[Title 49 CFR ]
[Code of Federal Regulations (annual edition) - October 1, 2013 Edition]
[From the U.S. Government Printing Office]



[[Page i]]

          

          Title 49

Transportation


________________________

Parts 300 to 399

                         Revised as of October 1, 2013

          Containing a codification of documents of general 
          applicability and future effect

          As of October 1, 2013
                    Published by the Office of the Federal Register 
                    National Archives and Records Administration as a 
                    Special Edition of the Federal Register

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                            Table of Contents



                                                                    Page
  Explanation.................................................       v

  Title 49:
    SUBTITLE B--Other Regulations Relating to Transportation 
      (Continued)
          Chapter III--Federal Motor Carrier Safety 
          Administration, Department of Transportation               5
  Finding Aids:
      Table of CFR Titles and Chapters........................     599
      Alphabetical List of Agencies Appearing in the CFR......     619
      Redesignation Table.....................................     629
      List of CFR Sections Affected...........................     631

[[Page iv]]





                     ----------------------------

                     Cite this Code: CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus, 49 CFR 303.1 refers 
                       to title 49, part 303, 
                       section 1.

                     ----------------------------

[[Page v]]



                               EXPLANATION

    The Code of Federal Regulations is a codification of the general and 
permanent rules published in the Federal Register by the Executive 
departments and agencies of the Federal Government. The Code is divided 
into 50 titles which represent broad areas subject to Federal 
regulation. Each title is divided into chapters which usually bear the 
name of the issuing agency. Each chapter is further subdivided into 
parts covering specific regulatory areas.
    Each volume of the Code is revised at least once each calendar year 
and issued on a quarterly basis approximately as follows:

Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1

    The appropriate revision date is printed on the cover of each 
volume.

LEGAL STATUS

    The contents of the Federal Register are required to be judicially 
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie 
evidence of the text of the original documents (44 U.S.C. 1510).

HOW TO USE THE CODE OF FEDERAL REGULATIONS

    The Code of Federal Regulations is kept up to date by the individual 
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    To determine whether a Code volume has been amended since its 
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EFFECTIVE AND EXPIRATION DATES

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OMB CONTROL NUMBERS

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Federal agencies to display an OMB control number with their information 
collection request.

[[Page vi]]

Many agencies have begun publishing numerous OMB control numbers as 
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PAST PROVISIONS OF THE CODE

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for 1949-1963, 1964-1972, 1973-1985, and 1986-2000.

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INCORPORATION BY REFERENCE

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[[Page vii]]

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    Charles A. Barth,
    Director,
    Office of the Federal Register.
    October 1, 2013.







[[Page ix]]



                               THIS TITLE

    Title 49--Transportation is composed of nine volumes. The parts in 
these volumes are arranged in the following order: Parts 1-99, parts 
100-177, parts 178-199, parts 200-299, parts 300-399, parts 400-571, 
parts 572-999, parts 1000-1199, and part 1200 to end. The first volume 
(parts 1-99) contains current regulations issued under subtitle A--
Office of the Secretary of Transportation; the second volume (parts 100-
177) and the third volume (parts 178-199) contain the current 
regulations issued under chapter I--Pipeline and Hazardous Materials 
Safety Administration (DOT); the fourth volume (parts 200-299) contains 
the current regulations issued under chapter II--Federal Railroad 
Administration (DOT); the fifth volume (parts 300-399) contains the 
current regulations issued under chapter III--Federal Motor Carrier 
Safety Administration (DOT); the sixth volume (parts 400-571) contains 
the current regulations issued under chapter IV--Coast Guard (DHS), and 
some of chapter V--National Highway Traffic Safety Administration (DOT); 
the seventh volume (parts 572-999) contains the rest of the regulations 
issued under chapter IV, and the current regulations issued under 
chapter VI--Federal Transit Administration (DOT), chapter VII--National 
Railroad Passenger Corporation (AMTRAK), and chapter VIII--National 
Transportation Safety Board; the eighth volume (parts 1000-1199) 
contains the current regulations issued under chapter X--Surface 
Transportation Board and the ninth volume (part 1200 to end) contains 
the current regulations issued under chapter X--Surface Transportation 
Board, chapter XI--Research and Innovative Technology Administration, 
and chapter XII--Transportation Security Administration, Department of 
Transportation. The contents of these volumes represent all current 
regulations codified under this title of the CFR as of October 1, 2013.

    In the volume containing parts 100-177, see Sec.  172.101 for the 
Hazardous Materials Table. The Federal Motor Vehicle Safety Standards 
appear in part 571.

    Redesignation tables for chapter III--Federal Motor Carrier Safety 
Administration, Department of Transportation and chapter XII--
Transportation Security Administration, Department of Transportation 
appear in the Finding Aids section of the fifth and ninth volumes.

    For this volume, Robert J. Sheehan, III was Chief Editor. The Code 
of Federal Regulations publication program is under the direction of 
Michael L. White, assisted by Ann Worley.

[[Page 1]]



                        TITLE 49--TRANSPORTATION




                  (This book contains parts 300 to 399)

  --------------------------------------------------------------------

  SUBTITLE B--Other Regulations Relating to Transportation (Continued)

                                                                    Part

chapter iii--Federal Motor Carrier Safety Administration, 
  Department of Transportation..............................         303

[[Page 3]]

  Subtitle B--Other Regulations Relating to Transportation (Continued)

[[Page 5]]



CHAPTER III--FEDERAL MOTOR CARRIER SAFETY ADMINISTRATION, DEPARTMENT OF 
                             TRANSPORTATION




  --------------------------------------------------------------------


  Editorial Note: Nomenclature changes to chapter III appear at 59 FR 
60323, Nov. 23, 1994, 60 FR 38742, July 28, 1995, and 69 FR 18803, Apr. 
9, 2004.

                    SUBCHAPTER A--GENERAL REGULATIONS
Part                                                                Page
300-302

[Reserved]

303             Civil rights................................           7
325             Compliance with interstate motor carrier 
                    noise emission standards................           7
         SUBCHAPTER B--FEDERAL MOTOR CARRIER SAFETY REGULATIONS
350             Commercial Motor Carrier Safety Assistance 
                    program.................................          19
355             Compatibility of State laws and regulations 
                    affecting interstate motor carrier 
                    operations..............................          33
356             Motor carrier routing regulations...........          36
360             Fees for motor carrier registration and 
                    insurance...............................          38
365             Rules governing applications for operating 
                    authority...............................          41
366             Designation of process agent................          44
367             Standards for registration with States......          58
368             Application for a certificate of 
                    registration to operate in 
                    municipalities in the United States on 
                    the United States-Mexico international 
                    border or within the commercial zones of 
                    such municipalities.....................          60
369             Reports of motor carriers...................          61
370             Principles and practices for the 
                    investigation and voluntary disposition 
                    of loss and damage claims and processing 
                    salvage.................................          64
371             Brokers of property.........................          70
372             Exemptions, commercial zones, and terminal 
                    areas...................................          73
373             Receipts and bills..........................          77
374             Passenger carrier regulations...............          90

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375             Transportation of household goods in 
                    interstate commerce; consumer protection 
                    regulations.............................          92
376             Lease and interchange of vehicles...........          99
377             Payment of transportation charges...........         141
378             Procedures governing the processing, 
                    investigation, and disposition of 
                    overcharge, duplicate payment, or 
                    overcollection claims...................         148
379             Preservation of records.....................         152
380             Special training requirements...............         155
381             Waivers, exemptions, and pilot programs.....         159
382             Controlled substances and alcohol use and 
                    testing.................................         170
383             Commercial driver's license standards; 
                    requirements and penalties..............         177
384             State compliance with commercial driver's 
                    license program.........................         195
385             Safety fitness procedures...................         235
386             Rules of practice for motor carrier, 
                    intermodal equipment provider, broker, 
                    freight forwarder, and hazardous 
                    materials proceedings...................         248
387             Minimum levels of financial responsibility 
                    for motor carriers......................         293
388             Cooperative agreements with States..........         326
389             Rulemaking procedures--Federal motor carrier 
                    safety regulations......................         351
390             Federal motor carrier safety regulations; 
                    general.................................         353
391             Qualifications of drivers and longer 
                    combination vehicle (LCV) driver 
                    instructors.............................         357
392             Driving of commercial motor vehicles........         386
393             Parts and accessories necessary for safe 
                    operation...............................         422
394

[Reserved]

395             Hours of service of drivers.................         431
396             Inspection, repair, and maintenance.........         520
397             Transportation of hazardous materials; 
                    driving and parking rules...............         535
398             Transportation of migrant workers...........         543
399             Employee safety and health standards........         561
Appendix A to Subchapter B [Reserved]
Appendix B to Subchapter B--Special Agents..................         568
Appendixes C-E to Subchapter B [Reserved]
Appendix F to Subchapter B--Commercial Zones................         571
Appendix G to Subchapter B--Minimum Periodic Inspection 
  Standards.................................................         572

[[Page 7]]



                    SUBCHAPTER A_GENERAL REGULATIONS



                        PARTS 300	302 [RESERVED]



PART 303_CIVIL RIGHTS--Table of Contents



Sec.
303.1 Purpose.
303.3 Application of this part.

    Authority: Public Law 105-159, 113 Stat. 1748, Title I, sections 
107(a) and 106 (Dec. 9, 1999) (49 U.S.C. 113); 42 U.S.C. 2000d, et seq.; 
and 49 CFR 1.87.

    Source: 70 FR 7414, Feb. 14, 2005, unless otherwise noted.



Sec.303.1  Purpose.

    The purpose of this part is to provide guidelines and procedures for 
implementing the Federal Motor Carrier Safety Administration's (FMCSA) 
Title VI program under Title VI of the Civil Rights Act of 1964 and 
related civil rights laws and regulations. For FMCSA-only programs or 
activities, Federal financial assistance recipients or grantees will 
continue to apply and use the Departmental Title VI provisions at 49 CFR 
part 21. For joint and multi-agency programs/projects, FMCSA Federal 
assistance recipients or grantees must use the Title VI requirements at 
49 CFR part 21, unless agreement is reached by the Federal funding 
agencies for the recipients to use the Title VI procedures of another 
agency.



Sec.303.3  Application of this part.

    The provisions of this part are applicable to all elements of the 
FMCSA and to any program or activity for which Federal financial 
assistance is authorized under a law administered by the FMCSA. This 
part provides Title VI guidelines for State Departments of 
Transportation and local State agencies, including their sub-recipients, 
to implement Title VI. It also applies to money paid, property 
transferred, or other Federal financial assistance extended under any 
program of the FMCSA after the date of this part.



PART 325_COMPLIANCE WITH INTERSTATE MOTOR CARRIER NOISE EMISSION
STANDARDS--Table of Contents



                      Subpart A_General Provisions

Sec.
325.1 Scope of the rules in this part.
325.3 Effective date.
325.5 Definitions.
325.7 Allowable noise levels.
325.9 Measurement tolerances.

                   Subpart B_Administrative Provisions

325.11 Issuance, amendment, and revocation of the rules in this part.
325.13 Inspection and examination of motor vehicles.

                        Subpart C_Instrumentation

325.21 Scope of the rules in this subpart.
325.23 Type of measurement systems which may be used.
325.25 Calibration of measurement systems.
325.27 Use of a windscreen.

      Subpart D_Measurement of Noise Emissions; Highway Operations

325.31 Scope of the rules in this subpart.
325.33 Site characteristics; highway operations.
325.35 Ambient conditions; highway operations.
325.37 Location and operation of sound level measurement system; highway 
          operations.
325.39 Measurement procedure; highway operations.

        Subpart E_Measurement of Noise Emissions; Stationary Test

325.51 Scope of the rules in this subpart.
325.53 Site characteristics; stationary test.
325.55 Ambient conditions; stationary test.
325.57 Location and operation of sound level measurement systems; 
          stationary test.
325.59 Measurement procedure; stationary test.

                      Subpart F_Correction Factors

325.71 Scope of the rules in this subpart.
325.73 Microphone distance correction factors.
325.75 Ground surface correction factors.
325.77 Computation of open site requirements--nonstandard sites.
325.79 Application of correction factors.

[[Page 8]]

                   Subpart G_Exhaust Systems and Tires

325.91 Exhaust systems.
325.93 Tires.

    Authority: 42 U.S.C. 4917; 49 U.S.C. 301; and 49 CFR 1.87.

    Source: 40 FR 42437, Sept. 12, 1975, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 325 appear at 66 FR 
49869, Oct. 1, 2001.



                      Subpart A_General Provisions



Sec.325.1  Scope of the rules in this part.

    (a) The rules in this part prescribe procedures for inspection, 
surveillance, and measurement of motor vehicles and motor vehicle 
equipment operated by motor carriers to determine whether those vehicles 
and that equipment conform to the Interstate Motor Carrier Noise 
Emission Standards of the Environmental Protection Agency, 40 CFR part 
202.
    (b) Except as provided in paragraph (c) of this section, the rules 
in this part apply to motor carriers engaged in interstate commerce. The 
rules apply at any time or under any condition of highway grade, load, 
acceleration or deceleration.
    (c) The rules in this part do not apply to--
    (1) A motor vehicle that has a Gross Vehicle Weight Rating (GVWR) of 
10,000 pounds (4,536 kg.) or less;
    (2) A combination of motor vehicles that has a Gross Combination 
Weight Rating (GCWR) of 10,000 pounds (4,536 kg.) or less;
    (3) The sound generated by a warning device, such as a horn or 
siren, installed in a motor vehicle, unless such device is intentionally 
sounded in order to preclude an otherwise valid noise emission 
measurement;
    (4) An emergency motor vehicle, such as a fire engine, an ambulance, 
a police van, or a rescue van, when it is responding to an emergency 
call;
    (5) A snow plow in operation; or
    (6) The sound generated by auxiliary equipment which is normally 
operated only when the motor vehicle on which it is installed is stopped 
or is operating at a speed of 5 miles per hour (8 kph) or less, unless 
such device is intentionally operated at speeds greater than 5 mph (8 
kph) in order to preclude an otherwise valid noise measurement. Examples 
of that type of auxiliary equipment include, but are not limited to, 
cranes, asphalt spreaders, ditch diggers, liquid or slurry pumps, 
auxiliary air compressors, welders, and trash compactors.

[40 FR 42437, Sept. 12, 1975, as amended at 78 FR 58477, Sept. 24, 2013]



Sec.325.3  Effective date.

    The rules in this part are effective on October 15, 1975.



Sec.325.5  Definitions.

    (a) Statutory definitions. All terms defined in the Noise Control 
Act of 1972 (Pub. L. 92-574, 86 Stat. 1234) are used as they are defined 
in that Act.
    (b) Definitions in standards. All terms defined in Sec.202.10 of 
the Interstate Motor Carrier Noise Emission Standards, 40 CFR 202.10, 
are used as they are defined in that section.
    (c) Additional definitions. (1) Hard test site means any test site 
having the ground surface covered with concrete, asphalt, packed dirt, 
gravel, or similar reflective material for more than \1/2\ the distance 
between the microphone target point and the microphone location point.
    (2) Soft test site means any test site having the ground surface 
covered with grass, other ground cover, or similar absorptive material 
for \1/2\ or more of the distance between the microphone target point 
and the microphone location point.
    (3) Ground cover means any of various low, dense-growing plants, 
such as ivy, myrtle, low weeds, or brush.
    (4) Traffic railing means any longitudinal highway traffic barrier 
system installed along the side or median of a highway. For the purpose 
of this part, a traffic railing must have at least 35 percent of its 
vertical height, from the ground surface to the top of the railing, open 
to free space in order to qualify as an acceptable object within a noise 
measurement test site. Further, for the purposes of this part, posts or 
other discrete supports shall be ignored when ascertaining open free 
space.
    (5) Relatively flat when used to describe a noise measurement site 
means

[[Page 9]]

a site which does not contain significant concave curvatures or slope 
reversals that may result in the focusing of sound waves toward the 
microphone location point.



Sec.325.7  Allowable noise levels.

    Motor vehicle noise emissions, when measured according to the rules 
of this part, shall not exceed the values specified in Table 1.

                      Table 1--Maximum Permissible Sound Level Readings (Decibel (A)) \1 2\
----------------------------------------------------------------------------------------------------------------
                                                        Highway operation test               Stationary tests
                                             -------------------------------------------------------------------
                                                    Soft site             Hard Site
                                             --------------------------------------------
                                               35 mi/h    Above 35   35 mi/h    Above 35   Soft site   Hard site
                                               or less      mi/h     or less      mi/h
----------------------------------------------------------------------------------------------------------------
If the distance between the microphone
 location point and the microphone target
 point is--
    31 ft (9.5m) or more but less than 35 ft         87         91         89         93          89          91
     (10.7m)................................
    35 ft (10.7m) or more but less than 39           86         90         88         92          88          90
     ft (11.9m).............................
    39 ft (11.9m) or more but less than 43           85         89         87         91          87          89
     ft (13.1m).............................
    43 ft (13.1m) or more but less than 48           84         88         86         90          86          88
     ft (14.6m).............................
    48 ft (14.6m) or more but less than 58           83         87         85         89          85          87
     ft (17.1m).............................
    58 ft (17.1m) or more but less than 70           82         86         84         88          84          86
     ft (21.3m).............................
    70 ft (21.3m) or more but less than 83           81         85         83         87          83          85
     ft (25.3m).............................
----------------------------------------------------------------------------------------------------------------
\1\ The speeds shown refer to measurements taken at sites having speed limits as indicated. These speed limits
  do not necessarily have to be posted.
\2\ This table is based on motor carrier noise emission requirements specified in 40 CFR 202.20 and 40 CFR
  202.21.


[40 FR 42437, Sept. 12, 1975, as amended at 54 FR 50385, Dec. 6, 1989]



Sec.325.9  Measurement tolerances.

    (a) Measurement tolerances will be allowed to take into account the 
effects of the following factors:
    (1) The consensus standard practice of reporting filed sound level 
measurements to the nearest whole decibel.
    (2) Variations resulting from commercial instrument tolerances.
    (3) Variations resulting from the topography of the noise 
measurement site.
    (4) Variations resulting from atmospheric conditions such as wind, 
ambient temperature, and atmospheric pressure.
    (5) Variations resulting from reflected sound from small objects 
allowed within the test site.
    (6) The interpretation of the effects of the above cited factors by 
enforcement personnel.
    (b) Measurement tolerances shall not exceed 2 decibels for a given 
measurement.



                   Subpart B_Administrative Provisions



Sec.325.11  Issuance, amendment, and revocation of the rules in this part.

    The procedures specified in part 389 of this chapter for the 
issuance, amendment, or revocation of the Federal Motor Carrier Safety 
Regulations apply to rulemaking proceedings for the issuance, amendment, 
or revocation of the rules in this part.



Sec.325.13  Inspection and examination of motor vehicles.

    (a) Any special agent of the Federal Motor Carrier Safety 
Administration (designated in appendix B to subchapter B of this 
chapter) is authorized to inspect, examine, and test a motor vehicle 
operated by a motor carrier in accordance with the procedures specified 
in this part for the purpose of ascertaining whether the motor vehicle 
and equipment installed on the motor vehicle conforms to the Interstate

[[Page 10]]

Motor Carrier Noise Emission Standards of the Environmental Protection 
Agency, 40 CFR part 202.
    (b) A motor carrier, its officers, drivers, agents, and employees 
must, at any time, submit a motor vehicle used in its operations for 
inspection, examination, and testing for the purpose of ascertaining 
whether the motor vehicle and equipment installed on it conforms to the 
Interstate Motor Carrier Noise Emission Standards of the Environmental 
Protection Agency, 40 CFR part 202.
    (c) Prescribed inspection report. Form MCS-141, Noise Level 
Compliance Check shall be used to record findings from motor vehicles 
selected for noise emission inspection by authorized employees.
    (d) Motor carrier's disposition of form MCS-141. (1) The driver of 
any motor vehicle receiving a Form MCS-141 shall deliver such MCS-141 to 
the motor carrier operating the vehicle upon his/her arrival at the next 
terminal or facility of the motor carrier, if such arrival occurs within 
twenty-four (24) hours. If the driver does not arrive at a terminal or 
facility of the motor carrier operating the vehicle within twenty-four 
(24) hours he/she shall immediately mail the Form MCS-141 to the motor 
carrier. For operating convenience, motor carriers may designate any 
shop, terminal, facility, or person to which it may instruct its drivers 
to deliver or forward Form MCS-141. It shall be the sole responsibility 
of the motor carrier that Form MCS-141 is returned to the Federal Motor 
Carrier Safety Administration, in accordance with the terms prescribed 
thereon and in paragraphs (d) (2) and (3) of this section. A driver, if 
himself/herself a motor carrier, shall return Form MCS-141 to the 
Federal Motor Carrier Safety Administration, in accordance with the 
terms prescribed thereon and in paragraphs (d) (2) and (3) of this 
section.
    (2) Motor carriers shall carefully examine Forms MCS-141. 
Appropriate corrective action shall be taken on vehicles found to be not 
in compliance with the requirements of this part.
    (3) Motor carriers must complete the ``Motor Carrier Certification 
of Action Taken'' on Form MCS-141 in accordance with the terms 
prescribed thereon. Motor carriers must return Forms MCS-141 to the 
Division Office at the address indicated on Form MCS-141 within fifteen 
(15) days following the date of the vehicle inspection.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10226, Mar. 10, 1976; 
54 FR 50385, Dec. 6, 1989; 60 FR 38743, July 28, 1995; 66 FR 49869, Oct. 
1, 2001; 78 FR 58477, Sept. 24, 2013]



                        Subpart C_Instrumentation



Sec.325.21  Scope of the rules in this subpart.

    The rules in this subpart specify criteria for sound level 
measurement systems which are used to make the sound level measurements 
specified in subpart D and subpart E of this part.



Sec.325.23  Type of measurement systems which may be used.

    The sound level measurement system must meet or exceed the 
requirements of American National Standard Specification for Sound Level 
Meters (ANSI S1.4-1971), approved April 27, 1971, issued by the American 
National Standards Institute, \1\ throughout the applicable frequency 
range for either:
---------------------------------------------------------------------------

    \1\ Copies of the specification may be secured from the American 
National Standards Institute, 1430 Broadway, New York, New York, 10018.
---------------------------------------------------------------------------

    (a) A Type 1 sound level meter;
    (b) A Type 2 sound level meter; or
    (c) A Type S sound level meter which has--
    (1) A weighing frequency response;
    (2) Fast dynamic characteristics of its indicating instrument; and
    (3) A relative response level tolerance consistent with those of 
either a Type 1 or Type 2 sound level meter, as specified in section 3.2 
of ANSI S1.4-1971.



Sec.325.25  Calibration of measurement systems.

    (a)(1) The sound level measurement system must be calibrated and 
appropriately adjusted at one or more frequencies in the range from 250 
to 1,000 Hz at the beginning of each series of measurements and at 
intervals of 5-15 minutes thereafter, until it has been determined that 
the sound level measurement system has not significantly drifted from 
its calibrated level. Once

[[Page 11]]

this fact has been established, calibrations may be made at intervals 
once every hour. A significant drift shall be considered to have 
occurred if a 0.3 dB or more excursion is noted from the system's 
predetermined reference calibration level. In the case of systems using 
displays with whole decibel increments, the operator may visually judge 
when the 0.3 dB drift has been met or exceeded.
    (2) The sound level measurement system must be checked periodically 
by its manufacturer, a representative of its manufacturer, or a person 
of equivalent special competence to verify that its accuracy meets the 
manufacturer's design criteria.
    (b) An acoustical calibrator of the microphone coupler type designed 
for the sound level measurement system in use shall be used to calibrate 
the sound level measurement system in accordance with paragraph (a) of 
this section. The calibration must meet or exceed the accuracy 
requirements specified in section 5.4.1 of the American National 
Standard Institute Standard Methods for Measurements of Sound Pressure 
Levels (ANSI S1.13-1971) for field method measurements.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976]



Sec.325.27  Use of a windscreen.

