Motor Vehicles Car Seats: The Recall and Investigation Process

Investigation of suspected defects or nonconformities are performed by the NHTSA's Office of Defects Investigation (ODI) and Office of Vehicle Safety Compliance (OVSC). There are several general processes that can lead NHTSA to begin an investigation into suspected defects, nonconformities, or recall adequacy, including:

• Screening. Within ODI various sources are reviewed for an indication of potential defect or inadequate scope and remedy of a recall. These sources include consumer and attorney complaints, technical service bulletins, fleet reports, etc. The screening process can lead ODI to decide whether to open a formal investigation. Under the TREAD Act of 2000, NHTSA will also screen manufacturer warranty data, claims, overseas recalls, and lawsuits alleging safety-related defects.
• Defect Petition. Pursuant to 49 U.S.C. 30162, and 49 CFR Part 552, any person may submit a petition requesting NHTSA commence an investigation into an alleged safety defect or non-compliance. The agency is required to evaluate each petition and to make a determination within 120 days whether to pursue the matter further through the defect investigation process.
• Noncompliance Testing. While NHTSA sets minimum guidelines in the form of the FMVSS's, manufacturers self-certify compliance with the regulations. However, OVSC performs compliance spot-checks to determine whether vehicles are in fact meeting the minimum standards. In the event a non-compliance is found, an investigation will usually ensue. Most non-compliance investigations lead to a recall remedy. Following a recommendation from the screening group or the agency's decision to grant a defect petition, a formal investigation is opened. The first level of a defect investigation is most commonly given the Preliminary Evaluation or PE label. This is the initial exploratory investigation in which the agency submits a set of interrogatories to the manufacturer referred to as the ““Information Request”” or IR. Similarly, if an investigation is recommended based on a manufacturer's Technical Service Bulletin or on repair or service notice that appear to be safety-related, the initial NHTSA investigation is labeled a Service Query (SQ).

In the event that the screening process determines a potential scope and remedy problem with a past recall, the initial investigation, called a Recall Query (RQ), may be opened. In these first level investigations ODI will send an IR to the primary manufacturer and will evaluate their response to determine whether the investigation will go forward. Many PE, SQ, RQ investigations are resolved within a year and closed based on a manufacturer's willingness to ““voluntarily”” recall or based on the agency decision against pursuing the matter further. In the event the manufacturer does not recall during the initial investigation phases and ODI finds that there is merit to further investigation, the inquiries are upgraded to the Engineering Analysis (EA) level. The EA phase begins a more detailed investigation of the alleged defect and frequently narrows or expands the scope to other similar makes, models, and model years as needed. At the beginning of an EA another more detailed IR is typically sent to the manufacturer. This may be followed by subsequent IR's or surveys that include component makers, peer manufacturers, consumers, or other companies that may have data or documents that would assist the agency in its investigation. During the EA phase testing may also be conducted through contracts with various testing facilities or through the agency test center in East Liberty, Ohio. It is also common that the manufacturers meet with NHTSA ODI staff and an attorney from the agency's Chief Counsel who is assigned to the EA. As an EA develops, ODI may decide to drop its investigation or it may informally advise the manufacturer that a safety-related defect exists and a recall should be initiated. If the manufacturer is advised that a recall should commence and declines this informal request, a review panel is assembled to examine the results of the investigation. A panel usually includes ODI staff, other technical staff from divisions in the agency that may have relevant background, as well as staff from the Administrator's office and Chief Counsel. If the panel agrees with ODI's findings, the ODI director will contact the manufacturer to inform them a recall request letter will be sent. At this point most manufacturers will seek to avoid this formal request and initiate a recall. In the very rare instance in which the manufacturer refuses to recall, NHTSA can proceed and issue an initial defect determination decision, that can be followed by a press release, public hearings, and a final defect determination and recall order. Manufacturers can challenge the agency's recall order in court. EA's are typically open for a year or more. In some instances, EA's have remained open for as many as five years.

• Who Recalls Motor Vehicles?
• The Recall and Investigation Process
• Motor Vehicle Integral Child Seats Recall
• Is Your Child Safety Seat Safe?

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