DOT Certification Preliminary evaluation and investigation
The failure of one test sample is not evidence that a particular vehicle or motorcycle equipment item did not meet a particular FMVSS requirement. Rather, it's a sign of a possible problem that can trigger a full technical investigation. The first action is to notify the manufacturer of the test failure by phone. This allows the manufacturer to take immediate action to fully investigate the vehicle or related motorcycle equipment item.
Manufacturers can choose to attend a technical meeting with OVSC test engineers in the test lab. During this investigation, manufacturers will be given the opportunity to review test procedures, test instrument corrections, detailed test results, check failed vehicle and equipment items, and laboratory personnel issues. This follows the beginning of the preliminary assessment document. A preliminary evaluation letter is sent to the manufacturer requesting proof of test data along with inspection and other quality control information. The initial evaluation letter response data is analyzed by OVSC test engineers. After completing this analysis, set up a technical meeting with manufacturer representatives to discuss outstanding issues and any planned owner notices and manufacturer remedial actions. After the technical meeting, a decision is made whether there is a clear indication of non-compliance with FMVSS requirements and whether to upgrade the investigation to a Compliance investigation (CI). A compliance survey letter can be sent to the manufacturer requesting additional information. Retesting can also be performed using the same vehicle or motorcycle equipment item.
After all the information has been collected, OVSC engineers will conduct a thorough analysis of the data. In addition, the certification test procedures and equipment used by the manufacturer should be checked. Analyze any differences between manufacturer proof test results and OVSC test results and try to determine the cause of these differences.
Based on all available information, the OVSC Director makes a decision whether to close the PE file or the CI file, and if a non-compliance is noted, the investigation continues. The manufacturer receives a CI letter stating that the agency is conducting an investigation, indicating the beginning of a manufacturer recovery action. If no recovery action is declared by the manufacturer, the safety Assurance Chief Assistant will make an initial determination that the requirements are not met and the matter will be referred to the Chief Counsel's office for appropriate litigation.
The process described above is a fairly simplistic event. On some occasions, there may be additional testing laboratory surveys or manufacturers testing and manufacturing equipment, additional technical meetings and mutual communications.
Once the matter is referred to the Chief Counsel's office, the process will be very formal. In accordance with Public Law 89-563, the full procedure requires that the manufacturer or any other interested party be given a fair hearing after an initial determination of non-compliance has been made by the Chief Assistant for Safety Assurance, with the final determination of non-compliance being made by the Administrator's Agency.