    A properly installed windscreen, of the type recommended by the 
manufacturer of the Sound Level Measurement System, shall be used during 
the time that noise emission measurements are being taken.



      Subpart D_Measurement of Noise Emissions; Highway Operations



Sec.325.31  Scope of the rules in this subpart.

    The rules in this subpart specify conditions and procedures for 
measurement of the sound level generated by a motor vehicle engaged in a 
highway operation for the purpose of ascertaining whether the motor 
vehicle conforms to the Standards for Highway Operations set forth in 40 
CFR 202.20.



Sec.325.33  Site characteristics; highway operations.

    (a) Measurement shall be made at a test site which is adjacent to, 
and includes a portion of, a traveled lane of a public highway. A 
microphone target point shall be established on the centerline of the 
traveled lane of the highway, and a microphone location point shall be 
established on the ground surface not less than 31 feet (9.5 m) or more 
than 83 feet (25.3 m) from the microphone target point and on a line 
that is perpendicular to the centerline of the traveled lane of the 
highway and that passes through the microphone target point. In the case 
of a standard test site, the microphone location point is 50 feet (15.2 
m) from the microphone target point. Within the test site is a 
triangular measurement area. A plan view diagram of a standard test 
site, having an open site within a 50-foot (15.2 m) radius of both the 
microphone target point and the microphone location point, is shown in 
Figure 1. Measurements may be made at a test site having smaller or 
greater dimensions in accordance with the rules in subpart F of this 
part.
[GRAPHIC] [TIFF OMITTED] TC01AP91.010

    (b) The test site must be an open site, essentially free of large 
sound-reflecting objects. However, the following objects may be within 
the test site, including the triangular measurement area:
    (1) Small cylindrical objects such as fire hydrants or telephone or 
utility poles.
    (2) Rural mailboxes.

[[Page 12]]

    (3) Traffic railings of any type of construction except solid 
concrete barriers (see Sec.325.5(c)(4)).
    (4) One or more curbs having a vertical height of 1 foot (.3 m) or 
less.
    (c) The following objects may be within the test site if they are 
outside of the triangular measurement area of the site:
    (1) Any vertical surface (such as billboard), regardless of size, 
having a lower edge more than 15 feet (4.6 m) higher than the surface of 
the traveled lane of the highway.
    (2) Any uniformly smooth sloping surface slanting away from the 
highway (such as a rise in grade alongside the highway) with a slope 
that is less than 45 degrees above the horizontal.
    (3) Any surface slanting away from the highway that is 45 degrees or 
more and not more than 90 degrees above the horizontal, if all points on 
the surface are more than 15 feet (4.6 m) above the surface of the 
traveled lane of the highway.
    (d) The surface of the ground within the measurement area must be 
relatively flat (see Sec.325.5(c)(5)). The site shall be a ``soft'' 
test site. However, if the site is determined to be ``hard,'' the 
correction factor specified in Sec.325.75(a) of this part shall be 
applied to the measurement.
    (e) The traveled lane of the highway within the test site must be 
dry, paved with relatively smooth concrete or asphalt, and substantially 
free of--
    (1) Holes or other defects which would cause a motor vehicle to emit 
irregular tire, body, or chassis impact noise; and
    (2) Loose material, such as gravel or sand.
    (f) The traveled lane of the highway on which the microphone target 
point is situated must not pass through a tunnel or underpass located 
within 200 feet (61 m) of that point.

[40 FR 42437, Sept. 12, 1975, as amended at 54 FR 50385, Dec. 6, 1989]



Sec.325.35  Ambient conditions; highway operations.

    (a)(1) Sound. The ambient A-weighted sound level at the microphone 
location point shall be measured, in the absence of motor vehicle noise 
emanating from within the clear zone, with fast meter response using a 
sound level measurement system that conforms to the rules of Sec.
325.23.
    (2) The measured ambient level must be 10 dB(A) or more below that 
level specified in Sec.325.7, Table 1, which corresponds to the 
maximum permissible sound level reading which is applicable at the test 
site at the time of testing.
    (b) Wind. The wind velocity at the test shall be measured at the 
beginning of each series of noise measurements and at intervals of 5-15 
minutes thereafter until it has been established that the wind velocity 
is essentially constant. Once this fact has been established, wind 
velocity measurements may be made at intervals of once every hour. Noise 
measurements may only be made if the measured wind velocity is 12 mph 
(19.3 kph) or less. Gust wind measurements of up to 20 mph (33.2 kph) 
are allowed.
    (c) Precipitation. Measurements are prohibited under any condition 
of precipitation, however, measurements may be made with snow on the 
ground. The ground surface within the measurement area must be free of 
standing water.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976; 
41 FR 28267, July 9, 1976]



Sec.325.37  Location and operation of sound level measurement system;
highway operations.

    (a) The microphone of a sound level measurement system that conforms 
to the rules in Sec.325.23 of this part shall be located at a height 
of not less than 2 feet (.6 m) nor more than 6 feet (1.8 M) above the 
plane of the roadway surface and not less than 3\1/2\ feet (1.1 m) above 
the surface on which the microphone stands. The preferred microphone 
height on flat terrain is 4 feet (1.2 m).
    (b)(1) When the sound level measurement system is hand-held or is 
otherwise monitored by a person located near its microphone, the holder 
must orient himself/herself relative to the highway in a manner 
consistent with the recommendation of the manufacturer of the sound 
level measurement system.
    (2) In no case shall the holder or observer be closer than 2 feet 
(.6 m) from the system's microphone, nor shall he/

[[Page 13]]

she locate himself/herself between the microphone and the vehicle being 
measured.
    (c) The microphone of the sound level measurement system shall be 
oriented toward the traveled lane of the highway at the microphone 
target point at an angle that is consistent with the recommendation of 
the system's manufacturer. If the manufacturer of the system does not 
recommend an angle of orientation for its microphone, the microphone 
shall be oriented toward the highway at an angle of not less than 70 
degrees and not more than perpendicular to the horizontal plane of the 
traveled lane of the highway at the microphone target point.
    (d) The sound level measurement system shall be set to the A-
weighting network and ``fast'' meter response mode.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976]



Sec.325.39  Measurement procedure; highway operations.

    (a) In accordance with the rules in this subpart, a measurement 
shall be made of the sound level generated by a motor vehicle operating 
through the measurement area on the traveled lane of the highway within 
the test site, regardless of the highway grade, load, acceleration or 
deceleration.
    (b) The sound level generated by the motor vehicle is the highest 
reading observed on the sound level measurement system as the vehicle 
passes through the measurement area, corrected, when appropriate, in 
accordance with the rules in subpart F of this part. (Table 1 in Sec.
325.7 lists the range of maximum permissible sound level readings for 
various test conditions.) The sound level of the vehicle being measured 
must be observed to rise at least 6 dB(A) before the maximum sound level 
occurs and to fall at least 6 dB(A) after the maximum sound level occurs 
in order to be considered a valid sound level reading.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976]



        Subpart E_Measurement of Noise Emissions; Stationary Test



Sec.325.51  Scope of the rules in this subpart.

    (a) The rules in this subpart specify conditions and procedures for 
measuring the sound level generated by a vehicle when the vehicle's 
engine is rapidly accelerated from idle to governed speed at wide open 
throttle with the vehicle stationary, its transmission in neutral, and 
its clutch engaged, for the purpose of ascertaining whether the motor 
vehicle conforms to the Standard for Operation Under Stationary Test, 40 
CFR 202.21.
    (b) The rules in this subpart apply only to a motor vehicle that is 
equipped with an engine speed governor.
    (c) Tests conducted in accordance with the rules of this subpart may 
be made on either side of the vehicle.



Sec.325.53  Site characteristics; stationary test.

    (a)(1) The motor vehicle to be tested shall be parked on the test 
site. A microphone target point shall be established on the ground 
surface of the site on the centerline of the lane in which the motor 
vehicle is parked at a point that is within 3 feet (.9 m) of the 
longitudinal position of the vehicle's exhaust system outlet(s). A 
microphone location point shall be established on the ground surface not 
less than 31 feet (9.5 m) and not more than 83 feet (25.3 m) from the 
microphone target point. Within the test site is a triangular 
measurement area. A plan view diagram of a standard test site, having an 
open site within a 50-foot (15.2 m) radius of both the microphone target 
point and the microphone location point, is shown in Figure 2.

[[Page 14]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.011

    (2) Measurements may be made at a test site having smaller or 
greater dimensions in accordance with the rules in subpart F of this 
part.
    (b) The test site must be an open site, essentially free of large 
sound-reflecting objects. However, the following objects may be within 
the test site, including the triangular measurement area:
    (1) Small cylindrical objects such as fire hydrants or telephone or 
utility poles.
    (2) Rural mailboxes.
    (3) Traffic railings of any type of construction except solid 
concrete barriers (see Sec.325.5(c)(4)).
    (4) One or more curbs having a height of 1 foot (.3 m) or less.
    (c) The following objects may be within the test site if they are 
outside of the triangular measurement area of the site:
    (1) Any vertical surface, regardless of size (such as a billboard), 
having a lower edge more than 15 feet (4.6 m) above the ground.
    (2) Any uniformly smooth surface slanting away from the vehicle with 
a slope that is less than 45 degrees above the horizontal.
    (3) Any surface slanting away from the vehicle that is 45 degrees or 
more and not more than 90 degrees above the horizontal, if all points on 
the surface are more than 15 feet (4.6 m) above the surface of the 
ground in the test site.
    (d) The surface of the ground within the measurement area must be 
relatively flat. (See Sec.325.5(c)(5)). The site shall be a ``hard'' 
site. However, if the site is determined to be ``soft,'' the correction 
factor specified in Sec.325.75(b) of this part shall be applied to the 
measurement.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976; 
54 FR 50385, Dec. 6, 1989]



Sec.325.55  Ambient conditions; stationary test.

    (a)(1) Sound. The ambient A-weighted sound level at the microphone 
location point shall be measured, in the absence of motor vehicle noise 
emanating from within the clear zone, with fast meter response using a 
sound level measurement system that conforms to the rules of Sec.
325.23.
    (2) The measured ambient level must be 10 dB(A) or more below that 
level specified in Sec.325.7, Table 1, which corresponds to the 
maximum permissible sound level reading which is applicable at the test 
site at the time of testing.
    (b) Wind. The wind velocity at the test site shall be measured at 
the beginning of each series of noise measurements and at intervals of 
5-15 minutes thereafter until it has been established that the wind 
velocity is essentially constant. Once this fact has been established, 
wind velocity measurements may be made at intervals of once every hour. 
Noise measurements may only be made if the measured wind velocity is 12 
mph (19.3 kph) or less. Gust wind measurements of up to 20 mph (33.2 
kph) are allowed.
    (c) Precipitation. Measurements are prohibited under any conditions 
of precipitation, however, measurements may be made with snow on the 
ground. The ground within the measurement area must be free of standing 
water.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 28267, July 9, 1976]



Sec.325.57  Location and operation of sound level measurement systems;
stationary test.

    (a) The microphone of a sound level measurement system that conforms 
to the rules in Sec.325.23 shall be located at a height of not less 
than 2 feet (.6 m) nor more than 6 feet (1.8 m) above the plane of the 
roadway surface and not less than 3\1/2\ feet (1.1 m) above the surface 
on which the microphone stands. The preferred microphone height on flat 
terrain is 4 feet (1.2 m).

[[Page 15]]

    (b) When the sound level measurement system is hand-held or 
otherwise monitored by a person located near its microphone, the holder 
must orient himself/herself relative to the highway in a manner 
consistent with the recommendation of the manufacturer of the sound 
level measurement system. In no case shall the holder or observer be 
closer than 2 feet (.6 m) from the system's microphone, nor shall he/she 
locate himself/herself between the microphone and the vehicle being 
measured.
    (c) The microphone of the sound level measurement system shall be 
oriented toward the vehicle at an angle that is consistent with the 
recommendation of the system's manufacturer. If the manufacturer of the 
system does not recommend an angle of orientation for its microphone, 
the microphone shall be oriented at an angle of not less than 70 degrees 
and not more than perpendicular to the horizontal plane of the test site 
at the microphone target point.
    (d) The sound level measurement system shall be set to the A-
weighting network and ``fast'' meter response mode.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976]



Sec.325.59  Measurement procedure; stationary test.

    In accordance with the rules in this subpart, a measurement shall be 
made of the sound level generated by a stationary motor vehicle as 
follows:
    (a) Park the motor vehicle on the test site as specified in Sec.
325.53 of this subpart. If the motor vehicle is a combination 
(articulated) vehicle, park the combination so that the longitudinal 
centerlines of the towing vehicle and the towed vehicle or vehicles are 
in substantial alinement.
    (b) Turn off all auxiliary equipment which is installed on the motor 
vehicle and which is designed to operate under normal conditions only 
when the vehicle is operating at a speed of 5 mph (8 kph) or less. 
Examples of such equipment include cranes, asphalt spreaders, liquid or 
slurry pumps, auxiliary air compressors, welders, and trash compactors.
    (c) If the motor vehicle's engine radiator fan drive is equipped 
with a clutch or similar device that automatically either reduces the 
rotational speed of the fan or completely disengages the fan from its 
power source in response to reduced engine cooling loads, park the 
vehicle before testing with its engine running at high idle or any other 
speed the operator may choose, for sufficient time but not more than 10 
minutes, to permit the engine radiator fan to automatically disengage 
when the vehicle's noise emissions are measured under stationary test.
    (d) With the motor vehicle's transmission in neutral and its clutch 
engaged, rapidly accelerate the vehicle's engine from idle to its 
maximum governed speed with wide open throttle. Return the engine's 
speed to idle.
    (e) Observe the maximum reading on the sound level measurement 
system during the time the procedures specified in paragraph (d) of this 
section are followed. Record that reading, if the reading has not been 
influenced by extraneous noise sources such as motor vehicles operating 
on adjacent roadways.
    (f) Repeat the procedures specified in paragraphs (d) and (e) of 
this section until the first two maximum sound level readings that are 
within 2 dB(A) of each other are recorded. Numerically average those two 
maximum sound level readings. When appropriate, correct the average 
figure in accordance with the rules in subpart F of this part.
    (g) The average figure, corrected as appropriate, contained in 
accordance with paragraph (f) of this section, is the sound level 
generated by the motor vehicle for the purpose of determining whether it 
conforms to the Standard for Operation Under Stationary Test, 40 CFR 
202.21. (Table 1 in Sec.325.7 lists the range of maximum permissible 
sound level readings for various test conditions.)

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10226, Mar. 10, 1976]

[[Page 16]]



                      Subpart F_Correction Factors



Sec.325.71  Scope of the rules in this subpart.

    (a) The rules in this subpart specify correction factors which are 
added to, or subtracted from, the reading of the sound level generated 
by a motor vehicle, as displayed on a sound level measurement system, 
during the measurement of the motor vehicle's sound level emissions at a 
test site which is not a standard site.
    (b) The purpose of adding or subtracting a correction factor is to 
equate the sound level reading actually generated by the motor vehicle 
to the sound level reading it would have generated if the measurement 
had been made at a standard test site.



Sec.325.73  Microphone distance correction factors. \1\
---------------------------------------------------------------------------

    \1\ Table 1, in Sec.325.7 is a tabulation of the maximum allowable 
sound level readings taking into account both the distance correction 
factors contained in Sec.325.73 and the ground surface correction 
factors contained in Sec.325.75.
---------------------------------------------------------------------------

    If the distance between the microphone location point and the 
microphone target point is other than 50 feet (15.2 m), the maximum 
observed sound level reading generated by the motor vehicle in 
accordance with Sec.325.39 of this part or the numerical average of 
the recorded maximum observed sound level readings generated by the 
motor vehicle in accordance with Sec.325.59 of this part shall be 
corrected as specified in the following table:

                  Table 2--Distance Correction Factors
------------------------------------------------------------------------
                                                               The value
                                                               dB(A) to
                                                              be applied
                                                                to the
  If the distance between the microphone location point and    observed
               the microphone target point is                    sound
                                                                 level
                                                                reading
                                                                 is--
------------------------------------------------------------------------
31 feet (9.5 m) or more but less than 35 feet (10.7 m)......          -4
35 feet (10.7 m) or more but less than 39 feet (11.9 m).....          -3
39 feet (11.9 m) or more but less than 43 feet (13.1 m).....          -2
43 feet (13.1 m) or more but less than 48 feet (14.6 m).....          -1
48 feet (14.6 m) or more but less than 58 feet (17.7 m).....           0
58 feet (17.7 m) or more but less than 70 feet (21.3 m).....          +1
70 feet (21.3 m) or more but less than 83 feet (25.3 m).....          +2
------------------------------------------------------------------------


[40 FR 42437, Sept. 12, 1975, as amended at 54 FR 50385, Dec. 6, 1989]



Sec.325.75  Ground surface correction factors. \1\
---------------------------------------------------------------------------

    \1\ Table 1, in Sec.325.7 is a tabulation of the maximum allowable 
sound level readings taking into account both the distance correction 
factors contained in Sec.325.73 and the ground surface correction 
factors contained in Sec.325.75.
---------------------------------------------------------------------------

    (a) Highway operations. When measurements are made in accordance 
with the rules in subpart D of this part upon a test site which is 
``hard,'' a correction factor of 2 dB(A) shall be subtracted from the 
maximum observed sound level reading generated by the motor vehicle to 
determine whether the motor vehicle conforms to the Standards for 
Highway Operations, 40 CFR 202.20.
    (b) Stationary test. When measurements are made in accordance with 
the rules in subpart E of this part upon a test site which is ``soft,'' 
a correction factor of 2 dB(A) shall be added to the numerical average 
of the recorded maximum observed sound level readings generated by the 
motor vehicle to determine whether the motor vehicle conforms to the 
Standard for Operation Under Stationary Test, 40 CFR 202.21.



Sec.325.77  Computation of open site requirements--nonstandard sites.

    (a) If the distance between the microphone location point and the 
microphone target point is other than 50 feet (15.2 m), the test site 
must be an open site within a radius from both points which is equal to 
the distance between the microphone location point and the microphone 
target point.

[[Page 17]]

    (b) Plan view diagrams of nonstandard test sites are shown in 
Figures 3 and 4. Figure 3 illustrates a test site which is larger than a 
standard test site and is based upon a 60-foot (18.3 m) distance between 
the microphone location point and the microphone target point. (See 
Sec.325.79(b)(1) for an example of the application of the correction 
factor to a sound level reading obtained at such a site.) Figure 4 
illustrates a test site which is smaller than a standard test site and 
is based upon a 35-foot (10.7 m) distance between the microphone 
location point and the microphone target point. (See Sec.325.79(b)(2) 
for an example of the application of the correction factor to a sound 
level reading obtained at such a site.)
[GRAPHIC] [TIFF OMITTED] TC01AP91.012

[GRAPHIC] [TIFF OMITTED] TC01AP91.013



Sec.325.79  Application of correction factors.

    (a) If two correction factors apply to a measurement they are 
applied cumulatively.
    (b) The following examples illustrate the application of correction 
factors to sound level measurement readings:
    (1) Example 1--Highway operations. Assume that a motor vehicle 
generates a maximum observed sound level reading of 86 dB(A) during a 
measurement in accordance with the rules in subpart D of this part. 
Assume also that the distance between the microphone location point and 
the microphone target point is 60 feet (18.3 m) and that the measurement 
area of the test site is acoustically ``hard.'' The corrected sound 
level generated by the motor vehicle would be 85 dB(A), calculated as 
follows:

 86 dB(A) Uncorrected reading
+1 dB(A) Distance correction factor
-2 dB(A) Ground surface correction factor
----------
 85 dB(A) Corrected reading

    (2) Example 2--Stationary test. Assume that a motor vehicle 
generates maximum sound level readings which average 88 dB(A) during a 
measurement in accordance with the rules in subpart E of this part. 
Assume also that the distance between the microphone location point and 
the microphone target point is 35 feet (10.7 m), and that the 
measurement area of the test site is acoustically ``soft.'' The 
corrected sound level generated by the motor vehicle would be 87 dB(A), 
calculated as follows:

 88 dB(A) Uncorrected average of readings
-3 dB(A) Distance correction factor
+2 dB(A) Ground surface correction factor
----------

 87 dB(A) Corrected reading



                   Subpart G_Exhaust Systems and Tires



Sec.325.91  Exhaust systems.

    A motor vehicle does not conform to the visual exhaust system 
inspection requirements, 40 CFR 202.22, of the Interstate Motor Carrier 
Noise Emission Standards, if inspection of the exhaust system of the 
motor vehicle discloses that the system--

[[Page 18]]

    (a) Has a defect which adversely affects sound reduction, such as 
exhaust gas leaks or alteration or deterioration of muffler elements, 
(small traces of soot on flexible exhaust pipe sections shall not 
constitute a violation of this subpart);
    (b) Is not equipped with either a muffler or other noise dissipative 
device; or
    (c) Is equipped with a cut-out, by-pass, or similar device, unless 
such device is designed as an exhaust gas driven cargo unloading system.

[40 FR 42437, Sept. 12, 1975, as amended at 75 FR 57193, Sept. 20, 2010]



Sec.325.93  Tires.

    (a) Except as provided in paragraph (b) of this section, a motor 
vehicle does not conform to the visual tire inspection requirements, 40 
CFR 202.23, of the Interstate Motor Carrier Noise Emissions Standards, 
if inspection of any tire on which the vehicle is operating discloses 
that the tire has a tread pattern composed primarily of cavities in the 
tread (excluding sipes and local chunking) which are not vented by 
grooves to the tire shoulder or circumferentially to each other around 
the tire.
    (b) Paragraph (a) of this section does not apply to a motor vehicle 
operated on a tire having a tread pattern of the type specified in that 
paragraph, if the motor carrier who operates the motor vehicle 
demonstrates to the satisfaction of the Administrator or his/her 
designee that either--
    (1) The tire did not have that type of tread pattern when it was 
originally manufactured or newly remanufactured; or
    (2) The motor vehicle generates a maximum sound level reading of 90 
dB(A) or less when measured at a standard test site for highway 
operations at a distance of 15.3 meters (50 feet) and under the 
following conditions:
    (i) The measurement must be made at a time and place and under 
conditions specified by the Administrator or his/her designee.
    (ii) The motor vehicle must be operated on the same tires that were 
installed on it when the inspection specified in paragraph (a) of this 
section occurred.
    (iii) The motor vehicle must be operated on a highway having a 
posted speed limit of more than 56.3 kph (35 mph).
    (iv) The sound level measurement must be made while the motor 
vehicle is operating at the posted speed limit.

[40 FR 42437, Sept. 12, 1975, as amended at 60 FR 38743, July 28, 1995]

[[Page 19]]



          SUBCHAPTER B_FEDERAL MOTOR CARRIER SAFETY REGULATIONS





PART 350_COMMERCIAL MOTOR CARRIER SAFETY ASSISTANCE PROGRAM
--Table of Contents



                            Subpart A_General

Sec.
350.101 What is the Motor Carrier Safety Assistance Program (MCSAP)?
350.103 What is the purpose of this part?
350.105 What definitions are used in this part?
350.107 What jurisdictions are eligible for MCSAP funding?
350.109 What are the national program elements?
350.111 What constitutes traffic enforcement for the purpose of the 
          MCSAP?

