stage of certification the particular vehicle is in. Once the upfitter’s work is done, they place the proper certification label on the vehicle, and it is ready for the next stage — possibly sale.

Are you a manufacturer? Your federal safety certification responsibilities

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