COPANT Workshop: Automotive standards and regulations in the Americas U.S. Vehicle safety regulatory process and international activities Martin Koubek International Policy and Harmonization NHTSA/U.S. Department of Transportation 1

Overview The National Highway Traffic Safety Administration Motor vehicle safety regulatory process Certification and Enforcement Global Harmonization under the United Nations 1998 Agreement 2

NHTSA Mission TO: Save lives, prevent injuries and reduce traffic-related healthcare and other economic costs. 3

U.S. Road Traffic Safety U.S. top transportation priority Public health priority – > 60,000 deaths per year and rising in the 1960’s – Currently ~32,700 deaths a year NHTSA (in the Dept. of Transportation) is the lead U.S. agency on crash- related injury prevention 4

Congressional Authorizations 5 Department of Transportation Act, establishes US DOT National Traffic and Motor Vehicle Safety Act of 1966 Energy Policy and Conservation Act, requires NHTSA to establish fleet average fuel economy standards Highway Safety Act, establishes the NHTSA within DOT CAFE

FUEL ECONOMY REQUIREMENTS NHTSA regulates the Corporate Average Fuel Economy (CAFE) CAFE mandated standards apply to cars and light trucks Standards set at “maximum feasible” level for each model year based on these considerations: – Technological feasibility – Economic feasibility – Effect of other standards on fuel economy – National need to conserve the energy – Impact of CAFE on safety 6

CAFE (continued) Major Changes in 2007 with the Energy Independence and Security Act: – DOT issue car and truck standards starting in 2011 for each model year – Combined car and light truck fleet FE performance must be 35 mpg or ~15 kpl by 2020 – Standards set for each model year at least 18 months in advance of the model year 7

Vehicle Safety Act Mandates establishing Federal Motor Vehicle Safety Standards (FMVSS) for motor vehicles&equipment No person may manufacture or import a vehicle or equipment unless it complies with applicable FMVSS Manufacturers must (self) certify that their vehicles or equipment comply with applicable FMVSS Rules issued by the regulatory agency have the force of law 8

Strategy Comprehensive policy approach – environment, vehicle, human Science-based, data driven approach – pre-crash, crash, post-crash 9

Haddon Matrix 10 Pre-Crash Crash Post-Crash Human Vehicle Environment

Establishing US Vehicle Safety Regulations - FMVSS Must meet a safety need Be practicable (technologically and economically) Objectively measurable compliance Performance-oriented (not design restrictive) Appropriate for each vehicle type 11

Sources of Rulemaking Action 12 Initiate Rulemaking Public Petition Legislation International Standards Compliance Issue Real World Crash Data Analysis, Research and Development Technology Changes Voluntary Standards

Traffic Crash Data Fatality Analysis Reporting System (FARS) ◦ Data on all fatal traffic crashes in the U.S. National Automotive Sampling System (NASS) ◦ More detailed, nationally representative data from police reports on fatal and nonfatal traffic crashes 13

Rulemaking Process Requirements Administrative Procedure Act  A notice proposing a new rule must inform the public about the types of requirements that may be adopted in the final rule  If agency wishes to adopt requirements that could not have been reasonably anticipated, the agency must first issue a supplemental proposal to provide a new opportunity for comment. 14

Rulemaking Process Requirements Administrative Procedure Act Provide a rational connection between the facts and the choices made by the agency Timely availability of information and opportunity for public comment Consider alternatives to its proposal Written reasoned response to public comments 15

Rulemaking Process Requirements Regulatory Flexibility Act – Examine impacts on small businesses Executive Order – Detailed examination of impacts of costly or controversial rules 16

Benefits Better understanding of the problem being addressed and of the available solutions; Better regulations, i.e., more effective, less intrusive and more cost-effective regulations; Greater public understanding of the purposes and effects of regulations; Greater public confidence that the regulations development process is fair to all; and Greater public acceptance of the regulations being adopted. 17

Preliminary Notice (Optional) Provides opportunity to comment very early in rulemaking process Requests information on the nature and extent of safety problem being considered Invites suggestions for regulatory solutions 18

Notice of Proposed Rulemaking Published in the Federal Register Must apprise persons of issues involved Describes safety problem Explains regulatory solution (proposed requirements and test procedures) Identifies bases for proposal, including key research reports and crash data Estimates benefits and costs of proposal 19

Notice of Proposed Rulemaking Explains basis for proposed effective date Seeks public comments on proposal May ask questions about alternative types of solutions Comment period is typically 60 days, but may be shorter or longer 20