                Subpart B_Requirements for Participation

350.201 What conditions must a State meet to qualify for Basic Program 
          Funds?
350.203 [Reserved]
350.205 How and when does a State apply for MCSAP funding?
350.207 What response does a State receive to its CVSP submission?
350.209 How does a State demonstrate that it satisfies the conditions 
          for Basic Program funding?
350.211 What is the format of the certification required by Sec.
          350.209?
350.213 What must a State CVSP include?
350.215 What are the consequences for a State that fails to perform 
          according to an approved CVSP or otherwise fails to meet the 
          conditions of this part?

                            Subpart C_Funding

350.301 What level of effort must a State maintain to qualify for MCSAP 
          funding?
350.303 What are the State and Federal shares of expenses incurred under 
          an approved CVSP?
350.305 Are U.S. Territories subject to the matching funds requirement?
350.307 How long are MCSAP funds available to a State?
350.309 What activities are eligible for reimbursement under the MCSAP?
350.311 What specific items are eligible for reimbursement under the 
          MCSAP?
350.313 How are MCSAP funds allocated?
350.315 How may Basic Program Funds be used?
350.317 What are Incentive Funds and how may they be used?
350.319 What are permissible uses of High Priority Activity Funds?
350.321 How may a State or local agency qualify for High Priority or New 
          Entrant Funds?
350.323 What criteria are used in the Basic Program Funds allocation?
350.325 [Reserved]
350.327 How may States qualify for Incentive Funds?
350.329 How may a State or local agency qualify for High Priority Funds?
350.331 How does a State ensure its laws and regulations are compatible 
          with the FMCSRs and HMRs?
350.333 What are the guidelines for the compatibility review?
350.335 What are the consequences if my State has laws or regulations 
          incompatible with the Federal regulations?
350.337 How may State laws and regulations governing motor carriers, CMV 
          drivers, and CMVs in interstate commerce differ from the 
          FMCSRs and still be considered compatible?
350.339 What are tolerance guidelines?
350.341 What specific variances from the FMCSRs are allowed for State 
          laws and regulations governing motor carriers, CMV drivers, 
          and CMVs engaged in intrastate commerce and not subject to 
          Federal jurisdiction?
350.343 How may a State obtain a new exemption for State laws and 
          regulations for a specific industry involved in intrastate 
          commerce?
350.345 How does a State apply for additional variances from the FMCSRs?

    Authority: 49 U.S.C. 13902, 31101-31104, 31108, 31136, 31140-31141, 
31161, 31310-31311, 31502; and 49 CFR 1.87.

    Source: 65 FR 15102, Mar. 21, 2000, unless otherwise noted.



                            Subpart A_General



Sec.350.101  What is the Motor Carrier Safety Assistance Program
(MCSAP)?

    The MCSAP is a Federal grant program that provides financial 
assistance to States to reduce the number and severity of accidents and 
hazardous materials incidents involving commercial motor vehicles (CMV). 
The goal of the MCSAP is to reduce CMV-involved accidents, fatalities, 
and injuries through consistent, uniform, and effective CMV safety 
programs. Investing grant monies in appropriate safety programs will

[[Page 20]]

increase the likelihood that safety defects, driver deficiencies, and 
unsafe motor carrier practices will be detected and corrected before 
they become contributing factors to accidents. The MCSAP also sets forth 
the conditions for participation by States and local jurisdictions and 
promotes the adoption and uniform enforcement of safety rules, 
regulations, and standards compatible with the Federal Motor Carrier 
Safety Regulations (FMCSRs) and Federal Hazardous Material Regulations 
(HMRs) for both interstate and intrastate motor carriers and drivers.



Sec.350.103  What is the purpose of this part?

    The purpose of this part is to ensure the Federal Motor Carrier 
Safety Administration (FMCSA), States, local government agencies and 
other political jurisdictions work in partnership to establish programs 
to improve motor carrier, CMV, and driver safety to support a safe and 
efficient transportation system by--
    (a) Making targeted investments to promote safe CMV transportation, 
including transportation of passengers and hazardous materials;
    (b) Investing in activities likely to generate maximum reductions in 
the number and severity of CMV crashes and fatalities resulting from 
such crashes;
    (c) Adopting and enforcing effective motor carrier, CMV, and driver 
safety regulations and practices consistent with Federal requirements; 
and
    (d) Assessing and improving State wide performance by setting 
program goals and meeting performance standards, measures and 
benchmarks.

[78 FR 60230, Oct. 1, 2013]



Sec.350.105  What definitions are used in this part?

    10-year average accident rate means for each State, the aggregate 
number of large truck-involved fatal crashes (as reported in the 
Fatality Analysis Reporting System (FARS)) for a 10-year period divided 
by the aggregate vehicle miles traveled (VMT) (as defined by the Federal 
Motor Carrier Safety Administration (FMCSA)) for the same 10-year 
period.
    Accident rate means for each State, the total number of fatal 
crashes involving large trucks (as measured by the FARS for each State) 
divided by the total VMT as defined by the FMCSA for each State for all 
vehicles.
    Agency means Federal Motor Carrier Safety Administration.
    Administrative Takedown Funds means funds deducted by the FMCSA each 
fiscal year from the amount made available for the MCSAP for expenses 
incurred in the administration of the MCSAP, including expenses to train 
State and local government employees.
    Administrator means Federal Motor Carrier Safety Administrator.
    Basic Program Funds means the total MCSAP funds less the High 
Priority Activity, Border Activity, Administrative Takedown, and 
Incentive Funds.
    Commercial motor vehicle (CMV) means a motor vehicle that has any of 
the following characteristics:
    (1) A gross vehicle weight (GVW), gross vehicle weight rating 
(GVWR), gross combination weight (GCW), or gross combination weight 
rating (GCWR) of 4,537 kilograms (10,001 pounds) or more.
    (2) Regardless of weight, is designed or used to transport 16 or 
more passengers, including driver.
    (3) Regardless of weight, is used in the transportation of hazardous 
materials and is required to be placarded pursuant to 49 CFR part 172, 
subpart F.
    Commercial vehicle safety plan (CVSP) means the document outlining 
the State's CMV safety objectives, strategies, activities and 
performance measures.
    Compatible or Compatibility means State laws and regulations 
applicable to interstate commerce and to intrastate movement of 
hazardous materials are identical to the FMCSRs and the HMRs or have the 
same effect as the FMCSRs. State laws applicable to intrastate commerce 
are either identical to, or have the same effect as, the FMCSRs or fall 
within the established limited variances under Sec.350.341.
    High Priority Activity Funds means funds provided for carrying out 
high-priority activities and projects that improve CMV safety and 
compliance with CMV safety regulations (including

[[Page 21]]

activities and projects that are national in scope), increase public 
awareness and education, demonstrate new technologies, and reduce the 
number and rate of accidents involving CMVs.
    Incentive Funds means funds awarded to States achieving reductions 
in CMV involved fatal accidents, CMV fatal accident rate, or meeting 
specified CMV safety program performance criteria.
    Large truck means a truck over 10,000 pounds gross vehicle weight 
rating including single unit trucks and truck tractors (FARS 
definition).
    Motor carrier means a for-hire motor carrier or private motor 
carrier. The term includes a motor carrier's agents, officers, or 
representatives responsible for hiring, supervising, training, 
assigning, or dispatching a driver or concerned with the installation, 
inspection, and maintenance of motor vehicle equipment or accessories or 
both.
    New Entrant Funds means funds provided to State and local 
governments to conduct safety audits on New Entrant motor carriers under 
the New Entrant Safety Assurance Program.
    North American Standard Inspection means the methodology used by 
State CMV safety inspectors to conduct safety inspections of CMVs. This 
consists of various levels of inspection of the vehicle or driver or 
both. The inspection criteria are developed by the FMCSA in conjunction 
with the Commercial Vehicle Safety Alliance (CVSA), an association of 
States, Canadian Provinces, and Mexico whose members agree to adopt 
these standards for inspecting CMVs in their jurisdiction.
    Operating authority means the registration required by 49 U.S.C. 
13902, 49 CFR part 365, 49 CFR part 368, and 49 CFR 392.9a.

[65 FR 15102, Mar. 21, 2000, as amended at 71 FR 50866, Aug. 28, 2006; 
72 FR 36769, July 5, 2007; 77 FR 59823, Oct. 1, 2012]



Sec.350.107  What jurisdictions are eligible for MCSAP funding?

    All of the States, the District of Columbia, the Commonwealth of 
Puerto Rico, the Commonwealth of the Northern Mariana Islands, American 
Samoa, Guam, and the Virgin Islands are eligible to receive MCSAP grants 
directly from the FMCSA. For purposes of this subpart, all references to 
``State'' or ``States'' include these jurisdictions.



Sec.350.109  What are the national program elements?

    The national program elements include the following five activities:
    (a) Driver/vehicle inspections.
    (b) Traffic enforcement.
    (c) Compliance reviews.
    (d) Public education and awareness.
    (e) Data collection.



Sec.350.111  What constitutes traffic enforcement for the purpose of the MCSAP?

    Traffic enforcement means enforcement activities of State or local 
officials, including the stopping of vehicles operating on highways, 
streets, or roads for moving violations of State or local motor vehicle 
or traffic laws (e.g., speeding, following too closely, reckless 
driving, improper lane changes).

[72 FR 36769, July 5, 2007]



                Subpart B_Requirements for Participation



Sec.350.201  What conditions must a State meet to qualify for Basic 
Program Funds?

    Each State must meet the following 25 conditions:
    (a) Assume responsibility for improving motor carrier safety and 
adopting and enforcing State safety laws and regulations that are 
compatible with the FMCSRs (49 CFR parts 390-397) and the HMRs (49 CFR 
parts 107 (subparts F and G only), 171-173, 177, 178 and 180), except as 
may be determined by the Administrator to be inapplicable to a State 
enforcement program.
    (b) Implement performance-based activities, including deployment of 
technology to enhance the efficiency and effectiveness of CMV safety 
programs.
    (c) Designate, in its State Certification, the lead State agency 
responsible for implementing the CVSP.
    (d) Ensure that only agencies having the legal authority, resources, 
and qualified personnel necessary to enforce the FMCSRs and HMRs or 
compatible State laws or regulations are assigned to perform functions 
in accordance with the approved CVSP.

[[Page 22]]

    (e) Allocate adequate funds for the administration of the CVSP 
including the enforcement of the FMCSRs, HMRs, or compatible State laws 
or regulations.
    (f) Maintain the aggregate expenditure of funds by the State lead 
agency responsible for implementing the CVSP, exclusive of Federal funds 
and State matching amounts, for CMV safety programs eligible for funding 
under this part, at a level at least equal to the average level of that 
expenditure for fiscal years 2004 and 2005. Upon the request of a State, 
the Secretary may allow the State to exclude State expenditures for 
Government-sponsored demonstration or pilot projects. Upon the request 
of a State, the Secretary may waive or modify the requirements of this 
subsection for one fiscal year, if the Secretary determines that a 
waiver is equitable due to exceptional or uncontrollable circumstances, 
such as a natural disaster or a serious decline in the financial 
resources of the MCSAP agency.
    (g) Provide legal authority for a right of entry and inspection 
adequate to carry out the CVSP.
    (h) Prepare and submit to the FMCSA, upon request, all reports 
required in connection with the CVSP or other conditions of the grant.
    (i) Adopt and use the reporting standards and forms required by the 
FMCSA to record work activities performed under the CVSP.
    (j) Require registrants of CMVs to declare, at the time of 
registration, their knowledge of applicable FMCSRs, HMRs, or compatible 
State laws or regulations.
    (k) Grant maximum reciprocity for inspections conducted under the 
North American Standard Inspection through the use of a nationally 
accepted system that allows ready identification of previously inspected 
CMVs.
    (l) Conduct CMV size and weight enforcement activities funded under 
this program only to the extent those activities do not diminish the 
effectiveness of other CMV safety enforcement programs.
    (m) Coordinate the CVSP, data collection and information systems, 
with State highway safety programs under title 23 United States Code 
(U.S.C.).
    (n) Ensure participation in appropriate FMCSA systems and other 
information systems by all appropriate jurisdictions receiving funding 
under this section.
    (o) Ensure information is exchanged with other States in a timely 
manner.
    (p) Emphasize and improve enforcement of State and local traffic 
laws and regulations related to CMV safety.
    (q) Promote activities in support of the national program elements 
listed in Sec.350.109, including the following three activities:
    (1) Activities aimed at removing impaired CMV drivers from the 
highways through adequate enforcement of restrictions on the use of 
alcohol and controlled substances and by ensuring ready roadside access 
to alcohol detection and measuring equipment.
    (2) Activities aimed at providing an appropriate level of training 
to MCSAP personnel to recognize drivers impaired by alcohol or 
controlled substances.
    (3) Interdiction activities affecting the transportation of 
controlled substances by CMV drivers and training on appropriate 
strategies for carrying out those interdiction activities.
    (r) Enforce requirements relating to the licensing of CMV drivers, 
including checking the status of commercial drivers' licenses (CDL).
    (s) Establish and dedicate sufficient resources to a program to 
ensure that accurate, complete, and timely motor carrier safety data are 
collected and reported, and ensure the State's participation in a 
national motor carrier safety data correction system prescribed by 
FMCSA.
    (t)(1) Enforce registration (i.e., operating authority) requirements 
under 49 U.S.C. 13902, 49 CFR part 365, 49 CFR part 368, and 49 CFR 
392.9a by prohibiting the operation of (i.e., placing out of service) 
any vehicle discovered to be operating without the required operating 
authority or beyond the scope of the motor carrier's operating 
authority.
    (2) Enforce financial responsibility requirements under 49 U.S.C. 
13906, 31138, 31139, and 49 CFR part 387.
    (u) Adopt and maintain consistent, effective, and reasonable 
sanctions for violations of CMV, driver, and hazardous materials 
regulations.

[[Page 23]]

    (v) Ensure that MCSAP agencies have policies that stipulate roadside 
inspections will be conducted at locations that are adequate to protect 
the safety of drivers and enforcement personnel.
    (w) Include in the training manual for the licensing examination to 
drive a CMV and the training manual for the licensing examination to 
drive a non-CMV information on best practices for driving safely in the 
vicinity of non-CMVs and CMVs.
    (x) Conduct comprehensive and highly visible traffic enforcement and 
CMV safety inspection programs in high-risk locations and corridors.
    (y) Except in the case of an imminent or obvious safety hazard, 
ensure that an inspection of a vehicle transporting passengers for a 
motor carrier of passengers is conducted at a station, terminal, border 
maintenance facility, destination, or other location where a motor 
carrier may make a planned stop.
    (z) Ensure transmittal to roadside inspectors the notice of each 
Federal exemption the State receives from FMCSA pursuant to 49 CFR part 
381 subpart C, including the name of the person granted the exemption 
and any terms and conditions that apply to the exemption.

[65 FR 15102, Mar. 21, 2000, as amended at 67 FR 55165, Aug. 28, 2002; 
67 FR 61820, Oct. 2, 2002; 71 FR 50866, Aug. 28, 2006; 72 FR 36769, July 
5, 2007; 75 FR 17240, Apr. 5, 2010; 77 FR 28449, 28454, May 14, 2012; 78 
FR 60230, Oct. 1, 2013]



Sec.350.203     [Reserved]



Sec.350.205  How and when does a State apply for MCSAP funding?

    (a) The lead agency, designated by the Governor, must submit the 
State's CVSP to the Division Administrator/State Director, FMCSA, on or 
before August 1 of each year.
    (b) This deadline may, for good cause, be extended by the Division 
Administrator/State Director for a period not to exceed 30 calendar 
days.
    (c) For a State to receive funding, the CVSP must be complete and 
include all required documents.

[65 FR 15102, Mar. 21, 2000, as amended at 77 FR 59823, Oct. 1, 2012; 78 
FR 58478, Sept. 24, 2013]



Sec.350.207  What response does a State receive to its CVSP submission?

    (a) The FMCSA will notify the State, in writing, within 30 days of 
receipt of the CVSP whether:
    (1) The plan is approved.
    (2) Approval of the plan is withheld because the CVSP does not meet 
the requirements of this part, or is not adequate to ensure effective 
enforcement of the FMCSRs and HMRs or compatible State laws and 
regulations.
    (b) If approval is withheld, the State will have 30 days from the 
date of the notice to modify and resubmit the plan.
    (c) Disapproval of a resubmitted plan is final.
    (d) Any State aggrieved by an adverse decision under this section 
may seek judicial review under 5 U.S.C. chapter 7.



Sec.350.209  How does a State demonstrate that it satisfies the
conditions for Basic Program funding?

    (a) The Governor, the State's Attorney General, or other State 
official specifically designated by the Governor, must execute a State 
Certification as described in Sec.350.211.
    (b) The State must submit the State Certification along with its 
CVSP, and supplement it with a copy of any State law, regulation, or 
form pertaining to CMV safety adopted since the State's last 
certification that bears on the items contained in Sec.350.201 of this 
subpart.



Sec.350.211  What is the format of the certification required
by Sec.350.209?

    The State's certification must be consistent with the following 
content:

    I (name), (title), on behalf of the State (or Commonwealth) of 
(State), as requested by the Administrator as a condition of approval of 
a grant under the authority of 49 U.S.C. 31102, as amended, do hereby 
certify as follows:

[[Page 24]]

    1. The State has adopted commercial motor carrier and highway 
hazardous materials safety rules and regulations that are compatible 
with the FMCSRs and the HMRs.
    2. The State has designated (name of State CMV safety agency) as the 
lead agency to administer the CVSP for the grant sought and (names of 
agencies) to perform defined functions under the plan. These agencies 
have the legal authority, resources, and qualified personnel necessary 
to enforce the State's commercial motor carrier, driver, and highway 
hazardous materials safety laws or regulations.
    3. The State will obligate the funds or resources necessary to 
provide a matching share to the Federal assistance provided in the grant 
to administer the plan submitted and to enforce the State's commercial 
motor carrier safety, driver, and hazardous materials laws or 
regulations in a manner consistent with the approved plan.
    4. The laws of the State provide the State's enforcement officials 
right of entry and inspection sufficient to carry out the purposes of 
the CVSP, as approved, and provide that the State will grant maximum 
reciprocity for inspections conducted pursuant to the North American 
Standard Inspection procedure, through the use of a nationally accepted 
system allowing ready identification of previously inspected CMVs.
    5. The State requires that all reports relating to the program be 
submitted to the appropriate State agency or agencies, and the State 
will make these reports available, in a timely manner, to the FMCSA on 
request.
    6. The State has uniform reporting requirements and uses FMCSA 
designated forms for record keeping, inspection, and other enforcement 
activities.
    7. The State has in effect a requirement that registrants of CMVs 
declare their knowledge of the applicable Federal or State CMV safety 
laws or regulations.
    8. The State must maintain the average aggregate expenditure of the 
State lead agency responsible for implementing the CVSP, exclusive of 
Federal assistance and State matching funds, for CMV safety programs 
eligible for funding under the Basic program at a level at least equal 
to the average level of that expenditure for fiscal years 2004 and 2005. 
These expenditures must cover at least the following four program areas, 
as applicable:
    a. Motor carrier safety programs in accordance with 49 CFR 350.109.
    b. Size and weight enforcement programs in accordance with 49 CFR 
350.309(c)(1).
    c. Drug interdiction enforcement programs in accordance with 49 CFR 
350.309(c)(2).
    d. Traffic safety programs in accordance with 49 CFR 350.309(d).
    9. The State will ensure that CMV size and weight enforcement 
activities funded with MCSAP funds will not diminish the effectiveness 
of other CMV safety enforcement programs.
    10. The State will ensure that violation fines imposed and collected 
by the State are consistent, effective, and equitable.
    11. The State will establish a program to provide FMCSA with 
accurate, complete, and timely reporting of motor carrier safety 
information that includes documenting the effects of the State's CMV 
safety programs; participate in a national motor carrier safety data 
correction program (DataQs); participate in appropriate FMCSA systems; 
and ensure information is exchanged in a timely manner with other 
States.
    12. The State will ensure that the CVSP, data collection, and 
information systems are coordinated with the State highway safety 
program under title 23, U.S. Code. The name of the Governor's highway 
safety representative (or other authorized State official through whom 
coordination was accomplished) is ------------. (Name)
    13. The State has undertaken efforts to emphasize and improve 
enforcement of State and local traffic laws as they pertain to CMV 
safety.
    14. The State will ensure that MCSAP agencies have departmental 
policies stipulating that roadside inspections will be conducted at 
locations that are adequate to protect the safety of drivers and 
enforcement personnel.
    15. The State will ensure that requirements relating to the 
licensing of CMV drivers are enforced, including checking the status of 
CDLs.
    16. The State will ensure that MCSAP-funded personnel, including 
sub-grantees, meet the minimum Federal standards set forth in 49 CFR 
part 385, subpart C for training and experience of employees performing 
safety audits, compliance reviews, or driver/vehicle roadside 
inspection.
    17. The State will enforce operating authority requirements under 49 
CFR 392.9a by prohibiting the operation of any vehicle discovered to be 
operating without the required operating authority or beyond the scope 
of the motor carrier's operating authority.
    18. The State will enforce the financial responsibility requirements 
under 49 CFR part 387 as applicable to CMVs subject to the provisions of 
49 CFR 392.9a.
    19. The State will include, in the training manual for the licensing 
examination to drive a non-CMV and the training manual for the licensing 
examination to drive a CMV, information on best practices for safe 
driving in the vicinity of noncommercial and commercial motor vehicles.
    20. The State will conduct comprehensive and highly visible traffic 
enforcement and CMV safety inspection programs in high-risk locations 
and corridors.
    21. The State will ensure that, except in the case of an imminent or 
obvious safety

[[Page 25]]

hazard, an inspection of a vehicle transporting passengers for a motor 
carrier of passengers is conducted at a station, terminal, border 
crossing, maintenance facility, destination, or other location where 
motor carriers may make planned stops.
    22. The State will transmit to its roadside inspectors the notice of 
each Federal exemption granted pursuant to 49 U.S.C. 31315(b) as 
provided to the State by FMCSA, including the name of the person granted 
the exemption and any terms and conditions that apply to the exemption.

 Date___________________________________________________________________
 Signature______________________________________________________________

[65 FR 15102, Mar. 21, 2000, as amended at 67 FR 12779, Mar. 19, 2002; 
67 FR 61820, Oct. 2, 2002; 72 FR 36770, July 5, 2007; 78 FR 60231, Oct. 
1, 2013]



Sec.350.213  What must a State CVSP include?

    The State's CVSP must reflect a performance-based program, and 
contain the following eighteen items:
    (a) A general overview section that must include the following two 
items:
    (1) A statement of the State agency goal or mission.
    (2) A program summary of the effectiveness of the prior years' 
activities in reducing CMV accidents, injuries and fatalities, and 
improving driver and motor carrier safety performance. Data periods used 
must be consistent from year to year. This may be calendar year or 
fiscal year or any 12-month period of time for which the State's data is 
current. The summary must show trends supported by safety and program 
performance data collected over several years. It must identify safety 
or performance problems in the State and those problems must be 
addressed in the new or modified CVSP.
    (b) A brief narrative describing how the State program addresses the 
national program elements listed in Sec.350.109. The plan must address 
these elements even if there are no planned activities in a program 
area. The rationale for the resource allocation decision must be 
explained. The narrative section must include a description of how the 
State supports the activities identified in Sec.350.201(q) and (t).
    (1) Activities aimed at removing impaired CMV drivers from the 
highways through adequate enforcement of restrictions on the use of 
alcohol and controlled substances and by ensuring ready roadside access 
to alcohol detection and measuring equipment.
    (2) Activities aimed at providing an appropriate level of training 
to MCSAP personnel to recognize drivers impaired by alcohol or 
controlled substances.
    (3) Interdiction activities affecting the transportation of 
controlled substances by CMV drivers and training on appropriate 
strategies for carrying out those interdiction activities.
    (4) Activities to enforce registration requirements under 49 U.S.C. 
13902 and 49 CFR part 365 and financial responsibility requirements 
under 49 U.S.C. 13906, 31138 and 31139 and 49 CFR part 387.
    (c) A definitive problem statement for each objective, supported by 
data or other information. The CVSP must identify the source of the 
data, and who is responsible for its collection, maintenance, and 
analysis.
    (d) Performance objectives, stated in quantifiable terms, to be 
achieved through the State plan. Objectives must include a measurable 
reduction in highway accidents or hazardous materials incidents 
involving CMVs. The objective may also include documented improvements 
in other program areas (e.g., legislative or regulatory authority, 
enforcement results, or resource allocations).
    (e) Strategies to be employed to achieve performance objectives. 
Strategies may include education, enforcement, legislation, use of 
technology and improvements to safety infrastructure.
    (f) Specific activities intended to achieve the stated strategies 
and objectives. Planned activities must be eligible under this program 
as defined in Sec. Sec.350.309 and 350.311.
    (g) Specific quantifiable performance measures, as appropriate. 
These performance measures will be used to assist the State in 
monitoring the progress of its program and preparing an annual 
evaluation.
    (h) A description of the State's method for ongoing monitoring of 
the progress of its plan. This should include who will conduct the 
monitoring, the frequency with which it will be carried out, and how and 
to whom reports will be made.

[[Page 26]]

    (i) An objective evaluation that discusses the progress towards 
individual objectives listed under the ``Performance Objectives'' 
section of the previous year's CVSP and identifies any safety or 
performance problems discovered. States will identify those problems as 
new objectives or make modifications to the existing objectives in the 
next CVSP.
    (j) A budget which supports the CVSP, describing the expenditures 
for allocable costs such as personnel and related costs, equipment 
purchases, printing, information systems costs, and other eligible costs 
consistent with Sec. Sec.350.311 and 350.309.
    (k) A budget summary form including planned expenditures for that 
fiscal year and projected number of activities in each national program 
element, except data collection.
    (l) The results of the annual review to determine the compatibility 
of State laws and regulations with the FMCSRs and HMRs.
    (m) A copy of any new law or regulation affecting CMV safety 
enforcement that was enacted by the State since the last CVSP was 
submitted.
    (n) Executed State Certification as outlined in Sec.350.211.
    (o) List of MCSAP contacts.
    (p) Annual Certification of Compatibility, Sec.350.331.
    (q) State Training Plan.

[65 FR 15102, Mar. 21, 2000, as amended at 67 FR 61820, Oct. 2, 2002; 67 
FR 63019, Oct. 9, 2002; 77 FR 59823, Oct. 1, 2012]



Sec.350.215  What are the consequences for a State that fails to
perform according to an approved CVSP or otherwise fails to meet
the conditions of this part?

    (a) If a State is not performing according to an approved plan or 
not adequately meeting conditions set forth in Sec.350.201, the 
Administrator may issue a written notice of proposed determination of 
nonconformity to the Governor of the State or the official designated in 
the plan. The notice will set forth the reasons for the proposed 
determination.
    (b) The State will have 30 days from the date of the notice to 
reply. The reply must address the deficiencies or incompatibility cited 
in the notice and provide documentation as necessary.
    (c) After considering the State's reply, the Administrator will make 
a final decision.
    (d) In the event the State fails timely to reply to a notice of 
proposed determination of nonconformity, the notice becomes the 
Administrator's final determination of nonconformity.
    (e) Any adverse decision will result in immediate cessation of 
Federal funding under this part.
    (f) Any State aggrieved by an adverse decision under this section 
may seek judicial review under 5 U.S.C. chapter 7.



                            Subpart C_Funding



Sec.350.301  What level of effort must a State maintain to qualify
for MCSAP funding?

    (a) The State must maintain the average aggregate expenditure of the 
State and its political subdivisions, exclusive of Federal funds and 
State matching funds, for CMV safety programs eligible for funding under 
this part at a level at least equal to the average level of expenditure 
for fiscal years 2004 and 2005.
    (b) Determination of a State's level of effort must not include the 
following three things:
    (1) Federal funds received for support of motor carrier and 
hazardous materials safety enforcement.
    (2) State matching funds.
    (3) State funds used for federally sponsored demonstration or pilot 
CMV safety programs.
    (c) The State must include costs associated with activities 
performed during the base period by the lead agency responsible for 
implementing the CVSP that receives funds under this part. It must 
include only those activities which meet the current requirements for 
funding eligibility under the grant program.

[65 FR 15102, Mar. 21, 2000, as amended at 72 FR 36770, July 5, 2007; 78 
FR 60231, Oct. 1, 2013]

[[Page 27]]



Sec.350.303  What are the State and Federal shares of expenses
incurred under an approved CVSP?

    (a) The FMCSA will reimburse up to 80 percent of the eligible costs 
incurred in the administration of an approved CVSP.
    (b) In-kind contributions are acceptable in meeting the State's 
matching share if they represent eligible costs as established by 49 CFR 
part 18 or agency policy.



Sec.350.305  Are U.S. Territories subject to the matching funds requirement?

    The Administrator waives the requirement for matching funds for the 
Virgin Islands, American Samoa, Guam, and the Commonwealth of the 
Northern Mariana Islands.



Sec.350.307  How long are MCSAP funds available to a State?

    The funds obligated to a State will remain available for the rest of 
the fiscal year in which they were obligated and the next full fiscal 
year. The State must account for any prior year's unexpended funds in 
the annual CVSP. Funds must be expended in the order in which they are 
obligated.



Sec.350.309  What activities are eligible for reimbursement under
the MCSAP?

    The primary activities eligible for reimbursement are:
    (a) The five national program elements listed in Sec.350.109 of 
this part.
    (b) Sanitary food transportation inspections performed under 49 
U.S.C. 5708.
    (c) The following two activities, when accompanied by an appropriate 
North American Standard Inspection and inspection report:
    (1) Enforcement of CMV size and weight limitations at locations 
other than fixed weight facilities; at specific locations such as steep 
grades or mountainous terrains where the weight of a CMV can 
significantly affect the safe operation of the vehicle; or at ports 
where intermodal shipping containers enter and leave the United States.
    (2) Detection of the unlawful presence of a controlled substance in 
a CMV or on the person of any occupant (including the operator) of the 
vehicle.
    (d) Documented enforcement of State traffic laws and regulations 
designed to promote the safe operation of CMVs, including documented 
enforcement of such laws and regulations relating to non-CMVs when 
necessary to promote the safe operation of CMVs, if the number of motor 
carrier safety activities (including roadside safety inspections) 
conducted in the State is maintained at a level at least equal to the 
average level of such activities conducted in the State in fiscal years 
2003, 2004, and 2005. The State may not use more than 5 percent of its 
MCSAP Basic Program funds for enforcement activities relating to non-
CMVs unless the Administrator determines that a higher percentage will 
result in significant increases in CMV safety.

[65 FR 15102, Mar. 21, 2000, as amended at 72 FR 36770, July 5, 2007]



Sec.350.311  What specific items are eligible for reimbursement under
the MCSAP?

    All reimbursable items must be necessary, reasonable, allocable to 
the approved CVSP, and allowable under this part and 49 CFR part 18. The 
eligibility of specific items is subject to review by the FMCSA. The 
following six types of expenses are eligible for reimbursement:
    (a) Personnel expenses, including recruitment and screening, 
training, salaries and fringe benefits, and supervision.
    (b) Equipment and travel expenses, including per diem, directly 
related to the enforcement of safety regulations, including vehicles, 
uniforms, communications equipment, special inspection equipment, 
vehicle maintenance, fuel, and oil.
    (c) Indirect expenses for facilities, except fixed scales, used to 
conduct inspections or house enforcement personnel, support staff, and 
equipment to the extent they are measurable and recurring (e.g., rent 
and overhead).
    (d) Expenses related to data acquisition, storage, and analysis that 
are specifically identifiable as program-related to develop a data base 
to coordinate resources and improve efficiency.
    (e) Clerical and administrative expenses, to the extent necessary 
and directly attributable to the MCSAP.

[[Page 28]]

    (f) Expenses related to the improvement of real property (e.g., 
installation of lights for the inspection of vehicles at night). 
Acquisition of real property, land, or buildings are not eligible costs.



Sec.350.313  How are MCSAP funds allocated?

    (a) After deducting administrative expenses authorized in 49 U.S.C. 
31104(e), the MCSAP funds are allocated as follows:
    (1) An amount of the MCSAP funds appropriated for each fiscal year 
up to the maximum allowed by law may be distributed for High Priority 
Activities and Projects at the discretion of the Administrator.
    (2) An amount of the MCSAP funds appropriated for each fiscal year 
up to the maximum allowed by law may be distributed for safety audits of 
New Entrant motor carriers under the New Entrant Safety Assurance 
Program at the discretion of the Administrator.
    (3) The remaining funds will be allocated among qualifying States in 
two ways:
    (i) As Basic Program Funds in accordance with Sec.350.323 of this 
part,
    (ii) As Incentive Funds in accordance with Sec.350.327 of this 
part.
    (b) The funding provided under paragraph (a)(1) of this section may 
be made available to State agencies, local governments, and 
organizations representing government agencies or officials that use and 
train qualified officers and employees in coordination with State motor 
vehicle safety agencies. At least 90 percent of the amount set aside in 
a fiscal year shall be awarded in grants to State agencies and local 
government agencies.
    (c) The funding provided under paragraph (a)(2) of this section may 
be made available to State and local governments. If the Administrator 
determines that a State or local government is not able to use 
government employees to conduct New Entrant motor carrier audits, the 
Administrator may use the funds under paragraph (a)(2) to conduct audits 
for such State or local governments.

[65 FR 15102, Mar. 21, 2000, as amended at 72 FR 36770, July 5, 2007; 77 
FR 59823, Oct. 1, 2012]



Sec.350.315  How may Basic Program Funds be used?

    Basic Program Funds may be used for any eligible activity or item 
consistent with Sec. Sec.350.309 and 350.311.



Sec.350.317  What are Incentive Funds and how may they be used?

    Incentive Funds are monies, in addition to Basic Program Funds, 
provided to States that achieve reduction in CMV-involved fatal 
accidents, CMV fatal accident rate, or that meet specified CMV safety 
performance criteria. Incentive Funds may be used for any eligible 
activity or item consistent with Sec. Sec.350.309 and 350.311.



Sec.350.319  What are permissible uses of High Priority Activity Funds?

    (a) The FMCSA may generally use these funds to support, enrich, or 
evaluate State CMV safety programs and to accomplish the five objectives 
listed below:
    (1) Implement, promote, and maintain national programs to improve 
CMV safety.
    (2) Increase compliance with CMV safety regulations.
    (3) Increase public awareness about CMV safety.
    (4) Provide education on CMV safety and related issues.
    (5) Demonstrate new safety related technologies.
    (b) These funds will be allocated, at the discretion of the FMCSA, 
to States, local governments, and other organizations that use and train 
qualified officers and employees in coordination with State safety 
agencies.
    (c) The FMCSA will notify the States when such funds are available.
    (d) The Administrator may set aside an amount of MCSAP funding up to 
the maximum allowed by law for these projects and activities in each 
fiscal year.
    (e) FMCSA will reimburse up to 80 percent of the eligible costs in 
the administration of an approved project plan, except that approved 
public information and education activities may be reimbursed up to 100 
percent of the eligible costs.

[65 FR 15102, Mar. 21, 2000, as amended at 72 FR 36771, July 5, 2007]

[[Page 29]]



Sec.350.321  What are permissible uses of New Entrant Funds?

    (a) These funds may be used to conduct safety audits on New Entrant 
motor carriers under the New Entrant Safety Assurance Program.
    (b) New Entrant funds will be allocated, at the discretion of FMCSA, 
to State and local governments.
    (c) FMCSA will notify States when such funds are available.
    (d) The Administrator may designate up to the maximum amount allowed 
by law of MCSAP funding for these projects in each fiscal year. FMCSA 
will reimburse up to 100 percent of the eligible costs in the 
administration of an approved project plan.

[72 FR 36771, July 5, 2007]



Sec.350.323  What criteria are used in the Basic Program Funds allocation?

    (a) The funds are distributed proportionally to the States using the 
following four, equally weighted (25 percent), factors.
    (1) 1997 Road miles (all highways) as defined by the FMCSA.
    (2) All vehicle miles traveled (VMT) as defined by the FMCSA.
    (3) Population--annual census estimates as issued by the U.S. Census 
Bureau.
    (4) Special fuel consumption (net after reciprocity adjustment) as 
defined by the FMCSA.
    (b) Distribution of Basic Program Funds is subject to a maximum and 
minimum allocation as illustrated in the Table to this section, as 
follows:

  Table to Sec. 350.323(b)--Basic Program Fund Allocation Limitations
------------------------------------------------------------------------
          Recipient            Maximum allocation    Minimum allocation
------------------------------------------------------------------------
States and Puerto Rico......  4.944% of the Basic   $350,000 or 0.44% of
                               Program Funds.        Basic Program
                                                     Funds, whichever is
                                                     greater.
------------------------------------------------------------------------
U.S. Territories............            $350,000 (fixed amount)
------------------------------------------------------------------------



Sec.350.325     [Reserved]



Sec.350.327  How may States qualify for Incentive Funds?

    (a) A State may qualify for Incentive Funds if it can demonstrate 
that its CMV safety program has shown improvement in any or all of the 
following five categories:
    (1) Reduction of large truck-involved fatal accidents.
    (2) Reduction of large truck-involved fatal accident rate or 
maintenance of a large truck-involved fatal accident rate that is among 
the lowest 10 percent of such rates of MCSAP recipients.
    (3) Upload of CMV accident reports in accordance with current FMCSA 
policy guidelines.
    (4) Verification of CDLs during all roadside inspections.
    (5) Upload of CMV inspection data in accordance with current FMCSA 
policy guidelines.
    (b) Incentive Funds will be distributed based upon the five 
following safety and program performance factors:
    (1) Five shares will be awarded to States that reduce the number of 
large truck-involved fatal accidents for the most recent calendar year 
for which data are available when compared to the 10-year average number 
of large truck-involved fatal accidents ending with the preceding year. 
The 10-year average will be computed from the number of large truck-
involved fatal crashes, as reported by the FARS, administered by the 
National Highway Traffic Safety Administration (NHTSA).
    (2) Four shares will be awarded to States that reduce the fatal-
accident rate for the most recent calendar year for which data are 
available when compared to each State's average fatal accident rate for 
the preceding 10-year period. States with the lowest 10 percent of 
accident rates in the most recent calendar year for which data are 
available will be awarded three shares if the rate for the State is the 
same as its average accident rate for the preceding 10-year period.

[[Page 30]]

    (3) Two shares will be awarded to States that upload CMV accident 
data within FMCSA policy guidelines.
    (4) Two shares will be awarded to States that certify their MCSAP 
inspection agencies have departmental policies that stipulate CDLs are 
verified, as part of the inspection process, through Commercial Driver's 
License Information System (CDLIS), National Law Enforcement Tracking 
System (NLETS), or the State licensing authority.
    (5) Two shares will be awarded to States that upload CMV inspection 
reports within current FMCSA policy guidelines.
    (c) The total of all States' shares awarded will be divided into the 
dollar amount of Incentive Funds available, thereby establishing the 
value of one share. Each State's incentive allocation will then be 
determined by multiplying the State's percentage participation in the 
formula allocation of Basic Program Funds, by the number of shares it 
received that year, multiplied by the dollar value of one share.
    (d) States may use Incentive Funds for any eligible CMV safety 
purpose.
    (e) Incentive Funds are subject to the same State matching 
requirements as Basic Program Funds.

[65 FR 15102, Mar. 21, 2000, as amended at 77 FR 59823, Oct. 1, 2012]



Sec.350.329  How may a State or local agency qualify for High Priority Funds?

    (a) States must meet the requirements of Sec.350.201, as 
applicable.
    (b) Local agencies must meet the following nine conditions:
    (1) Prepare a proposal in accordance with Sec.350.213, as 
applicable.
    (2) Coordinate the proposal with the State lead MCSAP agency to 
ensure the proposal is consistent with State and national CMV safety 
program priorities.
    (3) Certify that your local jurisdiction has the legal authority, 
resources, and trained and qualified personnel necessary to perform the 
functions specified in the proposal.
    (4) Designate a person who will be responsible for implementation, 
reporting, and administering the approved proposal and will be the 
primary contact for the project.
    (5) Agree to fund up to 20 percent of the proposed request.
    (6) Agree to prepare and submit all reports required in connection 
with the proposal or other conditions of the grant.
    (7) Agree to use the forms and reporting criteria required by the 
State lead MCSAP agency and/or the FMCSA to record work activities to be 
performed under the proposal.
    (8) Certify that the local agency will impose sanctions for 
violations of CMV and driver laws and regulations that are consistent 
with those of the State.
    (9) Certify participation in national data bases appropriate to the 
project.



Sec.350.331  How does a State ensure its laws and regulations are
compatible with the FMCSRs and HMRs?

    (a) A State must review any new law or regulation affecting CMV 
safety as soon as possible, but in any event immediately after enactment 
or issuance, for compatibility with the FMCSRs and HMRs.
    (b) If the review determines that the new law or regulation is 
incompatible with the FMCSRs and/or HMRs, the State must immediately 
notify the Division Administrator/State Director.
    (c) A State must conduct an annual review of its laws and 
regulations for compatibility and report the results of that review in 
the annual CVSP in accordance with Sec.350.213(l) along with a 
certification of compliance, no later than August 1 of each year. The 
report must include the following two items:
    (1) A copy of the State law, regulation, or policy relating to CMV 
safety that was adopted since the State's last report.
    (2) A certification, executed by the State's Governor, Attorney 
General, or other State official specifically designated by the 
Governor, stating that the annual review was performed and that State 
CMV safety laws remain compatible with the FMCSRs and HMRs. If State CMV 
laws are no longer compatible, the certifying official shall explain.
    (d) As soon as practical after the effective date of any newly 
enacted regulation or amendment to the FMCSRs

[[Page 31]]

or HMRs, but no later than three years after that date, the State must 
amend its laws or regulations to make them compatible with the FMCSRs 
and/or HMRs, as amended.

[65 FR 15102, Mar. 21, 2000, as amended at 77 FR 59823, Oct. 1, 2012]



Sec.350.333  What are the guidelines for the compatibility review?

    (a) The State law or regulation must apply to all segments of the 
motor carrier industry (i.e., for-hire and private motor carriers of 
property and passengers).
    (b) Laws and regulations reviewed for the CDL compliance report are 
excluded from the compatibility review.
    (c) Definitions of words or terms must be consistent with those in 
the FMCSRs and HMRs.
    (d) A State must identify any law or regulation that is not the same 
as the corresponding Federal regulation and evaluate it in accordance 
with the table to this section as follows:

            Table to Sec. 350.333--Guidelines for the State Law and Regulation Compatibility Review
----------------------------------------------------------------------------------------------------------------
 Law or regulation has same effect    Applies to interstate  Less stringent or more
as corresponding Federal regulation  or intrastate commerce         stringent             Action authorized
----------------------------------------------------------------------------------------------------------------
(1) Yes............................  ......................  ......................  Compatible--Interstate and
                                                                                      intrastate commerce
                                                                                      enforcement authorized.
(2) No.............................  Intrastate............  ......................  Refer to Sec. 350.341
(3) No.............................  Interstate............  Less stringent........  Enforcement prohibited.
(4) No.............................  Interstate............  More stringent........  Enforcement authorized if
                                                                                      the State can demonstrate
                                                                                      the law or regulation has
                                                                                      a safety benefit or does
                                                                                      not create an undue burden
                                                                                      upon interstate commerce
                                                                                      (See 49 CFR Part 355).
----------------------------------------------------------------------------------------------------------------



Sec.350.335  What are the consequences if my State has laws or regulations incompatible with the Federal regulations?

    (a) A State that currently has compatible CMV safety laws and 
regulations pertaining to interstate commerce (i.e., rules identical to 
the FMCSRs and HMRs) and intrastate commerce (i.e., rules identical to 
or within the tolerance guidelines for the FMCSRs and identical to the 
HMRs) but enacts a law or regulation which results in an incompatible 
rule will not be eligible for Basic Program Funds nor Incentive Funds.
    (b) A State that fails to adopt any new regulation or amendment to 
the FMCSRs or HMRs within three years of its effective date will be 
deemed to have incompatible regulations and will not be eligible for 
Basic Program nor Incentive Funds.
    (c) Those States with incompatible laws or regulations pertaining to 
intrastate commerce and receiving 50 percent of their basic formula 
allocation on April 20, 2000 will continue at that level of funding 
until those incompatibilities are removed, provided no further 
incompatibilities are created.
    (d) Upon a finding by the FMCSA, based upon its own initiative or 
upon a petition of any person, including any State, that your State law, 
regulation or enforcement practice pertaining to CMV safety, in either 
interstate or intrastate commerce, is incompatible with the FMCSRs or 
HMRs, the FMCSA may initiate a proceeding under Sec.350.215 for 
withdrawal of eligibility for all Basic Program and Incentive Funds.
    (e) Any decision regarding the compatibility of your State law or 
regulation with the HMRs that requires an interpretation will be 
referred to the Pipeline and Hazardous Materials Safety Administration 
of the DOT for such interpretation before proceeding under Sec.
350.215.

[65 FR 15102, Mar. 21, 2000, as amended at 77 FR 59823, Oct. 1, 2012]

[[Page 32]]



Sec.350.337  How may State laws and regulations governing motor
carriers, CMV drivers, and CMVs in interstate commerce differ from 
the FMCSRs and still be considered compatible?

    States are not required to adopt 49 CFR parts 398 and 399, subparts 
A through E and H of part 107, and Sec. Sec.171.15 and 171.16, as 
applicable to either interstate or intrastate commerce.



Sec.350.339  What are tolerance guidelines?

    Tolerance guidelines set forth the limited deviations from the 
FMCSRs allowed in your State's laws and regulations. These variances 
apply only to motor carriers, CMV drivers and CMVs engaged in intrastate 
commerce and not subject to Federal jurisdiction.



Sec.350.341  What specific variances from the FMCSRs are allowed for
State laws and regulations governing motor carriers, CMV drivers, and 
CMVs engaged in intrastate commerce and not subject to Federal
jurisdiction?