Public Comments Provide Agency with additional information Challenge the Agency’s  Factual assumptions  Analyses  Conclusions  Policy choices Suggest changes to proposal 21

Public Comments Typically lead to changes in the rule If changes go beyond what public could reasonably anticipate from the NPRM, agency publishes a supplemental NPRM (SNPRM) to obtain more comments Could lead to termination of rulemaking, i.e., decision not to issue any rule 22

Final Rule Explains the agency’s acceptance or rejection of each significant comment –Describes changes made to rule in response to comments –Explains choices among Alternative regulatory app roaches Alternative levels of stringency 23

Post-Final Rule Petitions for Reconsideration Judicial Review Congressional Review Evaluation and Review 24

FMVSS Approximately 65 vehicle and equipment regulations – Crashworthiness – Crash avoidance – Miscellaneous (CNG Containment, Platform Lifts, etc) The full text for all FMVSS can be found at: – 25

Rulemaking Docket Accessible via – Docket Management System, Contents – Rulemaking notice and supporting documents – Public comments – Ex parte communications 26

CERTIFICATION AND ENFORCEMENT 27

Certification Requirements Manufacturer’s self-certification is based on the manufacturer’s testing and/or analysis All certifications must be based on the manufacturer’s good faith belief that the certification is not false or misleading 28

Prohibition An individual (including commercial businesses) may not : ◦ manufacture for sale, ◦ sell, ◦ introduce or deliver for introduction in interstate commerce, or ◦ import into the United States … any vehicle or equipment unless the vehicle or equipment complies with all applicable FMVSS in effect on the date of manufacture and is certified as such by the manufacturer 29

NHTSA Compliance Program Compliance test program ◦ ~100 vehicles and many more pieces of equipment tested each year ◦ Inspection program ◦ NCAP program ◦ Consumer complaints Recalls ◦ May be ordered for non-compliance 30

Safety Defects “Defect related to motor vehicle safety” is an unreasonable risk to safety that is caused by any part of the motor vehicle 31

Safety Defects A defect in design or performance may be found even if there is no applicable FMVSS If a manufacturer’s safety systems age prematurely, NHTSA could determine they constitute a safety defect and mandate recall and remedy – While parts like brake pads and tires are expected to wear out, other parts are not – Past defect recalls have included ones involving prematurely failed sensors and electrical connections and prematurely rusted or corroded parts 32

Sources Monitored for Evidence of a Safety Defect 33

Recalls (Non-compliance or Defects) 600 recalls/year of vehicles and equipment 75% of recalls for defects 25% for regulatory non-compliance 27% recalls began with NHTSA investigation 34

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Current Agency Civil Penalties Civil penalties for failure to comply or failure to attach a certification label to a vehicle that requires such a label; or for failure to report a defect ◦ M ay be assessed for up to $7,200 per violation, with a maximum penalty for a related series of violations of $35 million NHTSA may decrease the penalty based on the size of the affected business and the gravity of the violation 36

International Activities United Nations World Forum for the Harmonization of Vehicle Regulations (WP.29) Global and Regional – Europe, Asia Pacific, North America Bilateral Cooperative Agreement – Memoranda of Cooperation – Blue Ribbon Certificate Agreements 37

BLUE RIBBON LETTER CERTIFICATE Initiated by the U.S. Department of State – Secretary Powell - delegated to US DOT with endorsement from UDIC Legal, official document USG “Affirms that the manufacturer (self) certified its product meets all applicable requirements” Company provides supporting documentation, including test results 38

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UNECE/WP.29 – Administers a global agreement on vehicle standards (1998 Agreement) – Formal sessions are public and are ordinarily held in Geneva – Industry and Consumer Groups Participate 41

1998 Global Agreement The 1998 Global Agreement under WP.29 – Spearheaded by EU, Japan and the U.S. – Entered into force-August 25, 2000 – 35 Contracting Parties to date – Seeks to develop Global Technical Regulations based on the best practices from around the world – Consensus vote, no mutual certification recognition obligations 42

1998 Global Agreement The Agreement promotes the development of globally harmonized technical regulations while explicitly recognizing the importance of: – Continuous safety improvement (Preamble and Article 5 and 6) – Sovereignty (Preamble; Article 7) – Transparency and public participation (Preamble and Article 6); 43

Work under 1998 Global Agreement The current Program of Work for Global Technical Regulations: Electric Vehicles Quiet Vehicles Head Restraints Pedestrian Safety Side Impact Dummies 44

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