    (a) A State may exempt a CMV from all or part of its laws or 
regulations applicable to intrastate commerce, provided that neither the 
GVW, GVWR, GCW, nor GCWR of the vehicle equals or exceeds 11,801 kg 
(26,001 lbs.). However, a State may not exempt a CMV from such laws or 
regulations if the vehicle:
    (1) Transports hazardous materials requiring a placard.
    (2) Is designed or used to transport 16 or more people, including 
the driver.
    (b) State laws and regulations applicable to intrastate commerce may 
not grant exemptions based upon the type of transportation being 
performed (e.g., for-hire, private, etc.).
    (c) A State may retain those exemptions from its motor carrier 
safety laws and regulations that were in effect before April, 1988, are 
still in effect, and apply to specific industries operating in 
intrastate commerce.
    (d) State laws and regulations applicable to intrastate commerce 
must not include exemptions based upon the distance a motor carrier or 
driver operates from the work reporting location. This prohibition does 
not apply to those exemptions already contained in the FMCSRs nor to the 
extension of the mileage radius exemption contained in 49 CFR 395.1(e) 
from 100 to 150 miles.
    (e) Hours of service--State hours-of-service limitations applied to 
intrastate transportation may vary to the extent of allowing the 
following:
    (1) A 12-hour driving limit, provided driving a CMV after having 
been on duty more than 16 hours is prohibited.
    (2) Driving prohibitions for drivers who have been on duty 70 hours 
in 7 consecutive days or 80 hours in 8 consecutive days.
    (f) Age of CMV driver--All CMV drivers must be at least 18 years of 
age.
    (g) Grandfather clauses--States may provide grandfather clauses in 
their rules and regulations if such exemptions are uniform or in 
substantial harmony with the FMCSRs and provide an orderly transition to 
full regulatory adoption at a later date.
    (h) Driver qualifications:
    (1) Intrastate drivers who do not meet the physical qualification 
standards in 49 CFR 391.41 may continue to be qualified to operate a CMV 
in intrastate commerce if the following three conditions are met:
    (i) The driver was qualified under existing State law or regulation 
at the time the State adopted physical qualification standards 
compatible with the Federal standards in 49 CFR 391.41.
    (ii) The otherwise non-qualifying medical or physical condition has 
not substantially worsened.
    (iii) No other non-qualifying medical or physical condition has 
developed.
    (2) The State may adopt or continue programs granting variances to 
intrastate drivers with medical or physical conditions that would 
otherwise be non-qualifying under the State's equivalent of 49 CFR 
391.41 if the variances are based upon sound medical judgment combined 
with appropriate performance standards ensuring no adverse effect on 
safety.
    (3) The State may decide not to adopt laws and regulations that 
implement a registry of medical examiners trained and qualified to apply 
physical qualification standards or variances continued in effect or 
adopted by the State under this paragraph that apply to

[[Page 33]]

drivers of CMVs in intrastate commerce.

[65 FR 15102, Mar. 21, 2000, as amended at 77 FR 24126, Apr. 20, 2012; 
78 FR 58478, Sept. 24, 2013]



Sec.350.343  How may a State obtain a new exemption for State laws
and regulations for a specific industry involved in intrastate commerce?

    The FMCSA strongly discourages exemptions for specific industries, 
but will consider such requests if the State submits documentation 
containing information supporting evaluation of the following 10 
factors:
    (a) Type and scope of the industry exemption requested, including 
percentage of industry affected, number of vehicles, mileage traveled, 
number of companies involved.
    (b) Type and scope of the requirement to which the exemption would 
apply.
    (c) Safety performance of that specific industry (e.g., accident 
frequency, rates and comparative figures).
    (d) Inspection information (e.g., number of violations per 
inspection, driver and vehicle out-of-service information).
    (e) Other CMV safety regulations enforced by other State agencies 
not participating in the MCSAP.
    (f) Commodity transported (e.g., livestock, grain).
    (g) Similar variations granted and the circumstances under which 
they were granted.
    (h) Justification for the exemption.
    (i) Identifiable effects on safety.
    (j) State's economic environment and its ability to compete in 
foreign and domestic markets.



Sec.350.345  How does a State apply for additional variances from 
the FMCSRs?

    Any State may apply to the Administrator for a variance from the 
FMCSRs for intrastate commerce. The variance will be granted only if the 
State satisfactorily demonstrates that the State law, regulation or 
enforcement practice:
    (a) Achieves substantially the same purpose as the similar Federal 
regulation.
    (b) Does not apply to interstate commerce.
    (c) Is not likely to have an adverse impact on safety.



PART 355_COMPATIBILITY OF STATE LAWS AND REGULATIONS AFFECTING
INTERSTATE MOTOR CARRIER OPERATIONS--Table of Contents



             Subpart A_General Applicability and Definitions

Sec.
355.1 Purpose.
355.3 Applicability.
355.5 Definitions.

                         Subpart B_Requirements

355.21 Regulatory review.
355.23 Submission of results.
355.25 Adopting and enforcing compatible laws and regulations.

Appendix A to Part 355--Guidelines for the Regulatory Review

    Authority: 49 U.S.C. 504 and 31101 et seq.; and 49 CFR 1.87.

    Source: 57 FR 40962, Sept. 8, 1992, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 355 appear at 66 FR 
49870, Oct. 1, 2001.



             Subpart A_General Applicability and Definitions



Sec.355.1  Purpose.

    (a) To promote adoption and enforcement of State laws and 
regulations pertaining to commercial motor vehicle safety that are 
compatible with appropriate parts of the Federal Motor Carrier Safety 
Regulations.
    (b) To provide guidelines for a continuous regulatory review of 
State laws and regulations.
    (c) To establish deadlines for States to achieve compatibility with 
appropriate parts of the Federal Motor Carrier Safety Regulations with 
respect to interstate commerce.



Sec.355.3  Applicability.

    These provisions apply to any State that adopts or enforces laws or 
regulations pertaining to commercial motor vehicle safety in interstate 
commerce.

[[Page 34]]



Sec.355.5  Definitions.

    Unless specifically defined in this section, terms used in this part 
are subject to the definitions in 49 CFR 390.5.
    Compatible or Compatibility means that State laws and regulations 
applicable to interstate commerce and to intrastate movement of 
hazardous materials are identical to the FMCSRs and the HMRs or have the 
same effect as the FMCSRs; and that State laws applicable to intrastate 
commerce are either identical to, or have the same effect as, the FMCSRs 
or fall within the established limited variances under Sec. Sec.
350.341, 350.343, and 350.345 of this subchapter.
    Federal Hazardous Materials Regulations (FMHRs) means those safety 
regulations which are contained in parts 107, 171-173, 177, 178 and 180, 
except part 107 and Sec. Sec.171.15 and 171.16.
    Federal Motor Carrier Safety Regulations (FMCSRs) means those safety 
regulations which are contained in parts 390, 391, 392, 393, 395, 396, 
and 397 of this subchapter.
    State means a State of the United States, the District of Columbia, 
the Commonwealth of Puerto Rico, the Commonwealth of the Northern 
Mariana Islands, American Samoa, Guam and the Virgin Islands.

[57 FR 40962, Sept. 8, 1992, as amended at 65 FR 15109, Mar. 21, 2000]



                         Subpart B_Requirements



Sec.355.21  Regulatory review.

    (a) General. Each State shall annually analyze its laws and 
regulations, including those of its political subdivisions, which 
pertain to commercial motor vehicle safety to determine whether its laws 
and regulations are compatible with the Federal Motor Carrier Safety 
Regulations. Guidelines for the regulatory review are provided in the 
appendix to this part.
    (b) Responsibility. The State agency designated as lead agency for 
the administration of grants made pursuant to part 350 of this 
subchapter is responsible for reviewing and analyzing State laws and 
regulations for compliance with this part. In the absence of an 
officially designated Motor Carrier Safety Assistance Program (MCSAP) 
lead agency or in its discretion, the State shall designate another 
agency responsible to review and determine compliance with these 
regulations.
    (c) State review. (1) The State shall determine which of its laws 
and regulations pertaining to commercial motor vehicle safety are the 
same as the Federal Motor Carrier Safety or Federal Hazardous Materials 
Regulations. With respect to any State law or regulation which is not 
the same as the FMCSRs (FHMRs must be identical), the State shall 
identify such law or regulation and determine whether:
    (i) It has the same effect as a corresponding section of the Federal 
Motor Carrier Safety Regulations;
    (ii) It applies to interstate commerce;
    (iii) It is more stringent than the FMCSRs in that it is more 
restrictive or places a greater burden on any entity subject to its 
provisions.
    (2) If the inconsistent State law or regulation applies to 
interstate commerce and is more stringent than the FMCSRs, the State 
shall determine:
    (i) The safety benefits associated with such State law or 
regulation; and
    (ii) The effect of the enforcement of such State law or regulation 
on interstate commerce.
    (3) If the inconsistent State law or regulation does not apply to 
interstate commerce or is less stringent than the FMCSRs, the guidelines 
for participation in the Motor Carrier Safety Assistance Program in 
Sec. Sec.350.341, 350.343, and 350.345 of this subchapter shall apply.

[57 FR 40962, Sept. 8, 1992, as amended at 65 FR 15109, Mar. 21, 2000]



Sec.355.23  Submission of results.

    Each State shall submit the results of its regulatory review 
annually with its certification of compliance under Sec.350.209 of 
this subchapter. It shall submit the results of the regulatory review 
with the certification no later than August 1 of each year with the 
Commercial Vehicle Safety Plan (CVSP). The State shall include copies of 
pertinent laws and regulations.

[65 FR 15109, Mar. 21, 2000]

[[Page 35]]



Sec.355.25  Adopting and enforcing compatible laws and regulations.

    (a) General. No State shall have in effect or enforce any State law 
or regulation pertaining to commercial motor vehicle safety in 
interstate commerce which the Administrator finds to be incompatible 
with the provisions of the Federal Motor Carrier Safety Regulations.
    (b) New state requirements. No State shall implement any changes to 
a law or regulation which makes that or any other law or regulation 
incompatible with a provision of the Federal Motor Carrier Safety 
Regulations.
    (c) Enforcement. To enforce compliance with this section, the 
Administrator will initiate a rulemaking proceeding under part 389 of 
this subchapter to declare the incompatible State law or regulation 
pertaining to commercial motor vehicle safety unenforceable in 
interstate commerce.
    (d) Waiver of determination. Any person (including any State) may 
petition for a waiver of a determination made under paragraph (c) of 
this section. Such petition will also be considered in a rulemaking 
proceeding under part 389. Waivers shall be granted only upon a 
satisfactory showing that continued enforcement of the incompatible 
State law or regulation is not contrary to the public interest and is 
consistent with the safe operation of commercial motor vehicles.
    (e) Consolidation of proceedings. The Administrator may consolidate 
any action to enforce this section with other proceedings required under 
this section if the Administrator determines that such consolidation 
will not adversely affect any party to any such proceeding.



    Sec. Appendix A to Part 355--Guidelines for the Regulatory Review

    Each State shall review its laws and regulations to achieve 
compatibility with the Federal Motor Carrier Safety Regulations 
(FMCSRs). Each State shall consider all related requirements on 
enforcement of the State's motor carrier safety regulations. The 
documentation shall be simple and brief.

                                  Scope

    The State review required by Sec.355.21 may be limited to those 
laws and regulations previously determined to be incompatible in the 
report of the Commercial Motor Vehicle Safety Regulatory Review Panel 
issued in August 1990, or by subsequent determination by the 
Administrator under this part, and any State laws or regulations enacted 
or issued after August 1990.

                              Applicability

    The requirements must apply to all segments of the motor carrier 
industry common, contract, and private carriers of property and for-hire 
carriers of passengers.

                               Definitions

    Definitions of terms must be consistent with those in the FMCSRs.

                          Driver Qualifications

    Require a driver to be properly licensed to drive a commercial motor 
vehicle; require a driver to be in good physical health, at least 21 
years of age, able to operate a vehicle safely, and maintain a good 
driving record; prohibit drug and alcohol abuse; require a motor carrier 
to maintain a driver qualification file for each driver; and require a 
motor carrier to ensure that a driver is medically qualified.

    Note: The requirements for testing apply only to drivers of 
commercial motor vehicles as defined in 49 CFR part 383.

                        Driving of Motor Vehicles

    Prohibit possession, use, or driving under the influence of alcohol 
or other controlled substances (while on duty); and establish 0.04 
percent as the level of alcohol in the blood at which a driver is 
considered under the influence of alcohol.

           Parts and Accessories Necessary for Safe Operation

    Require operational lights and reflectors; require systematically 
arranged and installed wiring; and require brakes working at the 
required performance level, and other key components included in 49 CFR 
part 393.

                       Hours of Service of Drivers

    Prohibit a motor carrier from allowing or requiring any driver to 
drive: More than 10 hours following 8 consecutive hours off duty; after 
being on duty 15 hours, after being on duty more than 60 hours in any 7 
consecutive days; or after being on duty more than 70 hours in any 8 
consecutive days.
    Require a driver to prepare a record-of-duty status for each 24-hour 
period. The driver and motor carrier must retain the records.

                       Inspection and Maintenance

    Prohibit a commercial motor vehicle from being operated when it is 
likely to cause an accident or a breakdown; require the driver to 
conduct a walk-around inspection of the

[[Page 36]]

vehicle before driving it to ensure that it can be safely operated; 
require the driver to prepare a driver vehicle inspection report; and 
require commercial motor vehicles to be inspected at least annually.

                           Hazardous Materials

    Require a motor carrier or a person operating a commercial motor 
vehicle transporting hazardous materials to follow the safety and 
hazardous materials requirements.

                          State Determinations

    1. Each State must determine whether its requirements affecting 
interstate motor carriers are ``less stringent'' than the Federal 
requirements. ``Less stringent'' requirements represent either gaps in 
the State requirements in relation to the Federal requirements as 
summarized under item number one in this appendix or State requirements 
which are less restrictive than the Federal requirements.
    a. An example of a gap is when a State does not have the authority 
to regulate the safety of for-hire carriers of passengers or has the 
authority but chooses to exempt the carrier.
    b. An example of a less restrictive State requirement is when a 
State allows a person under 21 years of age to operate a commercial 
motor vehicle in interstate commerce.
    2. Each State must determine whether its requirements affecting 
interstate motor carriers are ``more stringent'' than the Federal 
requirements: ``More stringent'' requirements are more restrictive or 
inclusive in relation to the Federal requirements as summarized under 
item number one in this appendix. For example, a requirement that a 
driver must have 2 days off after working 5 consecutive days. The State 
would demonstrate that its more stringent requirements:
    a. Have a ``safety benefit;'' for example, result in fewer accidents 
or reduce the risk of accidents;
    b. Do not create ``an undue burden on interstate commerce,'' e.g., 
do not delay, interfere with, or increase that cost or the 
administrative burden for a motor carrier transporting property or 
passengers in interstate commerce; and
    c. Are otherwise compatible with Federal safety requirements.
    3. A State must adopt and enforce in a consistent manner the 
requirements referenced in the above guidelines in order for the FMCSA 
to accept the State's determination that it has compatible safety 
requirements affecting interstate motor carrier operations. Generally, 
the States would have up to 3 years from the effective date of the new 
Federal requirement to adopt and enforce compatible requirements. The 
FMCSA would specify the deadline when promulgating future Federal safety 
requirements. The requirements are considered of equal importance.

[57 FR 40962, Sept. 8, 1992, as amended at 58 FR 33776, June 21, 1993; 
62 FR 37151, July 11, 1997; 65 FR 15110, Mar. 21, 2000; 78 FR 58478, 
Sept. 24, 2013]



PART 356_MOTOR CARRIER ROUTING REGULATIONS--Table of Contents



Sec.
356.1 Authority to serve a particular area--construction.
356.3 [Reserved]
356.5 Traversal authority.
356.7 Tacking.
356.9 Elimination of routing restrictions--regular route carriers.
356.11 Elimination of gateways--regular. and irregular route carriers.
356.13 Redesignated highways.

    Authority: 5 U.S.C. 553; 49 U.S.C. 13301 and 13902; and 49 CFR 1.87.

    Source: 62 FR 32041, June 12, 1997, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 356 appear at 66 FR 
49870, Oct. 1, 2001.



Sec.356.1  Authority to serve a particular area--construction.

    (a) Service at municipality. A motor carrier of property, motor 
passenger carrier of express, and freight forwarder authorized to serve 
a municipality may serve all points within that municipality's 
commercial zone not beyond the territorial limits, if any, fixed in such 
authority.
    (b) Service at unincorporated community. A motor carrier of 
property, motor passenger carrier of express, and freight forwarder, 
authorized to serve an unincorporated community having a post office of 
the same name, may serve all points in the United States not beyond the 
territorial limits, if any, fixed in such authority, as follows:
    (1) All points within 3 miles of the post office in such 
unincorporated community if it has a population of less than 2,500; 
within 4 miles if it has a population of 2,500 but less than 25,000; and 
within 6 miles if it has a population of 25,000 or more;
    (2) At all points in any municipality any part of which is within 
the limits described in paragraph (b)(1) of this section; and

[[Page 37]]

    (3) At all points in any municipality wholly surrounded, or so 
surrounded except for a water boundary, by any municipality included 
under the terms of paragraph (b)(2) of this section.



Sec.356.3       [Reserved]



Sec.356.5  Traversal authority.

    (a) Scope. An irregular route motor carrier may operate between 
authorized service points over any reasonably direct or logical route 
unless expressly prohibited.
    (b) Requirements. Before commencing operations, the carrier must, 
regarding each State traversed:
    (1) Notify the State regulatory body in writing, attaching a copy of 
its operating rights;
    (2) Designate a process agent; and
    (3) Comply with 49 CFR 387.315.



Sec.356.7  Tacking.

    Unless expressly prohibited, a motor common carrier of property 
holding separate authorities which have common service points may join, 
or tack, those authorities at the common point, or gateway, for the 
purpose of performing through service as follows:
    (a) Regular route authorities may be tacked with one another;
    (b) Regular route authority may be tacked with irregular route 
authority;
    (c) Irregular route authorities may be tacked with one another if 
the authorities were granted pursuant to application filed on or before 
November 23, 1973, and the distance between the points at which service 
is provided, when measured through the gateway point, is 300 miles or 
less; and
    (d) Irregular route authorities may be tacked with one another if 
the authorities involved contain a specific provision granting the right 
to tack.



Sec.356.9  Elimination of routing restrictions--regular route carriers.

    (a) Regular route authorities--construction. All certificates that, 
either singly or in combination, authorize the transportation by a motor 
common carrier of property over:
    (1) A single regular route or;
    (2) Over two or more regular routes that can lawfully be tacked at a 
common service point, shall be construed as authorizing transportation 
between authorized service points over any available route.
    (b) Service at authorized points. A common carrier departing from 
its authorized service routes under paragraph (a) of this section shall 
continue to serve points authorized to be served on or in connection 
with its authorized service routes.
    (c) Intermediate point service. A common carrier conducting 
operations under paragraph (a) of this section may serve points on, and 
within one airline mile of, an alternative route it elects to use if all 
the following conditions are met:
    (1) The carrier is authorized to serve all intermediate points 
(without regard to nominal restrictions) on the underlying service 
route;
    (2) The alternative route involves the use of a superhighway (i.e., 
a limited access highway with split-level crossings);
    (3) The alternative superhighway route, including highways 
connecting the superhighway portion of the route with the carrier's 
authorized service route,
    (i) Extends in the same general direction as the carrier's 
authorized service route and
    (ii) Is wholly within 25 airline miles of the carrier's authorized 
service route; and
    (4) Service is provided in the same manner as, and subject to any 
restrictions that apply to, service over the authorized service route.



Sec.356.11  Elimination of gateways--regular and irregular route carriers.

    A motor common carrier of property holding separate grants of 
authority (including regular route authority), one or more of which 
authorizes transportation over irregular routes, where the authorities 
have a common service point at which they can lawfully be tacked to 
perform through service, may perform such through service over any 
available route.



Sec.356.13  Redesignated highways.

    Where a highway over which a regular route motor common carrier of 
property is authorized to operate is assigned a new designation, such as 
a

[[Page 38]]

new number, letter, or name, the carrier shall advise the FMCSA by 
letter, and shall provide information concerning the new and the old 
designation, the points between which the highway is redesignated, and 
each place where the highway is referred to in the carrier's authority. 
The new designation of the highway will be shown in the carrier's 
certificate when the FMCSA has occasion to reissue it.



PART 360_FEES FOR MOTOR CARRIER REGISTRATION AND INSURANCE
--Table of Contents



Sec.
360.1 Fees for records search, review, copying, certification, and 
          related services.
360.3 Filing fees.
360.5 Updating user fees.

    Authority: 31 U.S.C. 9701; 49 U.S.C. 13908(c) and 14504(c)(2); and 
49 CFR 1.87.

    Source: 64 FR 7137, Feb. 12, 1999, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 360 appear at 66 FR 
49870, Oct. 1, 2001.

    Effective Date Note: At 78 FR 52644, Aug. 23, 2013, part 360 was 
revised, effective Aug. 23, 2015. For the convenience of the user, the 
new part 360 follows the text of this part.



Sec.360.1  Fees for records search, review, copying, certification,
and related services.

    Certifications and copies of public records and documents on file 
with the Federal Motor Carrier Safety Administration will be furnished 
on the following basis, pursuant to the Freedom of Information Act 
regulations at 49 CFR Part 7:
    (a) Certificate of the Director, Office of Data Analysis and 
Information Systems, as to the authenticity of documents, $9.00;
    (b) Service involved in checking records to be certified to 
determine authenticity, including clerical work, etc., incidental 
thereto, at the rate of $16.00 per hour;
    (c) Copies of the public documents, at the rate of $.80 per letter 
size or legal size exposure. A minimum charge of $5.00 will be made for 
this service; and
    (d) Search and copying services requiring ADP processing, as 
follows:
    (1) A fee of $42.00 per hour for professional staff time will be 
charged when it is required to fulfill a request for ADP data.
    (2) The fee for computer searches will be set at the current rate 
for computer service. Information on those charges can be obtained from 
the Office of Data Analysis and Information Systems (MC-PSDRIS).
    (3) Printing shall be charged at the rate of $.10 per page of 
computer generated output with a minimum charge of $.25. A charge of $30 
per reel of magnetic tape will be made if the tape is to be permanently 
retained by the requestor.



Sec.360.3  Filing fees.

    (a) Manner of payment. (1) Except for the insurance fees described 
in the next sentence, all filing fees will be payable at the time and 
place the application, petition, or other document is tendered for 
filing. The service fee for insurance, surety or self-insurer accepted 
certificate of insurance, surety bond or other instrument submitted in 
lieu of a broker surety bond must be charged to an insurance service 
account established by the Federal Motor Carrier Safety Administration 
in accordance with paragraph (a)(2) of this section.
    (2) Billing account procedure. A written request must be submitted 
to the Office of Enforcement and Compliance, Insurance Compliance 
Division (MC-PSDECI) to establish an insurance service fee account.
    (i) Each account will have a specific billing date within each month 
and a billing cycle. The billing date is the date that the bill is 
prepared and printed. The billing cycle is the period between the 
billing date in one month and the billing date in the next month. A bill 
for each account which has activity or an unpaid balance during the 
billing cycle will be sent on the billing date each month. Payment will 
be due 20 days from the billing date. Payments received before the next 
billing date are applied to the account. Interest will accrue in 
accordance with 4 CFR 102.13.
    (ii) The Debt Collection Act of 1982, including disclosure to the 
consumer reporting agencies and the use of collection agencies, as set 
forth in 4 CFR 102.5 and 102.6 will be utilized to encourage payment 
where appropriate.

[[Page 39]]

    (iii) An account holder who files a petition in bankruptcy or who is 
the subject of a bankruptcy proceeding must provide the following 
information to theOffice of Enforcement and Compliance, Insurance 
Division (MC-PSDECI):
    (A) The filing date of the bankruptcy petition;
    (B) The court in which the bankruptcy petition was filed;
    (C) The type of bankruptcy proceeding;
    (D) The name, address, and telephone number of its representative in 
the bankruptcy proceeding; and
    (E) The name, address, and telephone number of the bankruptcy 
trustee, if one has been appointed.
    (3) Fees will be payable to the Federal Motor Carrier Safety 
Administration by a check payable in United States currency drawn upon 
funds deposited in a United States or foreign bank or other financial 
institution, money order payable in United States' currency, or credit 
card (VISA or MASTERCARD).
    (b) Any filing that is not accompanied by the appropriate filing fee 
is deficient except for filings that satisfy the deferred payment 
procedures in paragraph (a) of this section.
    (c) Fees not refundable. Fees will be assessed for every filing in 
the type of proceeding listed in the schedule of fees contained in 
paragraph (f) of this section, subject to the exceptions contained in 
paragraphs (d) and (e) of this section. After the application, petition, 
or other document has been accepted for filing by the Federal Motor 
Carrier Safety Administration, the filing fee will not be refunded, 
regardless of whether the application, petition, or other document is 
granted or approved, denied, rejected before docketing, dismissed, or 
withdrawn.
    (d) Related or consolidated proceedings. (1) Separate fees need not 
be paid for related applications filed by the same applicant which would 
be the subject of one proceeding. (This does not mean requests for 
multiple types of operating authority filed on forms in the OP-1 series 
under the regulations at 49 CFR part 365. A separate filing fee is 
required for each type of authority sought in each transportation mode, 
e.g., common, contract, and broker authority for motor property 
carriers.)
    (2) Separate fees will be assessed for the filing of temporary 
operating authority applications as provided in paragraph (f)(6) of this 
section, regardless of whether such applications are related to an 
application for corresponding permanent operating authority.
    (3) The Federal Motor Carrier Safety Administration may reject 
concurrently filed applications, petitions, or other documents asserted 
to be related and refund the filing fee if, in its judgment, they 
embrace two or more severable matters which should be the subject of 
separate proceedings.
    (e) Waiver or reduction of filing fees. It is the general policy of 
the Federal Motor Carrier Safety Administration not to waive or reduce 
filing fees except as described as follows:
    (1) Filing fees are waived for an application or other proceeding 
which is filed by a Federal government agency, or a State or local 
government entity. For purposes of this section the phrases ``Federal 
government agency'' or ``government entity'' do not include a quasi-
governmental corporation or government subsidized transportation 
company.
    (2) In extraordinary situations the Federal Motor Carrier Safety 
Administration will accept requests for waivers or fee reductions in 
accordance with the following procedure:
    (i) When to request. At the time that a filing is submitted to the 
Federal Motor Carrier Safety Administration the applicant may request a 
waiver or reduction of the fee prescribed in this part. Such request 
should be addressed to the Director, Office of Data Analysis and 
Information Systems.
    (ii) Basis. The applicant must show the waiver or reduction of the 
fee is in the best interest of the public, or that payment of the fee 
would impose an undue hardship upon the requestor.
    (iii) Federal Motor Carrier Safety Administration action. The 
Director, Office of Data Analysis and Information Systems, will notify 
the applicant of the decision to grant or deny the request for waiver or 
reduction.
    (f) Schedule of filing fees.

[[Page 40]]



----------------------------------------------------------------------------------------------------------------
           Type of Proceeding                                                                     Fee
----------------------------------------------------------------------------------------------------------------
Part I: Licensing:
  (1)...................................  An application for motor carrier operating  $300
                                           authority, a certificate of registration
                                           for certain foreign carriers, property
                                           broker authority, or freight forwarder
                                           authority.
  (2)...................................  A petition to interpret or clarify an       3,000
                                           operating authority.
  (3)...................................  A request seeking the modification of       50
                                           operating authority only to the extent of
                                           making a ministerial correction, when the
                                           original error was caused by applicant, a
                                           change in the name of the shipper or
                                           owner of a plant site, or the change of a
                                           highway name or number.
  (4)...................................  A petition to renew authority to transport  250
                                           explosives.
  (5)...................................  An application for authority to deviate     150
                                           from authorized regular-route authority.
  (6)...................................  An application for motor carrier temporary  100
                                           authority issued in an emergency
                                           situation.
  (7)...................................  Request for name change of a motor          14
                                           carrier, property broker, or freight
                                           forwarder.
  (8)...................................  An application involving the merger,        300
                                           transfer, or lease of the operating
                                           rights of motor passenger and property
                                           carriers, property brokers, and household
                                           goods freight forwarders under 49 U.S.C.
                                           10321 and 10926.
  (9)-(49)..............................  [Reserved]................................  ..........................
Part II: Insurance:
  (50)..................................  (i) An application for original             4,200
                                           qualification as self-insurer for bodily
                                           injury and property damage insurance
                                           (BI&PD).
                                          (ii) An application for original            420
                                           qualification as self-insurer for cargo
                                           insurance.
  (51)..................................  A service fee for insurer, surety, or self- $10 per accepted
                                           insurer accepted certificate of             certificate, surety bond
                                           insurance, surety bond, and other           or other instrument
                                           instrument submitted in lieu of a broker    submitted in lieu of a
                                           surety bond.                                broker surety bond.
  (52)..................................  A petition for reinstatement of revoked     80
                                           operating authority.
  (53)-(79).............................  [Reserved]................................
Part III: Services:
  (80)..................................  Request for service or pleading list for    13 per list
                                           proceedings.
  (81)..................................  Faxed copies of operating authority to      5
                                           applicants or their representatives who
                                           did not receive a served copy.
----------------------------------------------------------------------------------------------------------------

    (g) Returned check policy. (1) If a check submitted to the FMCSA for 
a filing or service fee is dishonored by a bank or financial institution 
on which it is drawn, the FMCSA will notify the person who submitted the 
check that:
    (i) All work will be suspended on the filing or proceeding, until 
the check is made good;
    (ii) A returned check charge of $6.00 and any bank charges incurred 
by the FMCSA as a result of the dishonored check must be submitted with 
the filing fee which is outstanding; and
    (iii) If payment is not made within the time specified by the FMCSA, 
the proceeding will be dismissed or the filing may be rejected.
    (2) If a person repeatedly submits dishonored checks to the FMCSA 
for filing fees, the FMCSA may notify the person that all future filing 
fees must be submitted in the form of a certified or cashier's check, 
money order, or credit card.

[64 FR 7137, Feb. 12, 1999, as amended at 67 FR 61820, Oct. 2, 2002]



Sec.360.5  Updating user fees.

    (a) Update. Each fee established in this part may be updated in 
accordance with this section as deemed necessary by the FMCSA.
    (b) Publication and effective dates. Updated fees shall be published 
in the Federal Register and shall become effective 30 days after 
publication.
    (c) Payment of fees. Any person submitting a filing for which a fee 
is established shall pay the fee in effect at the time of the filing.
    (d) Method of updating fees. Each fee shall be updated by updating 
the cost components comprising the fee. Cost components shall be updated 
as follows:
    (1) Direct labor costs shall be updated by multiplying base level 
direct labor costs by percentage changes in average

[[Page 41]]

wages and salaries of FMCSA employees. Base level direct labor costs are 
direct labor costs determined by the cost study in Regulations Governing 
Fees For Service, 1 I.C.C. 2d 60 (1984), or subsequent cost studies. The 
base period for measuring changes shall be April 1984 or the year of the 
last cost study.
    (2) Operations overhead shall be developed each year on the basis of 
current relationships existing on a weighted basis, for indirect labor 
applicable to the first supervisory work centers directly associated 
with user fee activity. Actual updating of operations overhead will be 
accomplished by applying the current percentage factor to updated direct 
labor, including current governmental overhead costs.
    (3)(i) Office general and administrative costs shall be developed 
each year on the basis of current levels costs, i.e., dividing actual 
office general and administrative costs for the current fiscal year by 
total office costs for the office directly associated with user fee 
activity. Actual updating of office general and administrative costs 
will be accomplished by applying the current percentage factor to 
updated direct labor, including current governmental overhead and 
current operations overhead costs.
    (ii) FMCSA general and administrative costs shall be developed each 
year on the basis of current level costs; i.e., dividing actual FMCSA 
general and administrative costs for the current fiscal year by total 
agency expenses for the current fiscal year. Actual updating of FMCSA 
general and administrative costs will be accomplished by applying the 
current percentage factor to updated direct labor, including current 
governmental overhead, operations overhead and office general and 
administrative costs.
    (4) Publication costs shall be adjusted on the basis of known 
changes in the costs applicable to publication of material in the 
Federal Register or FMCSA Register.
    (This rounding procedures excludes copying, printing and search 
fees.)
    (e) Rounding of updated fees. Updated fees shall be rounded in the 
following manner:
    (1) Fees between $1 and $30 will be rounded to the nearest $1;
    (2) Fees between $30 and $100 will be rounded to the nearest $10;
    (3) Fees between $100 and $999 will be rounded to the nearest $50; 
and
    (4) Fees above $1,000 will be rounded to the nearest $100.

    Effective Date Note:  At 78 FR 52644, Aug. 23, 2013, part 360 was 
revised, effective Aug. 23, 2015. For the convenience of the user, the 
revised text appears as follows:



PART 360_FEES FOR MOTOR CARRIER REGISTRATION AND INSURANCE

Sec.
360.1 Fees for registration-related services.
360.3 Filing fees.
360.5 Updating user fees.

    Authority: 31 U.S.C. 9701; 49 U.S.C. 13908; and 49 CFR 1.87.



Sec.360.1  Fees for registration-related services.

    Certifications and copies of public records and documents on file 
with the Federal Motor Carrier Safety Administration (FMCSA) will be 
furnished on the following basis, pursuant to USDOT Freedom of 
Information Act regulations at 49 CFR part 7:
    (a) Certificate of the Director, Office of Management and 
Information Services, as to the authenticity of documents, $12;
    (b) Service involved in locating records to be certified and 
determining their authenticity, including clerical and administrative 
work, at the rate of $21 per hour;
    (c) Copies of the public documents, at the rate of $.80 per letter 
size or legal size exposure. A minimum charge of $5 will be made for 
this service; and
    (d) Search and copying services requiring information technology 
(IT), as follows:
    (1) A fee of $50 per hour for professional staff time will be 
charged when it is required to fulfill a request for electronic data.
    (2) The fee for computer searches will be set at the current rate 
for computer service. Information on those charges can be obtained from 
the Office of Information Technology (MC-RI).
    (3) Printing will be charged at the rate of $.10 per page of 
computer-generated output with a minimum charge of $1. There will also 
be a charge for the media provided (e.g., CD ROMs) based on the Agency's 
costs for such media.
    (e) Exception. No fee shall be charged under this section to the 
following entities:
    (1) Any Agency of the Federal Government or a State government or 
any political subdivision of any such government for access to or 
retrieval of information and data from the Unified Carrier Registration 
System for its own use; or

[[Page 42]]

    (2) Any representative of a motor carrier, motor private carrier, 
broker, or freight forwarder (as each is defined in 49 U.S.C. 13102) for 
the access to or retrieval of the information related to such entity 
from the Unified Carrier Registration System for the individual use of 
such entity.



Sec.360.3  Filing fees.

    (a) Manner of payment. (1) Except for the insurance fees described 
in the next sentence, all filing fees must be paid at the time the 
application, petition, or other document is electronically filed. The 
service fee for insurance, surety or self-insurer accepted certificate 
of insurance, surety bond or other instrument submitted in lieu of a 
broker surety bond must be charged to an insurance service account 
established by FMCSA in accordance with paragraph (a)(2) of this 
section.
    (2) Billing account procedure. A request must be submitted to the 
Office of Registration and Safety Information (MC-RS) at http://
www.fmcsa.dot.gov to establish an insurance service fee account.
    (i) Each account will have a specific billing date within each month 
and a billing cycle. The billing date is the date that the bill is 
prepared and printed. The billing cycle is the period between the 
billing date in one month and the billing date in the next month. A bill 
for each account that has activity or an unpaid balance during the 
billing cycle will be sent on the billing date each month. Payment will 
be due 20 days from the billing date. Payments received before the next 
billing date are applied to the account. Interest will accrue in 
accordance with 31 CFR 901.9.
    (ii) The Federal Claims Collection Standards, including disclosure 
to consumer reporting agencies and the use of collection agencies, as 
set forth in 31 CFR part 901, will be utilized to encourage payment 
where appropriate.
    (iii) An account holder who files a petition for bankruptcy or who 
is the subject of a bankruptcy proceeding must provide the following 
information to the Office of Registration and Safety Information (MC-RS) 
at http://www.fmcsa.dot.gov:
    (A) The filing date of the bankruptcy petition;
    (B) The court in which the bankruptcy petition was filed;
    (C) The type of bankruptcy proceeding;
    (D) The name, address, and telephone number of its representative in 
the bankruptcy proceeding; and
    (E) The name, address, and telephone number of the bankruptcy 
trustee, if one has been appointed.
    (3) Fees will be payable through the U.S. Department of Treasury 
secure payment system, Pay.gov, and are made directly from the payor's 
bank account or by credit/debit card.
    (b) Any filing that is not accompanied by the appropriate filing fee 
will be rejected.
    (c) Fees not refundable. Fees will be assessed for every filing 
listed in the schedule of fees contained in paragraph (f) of this 
section, titled, ``Schedule of filing fees,'' subject to the exceptions 
contained in paragraphs (d) and (e) of this section. After the 
application, petition, or other document has been accepted for filing by 
FMCSA, the filing fee will not be refunded, regardless of whether the 
application, petition, or other document is granted or approved, denied, 
rejected before docketing, dismissed, or withdrawn.
    (d) Multiple authorities. (1) A separate filing fee is required for 
each type of authority sought, for example broker authority requested by 
an entity that already holds motor property carrier authority or 
multiple types of authority requested in the same application.
    (2) Separate fees will be assessed for the filing of temporary 
operating authority applications as provided in paragraph (f)(2) of this 
section, regardless of whether such applications are related to an 
application for corresponding permanent operating authority.
    (e) Waiver or reduction of filing fees. It is the general policy of 
the Federal Motor Carrier Safety Administration not to waive or reduce 
filing fees except as follows:
    (1) Filing fees are waived for an application that is filed by a 
Federal government agency, or a State or local government entity. For 
purposes of this section the phrases ``Federal government agency'' or 
``government entity'' do not include a quasi-governmental corporation or 
government subsidized transportation company.
    (2) Filing fees are waived for a motor carrier of passengers that 
receives a grant from the Federal Transit Administration either directly 
or through a third-party contract to provide passenger transportation 
under an agreement with a State or local government pursuant to 49 
U.S.C. 5307, 5310, 5311, 5316, or 5317.
    (3) The FMCSA will consider other requests for waivers or fee 
reductions only in extraordinary situations and in accordance with the 
following procedure:
    (i) When to request. At the time that a filing is submitted to 
FMCSA, the applicant may request a waiver or reduction of the fee 
prescribed in this part. Such request should be addressed to the 
Director, Office of Registration and Safety Information.
    (ii) Basis. The applicant must show that the waiver or reduction of 
the fee is in the best interest of the public, or that payment of the 
fee would impose an undue hardship upon the requester.
    (iii) FMCSA action. The Director, Office of Registration and Safety 
Information, will notify the applicant of the decision to grant or deny 
the request for waiver or reduction.

[[Page 43]]

    (f) Schedule of filing fees:

------------------------------------------------------------------------
      Type of proceeding                                       Fee
------------------------------------------------------------------------
Part I: Registration
    (1).......................  An application for      $300.
                                 USDOT Registration
                                 pursuant to 49 CFR
                                 part 390, subpart E.
    (2).......................  An application for      $100.
                                 motor carrier
                                 temporary authority
                                 to provide emergency
                                 relief in response to
                                 a national emergency
                                 or natural disaster
                                 following an
                                 emergency declaration
                                 under Sec. 390.23
                                 of this subchapter.
    (3).......................  Biennial update of      $0.
                                 registration..
    (4).......................  Request for change of   $0.
                                 name, address, or
                                 form of business.
    (5).......................  Request for             $0.
                                 cancellation of
                                 registration.
    (6).......................  Request for             $10.
                                 registration
                                 reinstatement.
    (7).......................  Designation of process  $0.
                                 agent.
    (8).......................  Notification of         $0.
                                 Transfer of Operating
                                 Authority.
Part II: Insurance
    (9).......................  A service fee for       $10 per accepted
                                 insurer, surety, or     certificate,
                                 self-insurer accepted   surety bond or
                                 certificate of          other
                                 insurance, surety       instrument
                                 bond, and other         submitted in
                                 instrument submitted    lieu of a
                                 in lieu of a broker     broker surety
                                 surety bond.            bond.
    (10)......................  (i) An application for  $4,200.
                                 original
                                 qualification as self-
                                 insurer for bodily
                                 injury and property
                                 damage insurance
                                 (BI&PD).
                                (ii) An application     $420.
                                 for original
                                 qualification as self-
                                 insurer for cargo
                                 insurance.
------------------------------------------------------------------------



Sec.360.5  Updating user fees.

    (a) Update. Each fee established in this subpart may be updated, as 
deemed necessary by FMCSA.
    (b) Publication and effective dates. Notice of updated fees shall be 
published in the Federal Register and shall become effective 30 days 
after publication.
    (c) Payment of fees. Any person submitting a filing for which a 
filing fee is established must pay the fee applicable on the date of the 
filing or request for services.
    (d) Method of updating fees. Each fee shall be updated by updating 
the cost components comprising the fee. However, fees shall not exceed 
the maximum amounts established by law. Cost components shall be updated 
as follows:
    (1) Direct labor costs shall be updated by multiplying base level 
direct labor costs by percentage changes in average wages and salaries 
of FMCSA employees. Base level direct labor costs are direct labor costs 
determined by the cost study in Regulations Governing Fees For Service, 
1 I.C.C. 2d 60 (1984), or subsequent cost studies. The base period for 
measuring changes shall be April 1984 or the year of the last cost 
study.
    (2) Operations overhead shall be developed on the basis of current 
relationships existing on a weighted basis, for indirect labor 
applicable to the first supervisory work centers directly associated 
with user fee activity. Actual updating of operations overhead shall be 
accomplished by applying the current percentage factor to updated direct 
labor, including current governmental overhead costs.
    (3)(i) Office general and administrative costs shall be developed on 
the basis of current levels costs, i.e., dividing actual office general 
and administrative costs for the current fiscal year by total office 
costs for the office directly associated with user fee activity. Actual 
updating of office general and administrative costs shall be 
accomplished by applying the current percentage factor to updated direct 
labor, including current governmental overhead and current operations 
overhead costs.
    (ii) The FMCSA general and administrative costs shall be developed 
on the basis of current level costs; i.e., dividing actual FMCSA general 
and administrative costs for the current fiscal year by total Agency 
expenses for the current fiscal year. Actual updating of FMCSA general 
and administrative costs shall be accomplished by applying the current 
percentage factor to updated direct labor, including current 
governmental overhead, operations overhead and office general and 
administrative costs.
    (4) Publication costs shall be adjusted on the basis of known 
changes in the costs applicable to publication of material in the 
Federal Register or FMCSA Register.
    (e) Rounding of updated fees. Updated fees shall be rounded as 
follows. (This rounding procedure excludes copying, printing and search 
fees.)
    (1) Fees between $1 and $30 shall be rounded to the nearest $1;
    (2) Fees between $30 and $100 shall be rounded to the nearest $10;
    (3) Fees between $100 and $999 shall be rounded to the nearest $50; 
and
    (4) Fees above $1,000 shall be rounded to the nearest $100.

[[Page 44]]



PART 365_RULES GOVERNING APPLICATIONS FOR OPERATING AUTHORITY
--Table of Contents



             Subpart A_How To Apply for Operating Authority

Sec.
365.101 Applications governed by these rules.
365.103 Modified procedure.
365.105 Starting the application process: Form OP-1.
365.107 Types of applications.
365.109 FMCSA review of the application.
365.110 Need to complete New Entrant Safety Assurance Program.
365.111 Appeals to rejections of the application.
365.113 Changing the request for authority or filing supplementary 
          evidence after the application is filed.
365.115 After publication in the FMCSA Register.
365.117 Obtaining a copy of the application.
365.119 Opposed applications.
365.121 Filing a reply statement.
365.123 Applicant withdrawal.

             Subpart B_How To Oppose Requests for Authority

365.201 Definitions.
365.203 Time for filing.
365.205 Contents of the protest.
365.207 Withdrawal.

        Subpart C_General Rules Governing the Application Process

365.301 Applicable rules.
365.303 Contacting another party.
365.305 Serving copies of pleadings.
365.307 Replies to motions.
365.309 FAX filings.

      Subpart D_Transfer of Operating Rights Under 49 U.S.C. 10926

365.401 Scope of rules.
365.403 Definitions.
365.405 Applications.
365.407 Notice.
365.409 FMCSA action and criteria for approval.
365.411 Responsive pleadings.
365.413 Procedures for changing the name or business form of a motor 
          carrier, freight forwarder, or property broker.

      Subpart E_Special Rules for Certain Mexico-Domiciled Carriers

365.501 Scope of rules.
365.503 Application.
365.505 Re-registration and fee waiver for certain applicants.
365.507 FMCSA action on the application.
365.509 Requirement to notify FMCSA of change in applicant information.
365.511 Requirement for CVSA inspection of vehicles during first three 
          consecutive years of permanent operating authority.

Appendix A to Subpart E of Part 365--Explanation of Pre-Authorization 
          Safety Audit Evaluation Criteria for Mexico-Domiciled Motor 
          Carriers

    Authority: 5 U.S.C. 553 and 559; 49 U.S.C. 13101, 13301, 13901-
13906, 14708, 31138, and 31144; and 49 CFR 1.87.

    Effective Date Note: At 78 FR 52646, Aug. 23, 2013, the authority 
citation for part 365 was revised, effective Aug. 23, 2015. For the 
convenience of the user, the revised text is set forth as follows:
    Authority: 5 U.S.C. 553 and 559; 49 U.S.C. 13101, 13301, 13901-
13906, 13908, 14708, 31133, 31138, and 31144; 49 CFR 1.87.

    Source: 59 FR 63728, Dec. 9, 1994, unless otherwise noted. 
Redesignated at 61 FR 54707, Oct. 21, 1996.

    Editorial Note: Nomenclature changes to part 365 appear at 66 FR 
49870, Oct. 1, 2001.



             Subpart A_How To Apply for Operating Authority



Sec.365.101  Applications governed by these rules.

    These rules govern the handling of applications for operating 
authority of the following type:
    (a) Applications for certificates and permits to operate as a motor 
common or contract carrier of property or passengers.
    (b) Applications for permits to operate as a freight forwarder.
    (c) [Reserved]
    (d) Applications for licenses to operate as a broker of motor 
vehicle transportation.
    (e) Applications for certificates under 49 U.S.C. 13902(b)(3) to 
operate as a motor carrier of passengers in intrastate commerce over 
regular routes if such intrastate transportation is to be provided on a 
route over which the carrier provides interstate transportation of 
passengers.
    (f) [Reserved]
    (g) Applications for temporary motor carrier authority.
    (h) Applications for Mexico-domiciled motor carriers to operate in 
foreign

[[Page 45]]

commerce as common, contract or private motor carriers of property 
(including exempt items) between Mexico and all points in the United 
States. Under NAFTA Annex I, page I-U-20, a Mexico-domiciled motor 
carrier may not provide point-to-point transportation services, 
including express delivery services, within the United States for goods 
other than international cargo.
    (i) Applications for non-North America-domiciled motor carriers to 
operate in foreign commerce as for-hire motor carriers of property and 
passengers within the United States.

[59 FR 63728, Dec. 9, 1994, as amended at 60 FR 63981, Dec. 13, 1995; 62 
FR 49940, Sept. 24, 1997; 67 FR 12714, Mar. 19, 2002; 67 FR 61820, Oct. 
2, 2002; 73 FR 76488, Dec. 16, 2008; 74 FR 2901, Jan. 16, 2009]

    Effective Date Note: At 78 FR 52646, Aug. 23, 2013, Sec.365.101 
was amended by revising paragraphs (a) and (h), effective Aug. 23, 2015. 
For the convenience of the user, the revised text is set forth as 
follows:



Sec.365.101  Applications governed by these rules.

                                * * * * *

    (a) Applications for certificates of motor carrier registration to 
operate as a motor carrier of property or passengers.

                                * * * * *

    (h) Applications for Mexico-domiciled motor carriers to operate in 
foreign commerce as for-hire or private motor carriers of property 
(including exempt items) between Mexico and all points in the United 
States. Under NAFTA Annex 1, page I-U-20, a Mexico-domiciled motor 
carrier may not provide point-to-point transportation services, 
including express delivery services, within the United States for goods 
other than international cargo.

                                * * * * *



Sec.365.103  Modified procedure.

    The FMCSA will handle licensing application proceedings using the 
modified procedure, if possible. The applicant and protestants send 
statements made under oath (verified statements) to each other and to 
the FMCSA. There are no personal appearances or formal hearings.

    Effective Date Note: At 78 FR 52646, Aug. 23, 2013, Sec.365.103 
was removed, effective Aug. 23, 2015.



Sec.365.105  Starting the application process: Form OP-1.

    (a) Each applicant must file the appropriate form in the OP-1 
series. Form OP-1 must be filed when requesting authority to operate as 
a motor property carrier, a broker of general freight, or a broker of 
household goods; Form OP-1(P) must be filed when requesting authority to 
operate as a motor passenger carrier; Form OP-1(FF) must be filed when 
requesting authority to operate as a freight forwarder; Form OP-1(MX) 
must be filed by a Mexico-domiciled motor property, including household 
goods, carrier, or a motor passenger carrier requesting authority to 
operate within the United States; and effective December 16, 2009.

Form OP-1(NNA) must be filed by a non-North America-domiciled motor 
property, including household goods, carrier or a motor passenger 
carrier requesting authority to operate within the United States. A 
separate filing fee in the amount set forth at 49 CFR 360.3(f)(1) is 
required for each type of authority sought.
    (b) Obtain forms at a FMCSA Division Office in each State or at one 
of the FMCSA Service Centers. Addresses and phone numbers for the 
Division Offices and Service Centers can be found at: http://
www.fmcsa.dot.gov/aboutus/fieldoffices. The forms and information about 
filing procedures can be downloaded at: http://www.fmcsa.dot.gov/
factsfigs/formspubs; and from the do-it-yourself website at: http://
www.diy.dot.gov.

[66 FR 49870, Oct. 1, 2001, as amended at 67 FR 12714, Mar. 19, 2002; 67 
FR 61820, Oct. 2, 2002; 73 FR 76488, Dec. 16, 2008]

    Effective Date Note: At 78 FR 52646, Aug. 23, 2013, Sec.365.105 
was revised, effective Aug. 23, 2015. For the convenience of the user, 
the revised text is set forth as follows:



Sec.365.105  Starting the application process: Form MCSA-1, FMCSA 
          Registration/Update (USDOT Number--Operating Authority 
          Application).

    (a) Each applicant must apply for operating authority by 
electronically filing Form MCSA-1, FMCSA Registration/Update

[[Page 46]]

(USDOT Number--Operating Authority Application), to request authority 
pursuant to 49 U.S.C. 13902, 13903 or 13904 to operate as a:
    (1) Motor carrier of property or passengers,
    (2) Broker of general commodities or household goods, or
    (3) Freight forwarder of general commodities or household goods.
    (b) A separate filing fee in the amount set forth at 49 CFR 360.3(f) 
is required for each type of authority sought in Sec.365.105(a).
    (c) Form MCSA-1 is an electronic application and is available, 
including complete instructions, from the FMCSA Web site at http://
www.fmcsa.dot.gov (Keyword ``MCSA-1'').



Sec.365.107  Types of applications.

    (a) Fitness applications. Motor property applications and certain 
types of motor passenger applications require only the finding that the 
applicant is fit, willing and able to perform the involved operations 
and to comply with all applicable statutory and regulatory provisions. 
These applications can be opposed only on the grounds that applicant is 
not fit [e.g., is not in compliance with applicable financial 
responsibility and safety fitness requirements]. These applications are:
    (1) Motor common and contract carrier of property (except household 
goods) , Mexican motor property carriers that perform private carriage 
and transport exempt items, and motor contract carrier of passengers 
transportation.
    (2) Motor carrier brokerage of general commodities (except household 
goods).
    (3) Certain types of motor passenger applications as described in 
Form OP-1 (P).
    (b) Motor passenger ``public interest'' applications as described in 
Form OP-1 (P).
    (c) Intrastate motor passenger applications under 49 U.S.C. 
13902(b)(3) as described in Form OP-1, Schedule B.
    (d) Motor common carrier of household goods applications, including 
Mexican carrier applicants. These applications require a finding that:
    (1) The applicant is fit, willing, and able to provide the involved 
transportation and to comply with all applicable statutory and 
regulatory provisions; and
    (2) The service proposed will serve a useful public purpose, 
responsive to a public demand or need.
    (e) Motor contract carrier of household goods, household goods 
property broker, and freight forwarder applications. These applications 
require a finding that:
    (1) The applicant is fit, willing, and able to provide the involved 
transportation and to comply with all applicable statutory and 
regulatory provisions; and
    (2) The transportation to be provided will be consistent with the 
public interest and the national transportation policy of 49 U.S.C. 
13101.
    (f) Temporary authority (TA) for motor and water carriers. These 
applications require a finding that there is or soon will be an 
immediate transportation need that cannot be met by existing carrier 
service.
    (g) In view of the expedited time frames established in this part 
for processing requests for permanent authority, applications for TA 
will be entertained only in exceptional circumstances (i.e., natural 
disasters or national emergencies) when evidence of immediate service 
need can be specifically documented in a narrative supplement appended 
to Form OP-1 for motor property carriers, Form OP-1MX for Mexican 
property carriers and, Form OP-1(P) for motor passenger carriers.

[59 FR 63728, Dec. 9, 1994, as amended at 60 FR 63981, Dec. 13, 1995; 62 
FR 49940, Sept. 24, 1997; 67 FR 61820, Oct. 2, 2002]

    Effective Date Note: At 78 FR 52646, Aug. 23, 2013, Sec.365.107 
was revised, effective Aug. 23, 2015. For the convenience of the user, 
the revised text is set forth as follows:



Sec.365.107  Types of applications.

    (a) Fitness applications. Motor property applications and certain 
types of motor passenger applications require the finding that the 
applicant is fit, willing and able to perform the involved operations 
and to comply with all applicable statutory and regulatory provisions. 
These applications can be opposed only on the grounds that applicant is 
not fit [e.g., is not in compliance with applicable financial 
responsibility and safety fitness requirements]. These applications are:
    (1) Motor carrier of property (except household goods).
    (2) Broker of general commodities or household goods.

[[Page 47]]

    (3) Certain types of motor carrier of passenger applications as 
described in Form MCSA-1.
    (b) Motor carrier of passenger ``public interest'' applications as 
described in Form MCSA-1.
    (c) Intrastate motor passenger applications under 49 U.S.C. 
13902(b)(3) as described in Form MCSA-1.
    (d) Motor carrier of household goods applications, including Mexico- 
or non-North America-domiciled carrier applicants. In addition to 
meeting the fitness standard under paragraph (a) of this section, an 
applicant seeking authority to operate as a motor carrier of household 
goods must:
    (1) Provide evidence of participation in an arbitration program and 
provide a copy of the notice of the arbitration program as required by 
49 U.S.C. 14708(b)(2);
    (2) Identify its tariff and provide a copy of the notice of the 
availability of that tariff for inspection as required by 49 U.S.C. 
13702(c);
    (3) Provide evidence that it has access to, has read, is familiar 
with, and will observe all applicable Federal laws relating to consumer 
protection, estimating, consumers' rights and responsibilities, and 
options for limitations of liability for loss and damage; and
    (4) Disclose any relationship involving common stock, common 
ownership, common management, or common familial relationships between 
the applicant and any other motor carrier, freight forwarder, or broker 
of household goods within 3 years of the proposed date of registration.
    (e) Temporary authority (TA) for motor carriers. These applications 
require a finding that there is or soon will be an immediate 
transportation need that cannot be met by existing carrier service.
    (1) Applications for TA will be entertained only when an emergency 
declaration has been made pursuant to Sec.390.23 of this subchapter.
    (2) Temporary authority must be requested by filing Form MCSA-1.
    (3) Applications for temporary authority are not subject to protest.
    (4) Motor carriers granted temporary authority must comply with 
financial responsibility requirements under part 387 of this subchapter.
    (5) Only a U.S.-domiciled motor carrier is eligible to receive 
temporary authority.



Sec.365.109  FMCSA review of the application.

    (a) FMCSA staff will review the application for correctness, 
completeness, and adequacy of the evidence (the prima facie case).
    (1) Minor errors will be corrected without notification to the 
applicant.
    (2) Materially incomplete applications will be rejected. 
Applications that are in substantial compliance with these rules may be 
accepted.
    (3) All motor carrier applications will be reviewed for consistency 
with the FMCSA's operational safety fitness policy. Applicants with 
``Unsatisfactory'' safety fitness ratings from DOT will have their 
applications rejected.
    (4) FMCSA staff will review completed applications that conform with 
the FMCSA's safety fitness policy and that are accompanied by evidence 
of adequate financial responsibility.
    (5) Financial responsibility is indicated by filing within 20 days 
from the date an application notice is published in the FMCSA Register:
    (i) Form BMC-91 or 91X or BMC 82 surety bond--Bodily injury and 
property damage (motor property and passenger carriers; household goods 
freight forwarders that provide pickup or delivery service directly or 
by using a local delivery service under their control).
    (ii) Form BMC-84--Surety bond or Form BMC-85--trust fund agreement 
(property brokers of general commodities and household goods).
    (iii) Form BMC 34 or BMC 83 surety bond--Cargo liability (household 
goods motor carriers and household goods freight forwarders).
    (6) Applicants also must submit Form BOC-3--designation of legal 
process agents--within 20 days from the date an application notice is 
published in the FMCSA Register.
    (7) Applicants seeking to conduct operations for which tariffs are 
required may not commence such operations until tariffs are in effect.
    (8) All applications must be completed in English.
    (b) A summary of the application will be published as a preliminary 
grant of authority in the FMCSA Register to give notice to the public in 
case anyone wishes to oppose the application.

[59 FR 63728, Dec. 9, 1994, as amended at 60 FR 63981, Dec. 13, 1995; 67 
FR 61820, Oct. 2, 2002; 75 FR 35328, June 22, 2010]

    Effective Date Note: At 78 FR 52646, Aug. 23, 2013, Sec.365.109 
was amended by revising paragraphs (a)(5) and (6), and (b), effective 
Aug. 23, 2015. For the convenience of the user, the revised text is set 
forth as follows:

[[Page 48]]



Sec.365.109  FMCSA review of the application.

    (a) * * *
    (5) All applicants must file the appropriate evidence of financial 
responsibility pursuant to 49 CFR part 387 within 90 days from the date 
notice of the application is published in the FMCSA Register:
    (i) Form BMC-91 or 91X or BMC 82 surety bond--Bodily injury and 
property damage (motor property and passenger carriers; and freight 
forwarders that provide pickup or delivery service directly or by using 
a local delivery service under their control).
    (ii) Form BMC-84--Surety bond or Form BMC-85--trust fund agreement 
(property brokers of general commodities and household goods).
    (iii) Form BMC-34 or BMC 83 surety bond--Cargo liability (household 
goods motor carriers and household goods freight forwarders).
    (6) Applicants also must submit Form BOC-3--Designation of Agents--
Motor Carriers, Brokers and Freight Forwarders--within 90 days from the 
date notice of the application is published in the FMCSA Register.

                                * * * * *

    (b) A summary of the application will be published in the FMCSA 
Register to give notice to the public in case anyone wishes to oppose 
the application.



Sec.365.110  Need to complete New Entrant Safety Assurance Program.

    For motor carriers operating commercial motor vehicles as defined in 
49 U.S.C. 31132, operating authority obtained under procedures in this 
part does not become permanent until the applicant satisfactorily 
completes the New Entrant Safety Assurance Program in part 385 of this 
subchapter.[78 FR 52647, Aug. 23, 2013]

    Effective Date Note: At 78 FR 52647, Aug. 23, 2013, Sec.365.110 
was added, effective Aug. 23, 2015.



Sec.365.111  Appeals to rejections of the application.

    (a) An applicant has the right to appeal rejection of the 
application. The appeal must be filed at the FMCSA within 10 days of the 
date of the letter of rejection.
    (b) If the appeal is successful and the filing is found to be 
proper, the application shall be deemed to have been properly filed as 
of the decision date of the appeal.

    Effective Date Note: At 78 FR 52647, Aug. 23, 2013, Sec.365.111 
was amended by revising paragraph (a), effective Aug. 23, 2015. For the 
convenience of the user, the revised text is set forth as follows:



Sec.365.111  Appeals to rejections of the application.

    (a) An applicant has the right to appeal rejection of the 
application. The appeal must be filed at the FMCSA, Office of 
Registration and Safety Information, 1200 New Jersey Ave. SE., 
Washington, DC 20590, within 10 days of the date of the letter of 
rejection.

                                * * * * *



Sec.365.113  Changing the request for authority or filing supplementary
evidence after the application is filed.

    (a) Once the application is filed, the applicant may supplement 
evidence only with approval of the FMCSA.
    (b) Amendments to the application generally are not permitted, but 
in appropriate instances may be entertained at the discretion of the 
FMCSA.



Sec.365.115  After publication in the FMCSA Register.

    (a) Interested persons have 10 days from the date of FMCSA Register 
publication to file protests. See Subpart B of this part.
    (b) If no one opposes the application, the grant published in the 
FMCSA Register will become effective by issuance of a certificate, 
permit, or license.



Sec.365.117  Obtaining a copy of the application.

    After publication, interested persons may request a copy of the 
application by contacting the FMCSA-designated contract agent (as 
identified in the FMCSA Register).



Sec.365.119  Opposed applications.

    If the application is opposed, opposing parties are required to send 
a copy of their protest to the applicant.

    Effective Date Note: At 78 FR 52647, Aug. 23, 2013, Sec.365.119 
was revised, effective Aug. 23, 2015. For the convenience of the user, 
the revised text is set forth as follows:



Sec.365.119  Opposed applications.

    If the application is opposed, opposing parties are required to send 
a copy of their protest to the applicant and to FMCSA. All protests must 
include statements made under

[[Page 49]]

oath (verified statements). There are no personal appearances or formal 
hearings.



Sec.365.121  Filing a reply statement.

    (a) If the application is opposed, applicant may file a reply 
statement. This statement is due within 20 days after FMCSA Register 
publication.
    (b) The reply statement may not contain new evidence. It shall only 
rebut or further explain matters previously raised.
    (c) The reply statement need not be notarized or verified. Applicant 
understands that the oath in the application form applies to all 
evidence submitted in the application. Separate legal arguments by 
counsel need not be notarized or verified.



Sec.365.123  Applicant withdrawal.

    If the applicant wishes to withdraw an application, it shall request 
dismissal in writing.



             Subpart B_How To Oppose Requests for Authority



Sec.365.201  Definitions.

    A person wishing to oppose a request for permanent authority files a 
protest. A person filing a valid protest becomes a protestant.

    Effective Date Note: At 78 FR 52647, Aug. 23, 2013, Sec.365.201 
was revised, effective Aug. 23, 2015. For the convenience of the user, 
the revised text is set forth as follows:



Sec.365.201  Definitions.

    A person wishing to oppose a request for operating authority files a 
protest. A person filing a valid protest is known as a protestant.



Sec.365.203  Time for filing.

    A protest shall be filed (received at the FMCSA) within 10 days 
after notice of the application appears in the FMCSA Register. A copy of 
the protest shall be sent to applicant's representative at the same 
time. Failure timely to file a protest waives further participation in 
the proceeding.

    Effective Date Note: At 78 FR 52647, Aug. 23, 2013, Sec.365.203 
was revised, effective Aug. 23, 2015. For the convenience of the user, 
the revised text is set forth as follows:



Sec.365.203  Time for filing.

    A protest shall be filed (received at the FMCSA, Office of the 
Associate Administrator for Research and Information Technology, 1200 
New Jersey Ave. SE., Washington, DC 20590) within 10 days after notice 
of the application appears in the FMCSA Register. A copy of the protest 
shall be sent to applicant's representative at the same time. Failure 
timely to file a protest waives further participation in the proceeding.



Sec.365.205  Contents of the protest.

    (a) All information upon which the protestant plans to rely is put 
into the protest.
    (b) A protest must be verified, as follows:

    I, --------------------, verify under penalty of perjury under laws 
of the United States of America, that the information above is true and 
correct. Further, I certify that I am qualified and authorized to file 
this protest. (See 18 U.S.C. 1001 and 18 U.S.C. 1621 for penalties.)

(Signature and Date)

    (c) A protest not in substantial compliance with applicable 
statutory standards or these rules may be rejected.
    (d) Protests must respond directly to the statutory standards for 
FMCSA review of the application. As these standards vary for particular 
types of applications, potential protestants should refer to the general 
criteria addressed at Sec.365.107 and may consult the FMCSA at (202) 
366-9805 for further assistance in developing their evidence.

[59 FR 63728, Dec. 9, 1994. Redesignated at 61 FR 54707, Oct. 21, 1996, 
as amended at 62 FR 49940, Sept. 24, 1997]



Sec.365.207  Withdrawal.

    A protestant wishing to withdraw from a proceeding shall inform the 
FMCSA and applicant in writing.



        Subpart C_General Rules Governing the Application Process



Sec.365.301  Applicable rules.

    Generally, all application proceedings are governed by the FMCSA's 
Rules of Practice at part 386 of this chapter except as designated 
below.

[[Page 50]]


    Effective Date Note: At 78 FR 52647, Aug. 23, 2013, Sec.365.301 
was removed, effective Aug. 23, 2015.



Sec.365.303  Contacting another party.

    When a person wishes to contact a party or serve a pleading or 
letter on that party, it shall do so through its representative. The 
phone and FAX numbers and address of applicant's representative shall be 
listed in the FMCSA Register.



Sec.365.305  Serving copies of pleadings.

    (a) An applicant must serve all pleadings and letters on the FMCSA 
and all known participants in the proceeding, except that a reply to a 
motion need only be served on the moving party.
    (b) A protestant need serve only the FMCSA and applicant with 
pleadings or letters.



Sec.365.307  Replies to motions.

    Replies to motions filed under this part are due within 5 days of 
the date the motion is filed at the FMCSA.



Sec.365.309  FAX filings.

    FAX filings of applications and supporting evidence are not 
permitted. To assist parties in meeting the expedited time frames 
established for protesting an application, however, the FMCSA will 
accept FAX filings of protests and any reply or rebuttal evidence. FAX 
filings of these pleadings must be followed by the original document, 
plus one copy for FMCSA recordkeeping purposes.



      Subpart D_Transfer of Operating Rights Under 49 U.S.C. 10926

    Effective Date Note: At 78 FR 52647, Aug. 23, 2013, subpart D, 
effective Aug. 23, 2015. For the convenience of the user, the text of 
the new supbart follows this subpart.

    Source: 53 FR 4852, Feb. 18, 1988, unless otherwise noted. 
Redesignated at 61 FR 54707, Oct. 21, 1996.



Sec.365.401  Scope of rules.

    These rules define the procedures that enable motor passenger and 
property carriers,, property brokers, and household goods freight 
forwarders to obtain approval from the FMCSA to merge, transfer, or 
lease their operating rights in financial transactions not subject to 49 
U.S.C. 11343. Transactions covered by these rules are governed by 49 
U.S.C. 10321 and 10926. The filing fee is set forth at 49 CFR 
360.3(f)(8).

[53 FR 4852, Feb. 18, 1988, as amended at 67 FR 61820, Oct. 2, 2002]



Sec.365.403  Definitions.

    For the purposes of this part, the following definitions apply:
    (a) Transfer. Transfers include all transactions (i.e., the sale or 
lease of interstate operating rights, \1\ or the merger of two or more 
carriers or a carrier into a noncarrier) subject to 49 U.S.C. 10926, as 
well as the sale of property brokers' licenses under 49 U.S.C. 10321.
---------------------------------------------------------------------------

    \1\ The execution of a chattel mortgage, deed of trust, or other 
similar document does not constitute a transfer or require the FMCSA's 
approval. However, a foreclosure for the purpose of transferring an 
operating right to satisfy a judgment or claim against the record holder 
may not be effected without approval of the FMCSA.
---------------------------------------------------------------------------

    (b) Operating rights. Operating rights include:
    (1) Certificates and permits issued to motor carriers;
    (2) Permits issued to freight forwarders;
    (3) Licenses issued to property brokers; and
    (4) Certificates of Registration issued to motor carriers. The term 
also includes authority held by virtue of the gateway elimination 
regulations published in the Federal Register as letter-notices.
    (c) Certificate of registration. The evidence of a motor carrier's 
right to engage in interstate or foreign commerce within a single State 
is established by a corresponding State certificate.
    (d) Person. An individual, partnership, corporation, company, 
association, or other form of business, or a trustee, receiver, 
assignee, or personal representative of any of these.
    (e) Record holder. The person shown on the records of the FMCSA as 
the legal owner of the operating rights.
    (f) Control. A relationship between persons that includes actual 
control, legal control, and the power to exercise

[[Page 51]]

control, through or by common directors, officers, stockholders, a 
voting trust, a holding or investment company, or any other means.
    (g) Category 1 transfers. Transactions in which the person to whom 
the operating rights would be transferred is not an FMCSA carrier and is 
not affiliated with any FMCSA carrier.
    (h) Category 2 transfers. Transactions in which the person to whom 
the operating rights would be transferred is an FMCSA carrier and/or is 
affiliated with an FMCSA carrier.

[53 FR 4852, Feb. 18, 1988, as amended at 67 FR 61821, Oct. 2, 2002]



Sec.365.405  Applications.

    (a) Procedural requirements. (1) At least 10 days before 
consummation, an original and two copies of a properly completed Form 
OP-FC-1 and any attachments (see paragraph (b)(1)(viii) of this section) 
must be filed with the Federal Motor Carrier Safety Administration, IT 
Operations Division (MC-RIO), 1200 New Jersey Ave., SE., Washington, DC 
20590-0001.
    (2) At any time after the expiration of the 10-day waiting period, 
applicants may consummate the transaction, subject to the subsequent 
approval of the application by the FMCSA, as described below. The 
transferee may commence operations under the rights acquired from the 
transferor upon its compliance with the FMCSA's regulations governing 
insurance, and process agents. See 49 CFR parts 387, subpart C, and 366, 
respectively. In the alternative, applicants may wait until the FMCSA 
has issued a decision on their application before transferring the 
operating rights. If the transferee wants the transferor's operating 
authority to be reissued in its name, it should furnish the FMCSA with a 
statement executed by both transferor and transferee indicating that the 
transaction has been consummated. Authority will not be reissued until 
after the FMCSA has approved the transaction.
    (b) Information required. (1) In category 1 and category 2 
transfers, applicants must furnish the following information:
    (i) Full name, address, and signatures of the transferee and 
transferor.
    (ii) A copy of the transferor's operating authority involved in the 
transfer proceeding.
    (iii) A short summary of the essential terms of the transaction.
    (iv) If relevant, the status of proceedings for the transfer of 
State certificate(s) corresponding to the Certificates of Registration 
being transferred.
    (v) A statement as to whether the transfer will or will not 
significantly affect the quality of the human environment.
    (vi) Certification by transferor and transferee of their current 
respective safety ratings by the United States Department of 
Transportation (i.e., satisfactory, conditional, unsatisfactory, or 
unrated).
    (vii) Certification by the transferee that it has sufficient 
insurance coverage under 49 U.S.C. 13906 for the service it intends to 
provide.
    (viii) Information to demonstrate that the proposed transaction is 
consistent with the national transportation policy and satisfies the 
criteria for approval set forth at Sec.365.409 of this part. (Such 
information may be appended to the application form and, if provided, 
would be embraced by the oath and verification contained on that form.)
    (ix) If motor carrier operating rights are being transferred, 
certification by the transferee that it is not domiciled in Mexico nor 
owned or controlled by persons of that country.
    (2) Category 2 applicants must also submit the following additional 
information:
    (i) Name(s) of the carrier(s), if any, with which the transferee is 
affiliated.
    (ii) Aggregate revenues of the transferor, transferee, and their 
carrier affiliates from interstate transportation sources for a 1-year 
period ending not earlier than 6 months before the date of the agreement 
of the parties concerning the transaction. If revenues exceed $2 
million, the transfer may be subject to 49 U.S.C. 14303 rather than 
these rules.

[53 FR 4852, Feb. 18, 1988, as amended at 54 FR 35343, Aug. 25, 1989; 62 
FR 49940, Sept. 24, 1997; 67 FR 61821, Oct. 2, 2002; 68 FR 56198, Sept. 
30, 2003; 72 FR 55699, Oct. 1, 2007]

[[Page 52]]



Sec.365.407  Notice.

    The FMCSA will give notice of approved transfer applications through 
publication in the FMCSA Register.



Sec.365.409  FMCSA action and criteria for approval.

    A transfer will be approved under this section if:
    (a) The transaction is not subject to 49 U.S.C. 14303; and
    (b) The transaction is consistent with the public interest; however,
    (c) If the transferor or transferee has an ``Unsatisfactory'' safety 
fitness rating from DOT, the transfer may be denied. If an application 
is denied, the FMCSA will set forth the basis for its action in a 
decision or letter notice. If parties with ``Unsatisfactory'' safety 
fitness ratings consummate a transaction pursuant to the 10-day rule at 
Sec.365.405 of this part prior to the notification of FMCSA action, 
they do so at their own risk and subject to any conditions we may impose 
subsequently. Transactions that have been consummated but later are 
denied by the FMCSA are null and void and must be rescinded. Similarly, 
if applications contain false or misleading information, they are void 
ab initio.

[53 FR 4852, Feb. 18, 1988, as amended at 56 FR 46735, Sept. 16, 1991; 
62 FR 49940, Sept. 24, 1997]



Sec.365.411  Responsive pleadings.

    (a) Protests must be filed within 20 days after the date of 
publication of an approved transfer application in the FMCSA Register. 
Protests received prior to the notice will be rejected. Applicants may 
respond within 20 days after the due date of protests. Petitions for 
reconsideration of decisions denying applications must be filed within 
20 days after the date of service of such decisions.
    (b) Protests and petitions for reconsideration must be filed with 
the Federal Motor Carrier Safety Administration, IT Operations Division 
(MC-RIO), 1200 New Jersey Ave., SE., Washington, DC 20590-0001, and be 
served on appropriate parties.

[53 FR 4852, Feb. 18, 1988, as amended at 67 FR 61821, Oct. 2, 2002; 68 
FR 56198, Sept. 30, 2003; 72 FR 55699, Oct. 1, 2007]



Sec.365.413  Procedures for changing the name or business form of a 
motor carrier, freight forwarder, or property broker.

    (a) Scope. These procedures apply in the following circumstances:
    (1) A change in the form of a business, such as the incorporation of 
a partnership or sole proprietorship;
    (2) A change in the legal name of a corporation or partnership or 
change in the trade name or assumed name of any entity;
    (3) A transfer of operating rights from a deceased or incapacitated 
spouse to the other spouse;
    (4) A reincorporation and merger for the purpose of effecting a name 
change;
    (5) An amalgamation or consolidation of a carrier and a noncarrier 
into a new carrier having a different name from either of the 
predecessor entities; and
    (6) A change in the State of incorporation accomplished by 
dissolving the corporation in one State and reincorporating in another 
State.
    (b) Procedures. To accomplish these changes, a letter must be sent 
to the Federal Motor Carrier Safety Administration, IT Operations 
Division (MC-RIO), 1200 New Jersey Ave., SE., Washington, DC 20590-0001. 
The envelope should be marked ``NAME CHANGE''. The applicant must 
provide:
    (1) The docket number(s) and name of the carrier requesting the 
change;
    (2) A copy of the articles of incorporation and the State 
certificate reflecting the incorporation;
    (3) The name(s) of the owner(s) of the stock and the distribution of 
the shares;
    (4) The names of the officers and directors of the corporation; and
    (5) A statement that there is no change in the ownership, 
management, or control of the business. When this procedure is being 
used to transfer operating rights from a deceased or incapacitated 
spouse to the other spouse, documentation that the other spouse has the 
legal right to effect such

[[Page 53]]

change must be included with the request. The fee for filing a name 
change request is in Sec.360.3(f) of this chapter.

[53 FR 4852, Feb. 18, 1988, as amended at 54 FR 47364, Nov. 14, 1989; 62 
FR 49940, Sept. 24, 1997; 68 FR 56198, Sept. 30, 2003; 72 FR 55699, Oct. 
1, 2007]

    Effective Date Note: At 78 FR 52647, Aug. 23, 2013,subpart D was 
revised, effective Aug. 23, 2015. For the convenience of the user, the 
revised text is set forth as follows:



               Subpart D_Transfers of Operating Authority



Sec.365.401  Scope of rules.

    The rules in this subpart define the procedures for motor carriers, 
property brokers, and freight forwarders to report to FMCSA transactions 
that result in the transfer of operating authority and are not subject 
to approval by the U.S. Surface Transportation Board under 49 U.S.C. 
14303.



Sec.365.403  Definitions.

    For the purposes of this subpart, the following definitions apply:
    (a) Transfer. A transfer means any transaction in which an operating 
authority issued to one person is taken over by another person or 
persons who assume legal responsibility for the operations. Such 
transactions include a purchase of all or some of the assets of a 
company, a merger of two or more companies, or acquisition of 
controlling interest in a company through a purchase of company stock.
    (b) Operating authority. Operating authority means a registration 
required by 49 U.S.C. 13902 issued to motor carriers; 49 U.S.C. 13903 
issued to freight forwarders; and 49 U.S.C. 13904 issued to brokers.
    (c) Person. An individual, partnership, corporation, company, 
association, or other form of business, or a trustee, receiver, 
assignee, or personal representative of any of these entities.



Sec.365.405  Reporting requirement.

    (a) Every transfer of operating authority from one person to another 
person must be reported by both the transferee and transferor on Form 
MCSA-1, in accordance with Sec.390.201(d)(5) of this subchapter.
    (b) The following information must be furnished:
    (1) Full name, address and USDOT Numbers of the transferee and 
transferor.
    (2) A copy of the operating authority being transferred.



      Subpart E_Special Rules for Certain Mexico-domiciled Carriers

    Source: 67 FR 12714, Mar. 19, 2002, unless otherwise noted.



Sec.365.501  Scope of rules.

    (a) The rules in this subpart govern the application by a Mexico-
domiciled motor carrier to provide transportation of property or 
passengers in interstate commerce between Mexico and points in the 
United States beyond the municipalities and commercial zones along the 
United States-Mexico international border.
    (b) A Mexico-domiciled carrier may not provide point-to-point 
transportation services, including express delivery services, within the 
United States for goods other than international cargo.



Sec.365.503  Application.

    (a) Each applicant applying under this subpart must submit an 
application that consists of:
    (1) Form OP-1 (MX)--Application to Register Mexican Carriers for 
Motor Carrier Authority To Operate Beyond U.S. Municipalities and 
Commercial Zones on the U.S.-Mexico Border;
    (2) Form MCS-150--Motor Carrier Identification Report; and
    (3) A notification of the means used to designate process agents, 
either by submission in the application package of Form BOC-3--
Designation of Agents-Motor Carriers, Brokers and Freight Forwarders or 
a letter stating that the applicant will use a process agent service 
that will submit the Form BOC-3 electronically.
    (b) The Federal Motor Carrier Safety Administration (FMCSA) will 
only process your application if it meets the following conditions:
    (1) The application must be completed in English;
    (2) The information supplied must be accurate, complete, and include 
all required supporting documents and applicable certifications in 
accordance with the instructions to Form OP-1 (MX), Form MCS-150, and 
Form BOC-3;
    (3) The application must include the filing fee payable to the FMCSA 
in the

[[Page 54]]

amount set forth at 49 CFR 360.3(f)(1); and
    (4) The application must be signed by the applicant.
    (c) You must submit the application to the address provided in Form 
OP-1(MX).
    (d) You may obtain the application forms from any FMCSA Division 
Office or download it from the FMCSA website at: http://
www.fmcsa.dot.gov/factsfigs/formspubs.htm.



Sec.365.505  Re-registration and fee waiver for certain applicants.

    (a) If you filed an application using Form OP-1(MX) before May 3, 
2002, you are required to file a new Form OP-1(MX). You do not need to 
submit a new fee when you file a new application under this subpart.
    (b) If you hold a Certificate of Registration issued before April 
18, 2002, authorizing operations beyond the municipalities along the 
United States-Mexico border and beyond the commercial zones of such 
municipalities, you are required to file an OP-1(MX) if you want to 
continue those operations. You do not need to submit a fee when you file 
an application under this subpart.
    (1) You must file the application by November 4, 2003.
    (2) The FMCSA may suspend or revoke the Certificate of Registration 
of any applicable holder that fails to comply with the procedures set 
forth in this section.
    (3) Certificates of Registration issued before April 18, 2002, will 
remain valid until the FMCSA acts on the OP-1(MX) application.

[67 FR 12714, Mar. 19, 2002, as amended at 68 FR 56198, Sept. 30, 2003]



Sec.365.507  FMCSA action on the application.

    (a) The FMCSA will review and act on each application submitted 
under this subpart in accordance with the procedures set out in this 
part.
    (b) The FMCSA will validate the accuracy of information and 
certifications provided in the application by checking data maintained 
in databases of the governments of Mexico and the United States.
    (c) Pre-authorization safety audit. Every Mexico-domiciled carrier 
that applies under this part must satisfactorily complete an FMCSA-
administered safety audit before FMCSA will grant provisional operating 
authority to operate in the United States. The safety audit is a review 
by the FMCSA of the carrier's written procedures and records to validate 
the accuracy of information and certifications provided in the 
application and determine whether the carrier has established or 
exercises the basic safety management controls necessary to ensure safe 
operations. The FMCSA will evaluate the results of the safety audit 
using the criteria in Appendix A to this subpart.
    (d) If a carrier successfully completes the pre-authorization safety 
audit and the FMCSA approves its application submitted under this 
subpart, FMCSA will publish a summary of the application as a 
preliminary grant of authority in the FMCSA Register to give notice to 
the public in case anyone wishes to oppose the application, as required 
in Sec.365.109(b) of this part.
    (e) If the FMCSA grants provisional operating authority to the 
applicant, it will assign a distinctive USDOT Number that identifies the 
motor carrier as authorized to operate beyond the municipalities in the 
United States on the U.S.-Mexico international border and beyond the 
commercial zones of such municipalities. In order to operate in the 
United States, a Mexico-domiciled motor carrier with provisional 
operating authority must:
    (1) Have its surety or insurance provider file proof of financial 
responsibility in the form of certificates of insurance, surety bonds, 
and endorsements, as required by Sec.387.301 of this subchapter;
    (2) File a hard copy of, or have its process agent(s) electronically 
submit, Form BOC-3--Designation of Agents-Motor Carriers, Brokers and 
Freight Forwarders, as required by part 366 of this subchapter; and
    (3) Comply with all provisions of the safety monitoring system in 
subpart B of part 385 of this subchapter, including successfully passing 
CVSA Level I inspections at least every 90 days and having decals 
affixed to each commercial motor vehicle operated in the United States 
as required by Sec.385.103(c) of this subchapter.

[[Page 55]]

    (f) The FMCSA may grant permanent operating authority to a Mexico-
domiciled carrier no earlier than 18 months after the date that 
provisional operating authority is granted and only after successful 
completion to the satisfaction of the FMCSA of the safety monitoring 
system for Mexico-domiciled carriers set out in subpart B of part 385 of 
this subchapter. Successful completion includes obtaining a satisfactory 
safety rating as the result of a compliance review.

    Effective Date Note: At 78 FR 52647, Aug. 23, 2013, Sec.365.507 
was amended by revising paragraph (e)(2), effective Aug. 23, 2015. For 
the convenience of the user, the revised text is set forth as follows:



Sec.365.507  FMCSA action on the application.

                                * * * * *

    (e) * * *
    (2) Electronically file, or have its process agent(s) electronically 
file, Form BOC-3--Designation of Agents--Motor Carriers, Brokers and 
Freight Forwarders, as required by part 366 of this subchapter; and

                                * * * * *



Sec.365.509  Requirement to notify FMCSA of change in applicant information.

    (a) A motor carrier subject to this subpart must notify the FMCSA of 
any changes or corrections to the information in parts I, IA or II 
submitted on the Form OP-1(MX) or the Form BOC-3--Designation of 
Agents--Motor Carriers, Brokers and Freight Forwarders during the 
application process or after having been granted provisional operating 
authority. The carrier must notify the FMCSA in writing within 45 days 
of the change or correction.
    (b) If a carrier fails to comply with paragraph (a) of this section, 
the FMCSA may suspend or revoke its operating authority until it meets 
those requirements.

    Effective Date Note: At 78 FR 52648, Aug. 23, 2013, Sec.365.509 
was amended by revising paragraph (a), effective Aug. 23, 2015. For the 
convenience of the user, the revised text is set forth as follows:



Sec.365.509  Requirement to notify FMCSA of change in applicant 
          information.

    (a) A motor carrier subject to this subpart must notify FMCSA of any 
changes or corrections to the information in parts I, IA, or II of Form 
OP-1(MX), or in Form BOC-3--Designation of Agents--Motor Carriers, 
Brokers and Freight Forwarders, during the application process or after 
having been granted provisional operating authority. The carrier must 
notify FMCSA in writing within 30 days of the change or correction.

                                * * * * *



Sec.365.511  Requirement for CVSA inspection of vehicles during first
three consecutive years of permanent operating authority.

    A Mexico-domiciled motor carrier granted permanent operating 
authority must have its vehicles inspected by Commercial Vehicle Safety 
Alliance (CVSA)-certified inspectors every three months and display a 
current inspection decal attesting to the successful completion of such 
an inspection for at least three consecutive years after receiving 
permanent operating authority from the FMCSA.



      Sec. Appendix A to Subpart E of Part 365--Explanation of Pre-
  Authorization Safety Audit Evaluation Criteria for Mexico-Domiciled 
                             Motor Carriers

                               I. General

    (a) Section 350 of the Fiscal Year 2002 DOT Appropriations Act (Pub. 
L. 107-87) directed the FMCSA to perform a safety audit of each Mexico-
domiciled motor carrier before the FMCSA grants the carrier provisional 
operating authority to operate beyond United States municipalities and 
commercial zones on the United States-Mexico international border.
    (b) The FMCSA will decide whether it will conduct the safety audit 
at the Mexico-domiciled motor carrier's principal place of business in 
Mexico or at a location specified by the FMCSA in the United States, in 
accordance with the statutory requirements that 50 percent of all safety 
audits must be conducted onsite and on-site inspections cover at least 
50 percent of estimated truck traffic in any year. All records and 
documents must be made available for examination within 48 hours after a 
request is made. Saturdays, Sundays, and Federal holidays are excluded 
from the computation of the 48-hour period.
    (c) The safety audit will include:
    (1) Verification of available performance data and safety management 
programs;

[[Page 56]]

    (2) Verification of a controlled substances and alcohol testing 
program consistent with part 40 of this title;
    (3) Verification of the carrier's system of compliance with hours-
of-service rules in part 395 of this subchapter, including recordkeeping 
and retention;
    (4) Verification of proof of financial responsibility;
    (5) Review of available data concerning the carrier's safety 
history, and other information necessary to determine the carrier's 
preparedness to comply with the Federal Motor Carrier Safety 
Regulations, parts 382 through 399 of this subchapter, and the Federal 
Hazardous Material Regulations, parts 171 through 180 of this title;
    (6) Inspection of available commercial motor vehicles to be used 
under provisional operating authority, if any of these vehicles have not 
received a decal required by Sec.385.103(c) of this subchapter;
    (7) Evaluation of the carrier's safety inspection, maintenance, and 
repair facilities or management systems, including verification of 
records of periodic vehicle inspections;
    (8) Verification of drivers' qualifications, including confirmation 
of the validity of the Licencia de Federal de Conductor of each driver 
the carrier intends to assign to operate under its provisional operating 
authority; and
    (9) An interview of carrier officials to review safety management 
controls and evaluate any written safety oversight policies and 
practices.
    (d) To successfully complete the safety audit, a Mexico-domiciled 
motor carrier must demonstrate to the FMCSA that it has the required 
elements in paragraphs (c)(2), (3), (4), (7), and (8) above and other 
basic safety management controls in place which function adequately to 
ensure minimum acceptable compliance with the applicable safety 
requirements. The FMCSA developed a ``safety audit evaluation 
criteria,'' which uses data from the safety audit and roadside 
inspections to determine that each applicant for provisional operating 
authority has basic safety management controls in place.
    (e) The safety audit evaluation process developed by the FMCSA is 
used to:
    (1) Evaluate basic safety management controls and determine if each 
Mexico-domiciled carrier and each driver is able to operate safely in 
the United States beyond municipalities and commercial zones on the 
United States-Mexico international border; and
    (2) Identify motor carriers and drivers who are having safety 
problems and need improvement in their compliance with the FMCSRs and 
the HMRs, before FMCSA grants the carriers provisional operating 
authority to operate beyond United States municipalities and commercial 
zones on the United States-Mexico international border.

     II. Source of the Data for the Safety Audit Evaluation Criteria

    (a) The FMCSA's evaluation criteria are built upon the operational 
tool known as the safety audit. The FMCSA developed this tool to assist 
auditors and investigators in assessing the adequacy of a Mexico-
domiciled carrier's basic safety management controls.
    (b) The safety audit is a review of a Mexico-domiciled motor 
carrier's operation and is used to:
    (1) Determine if a carrier has the basic safety management controls 
required by 49 U.S.C. 31144;
    (2) Meet the requirements of section 350 of the DOT Appropriations 
Act; and
    (3) In the event that a carrier is found not to be in compliance 
with applicable FMCSRs and HMRs, the safety audit can be used to educate 
the carrier on how to comply with U.S. safety rules.
    (c) Documents such as those contained in driver qualification files, 
records of duty status, vehicle maintenance records, and other records 
are reviewed for compliance with the FMCSRs and HMRs. Violations are 
cited on the safety audit. Performance-based information, when 
available, is utilized to evaluate the carrier's compliance with the 
vehicle regulations. Recordable accident information is also collected.

  III. Overall Determination of the Carrier's Basic Safety Management 
                                Controls

    (a) The carrier will not be granted provisional operating authority 
if the FMCSA fails to:
    (1) Verify a controlled substances and alcohol testing program 
consistent with part 40 of this title;
    (2) Verify a system of compliance with hours-of-service rules of 
this subchapter, including recordkeeping and retention;
    (3) Verify proof of financial responsibility;
    (4) Verify records of periodic vehicle inspections; and
    (5) Verify drivers' qualifications of each driver the carrier 
intends to assign to operate under such authority, as required by parts 
383 and 391 of this subchapter, including confirming the validity of 
each driver's Licencia de Federal de Conductor.
    (b) If the FMCSA confirms each item under III (a)(1) through (5) 
above, the carrier will be granted provisional operating authority, 
except if FMCSA finds the carrier has inadequate basic safety management 
controls in at least three separate factors described in part IV below. 
If FMCSA makes such a determination, the carrier's application for 
provisional operating authority will be denied.

                 IV. Evaluation of Regulatory Compliance

    (a) During the safety audit, the FMCSA gathers information by 
reviewing a motor

[[Page 57]]

carrier's compliance with ``acute'' and ``critical'' regulations of the 
FMCSRs and HMRs.
    (b) Acute regulations are those where noncompliance is so severe as 
to require immediate corrective actions by a motor carrier regardless of 
the overall basic safety management controls of the motor carrier.
    (c) Critical regulations are those where noncompliance relates to 
management and/or operational controls. These are indicative of 
breakdowns in a carrier's management controls.
    (d) The list of the acute and critical regulations, which are used 
in determining if a carrier has basic safety management controls in 
place, is included in Appendix B, VII. List of Acute and Critical 
Regulations to part 385 of this subchapter.
    (e) Noncompliance with acute and critical regulations are indicators 
of inadequate safety management controls and usually higher than average 
accident rates.
    (f) Parts of the FMCSRs and the HMRs having similar characteristics 
are combined together into six regulatory areas called ``factors.'' The 
regulatory factors, evaluated on the adequacy of the carrier's safety 
management controls, are:
    (1) Factor 1--General: Parts 387 and 390;
    (2) Factor 2--Driver: Parts 382, 383 and 391;
    (3) Factor 3--Operational: Parts 392 and 395;
    (4) Factor 4--Vehicle: Part 393, 396 and inspection data for the 
last 12 months;
    (5) Factor 5--Hazardous Materials: Parts 171, 177, 180 and 397; and
    (6) Factor 6--Accident: Recordable Accident Rate per Million Miles.
    (g) For each instance of noncompliance with an acute regulation, 1.5 
points will be assessed.
    (h) For each instance of noncompliance with a critical regulation, 1 
point will be assessed.
    (i) Vehicle Factor. (1) When at least three vehicle inspections are 
recorded in the Motor Carrier Management Information System (MCMIS) 
during the twelve months before the safety audit or performed at the 
time of the review, the Vehicle Factor (part 396) will be evaluated on 
the basis of the Out-of-Service (OOS) rates and noncompliance with acute 
and critical regulations. The results of the review of the OOS rate will 
affect the Vehicle Factor as follows:
    (i) If the motor carrier has had at least three roadside inspections 
in the twelve months before the safety audit, and the vehicle OOS rate 
is 34 percent or higher, one point will be assessed against the carrier. 
That point will be added to any other points assessed for discovered 
noncompliance with acute and critical regulations of part 396 to 
determine the carrier's level of safety management control for that 
factor.
    (ii) If the motor carrier's vehicle OOS rate is less than 34 
percent, or if there are less than three inspections, the determination 
of the carrier's level of safety management controls will only be based 
on discovered noncompliance with the acute and critical regulations of 
part 396.
    (2) Over two million inspections occur on the roadside each year in 
the United States. This vehicle inspection information is retained in 
the MCMIS and is integral to evaluating motor carriers' ability to 
successfully maintain their vehicles, thus preventing them from being 
placed OOS during roadside inspections. Each safety audit will continue 
to have the requirements of part 396, Inspection, Repair, and 
Maintenance, reviewed as indicated by the above explanation.
    (j) Accident Factor. (1) In addition to the five regulatory factors, 
a sixth factor is included in the process to address the accident 
history of the motor carrier. This factor is the recordable accident 
rate, which the carrier has experienced during the past 12 months. 
Recordable accident, as defined in 49 CFR 390.5, means an accident 
involving a commercial motor vehicle operating on a public road in 
interstate or intrastate commerce which results in a fatality; a bodily 
injury to a person who, as a result of the injury, immediately receives 
medical treatment away from the scene of the accident; or one or more 
motor vehicles incurring disabling damage as a result of the accident 
requiring the motor vehicle to be transported away from the scene by a 
tow truck or other motor vehicle.
    (2) Experience has shown that urban carriers, those motor carriers 
operating entirely within a radius of less than 100 air miles (normally 
urban areas), have a higher exposure to accident situations because of 
their environment and normally have higher accident rates.
    (3) The recordable accident rate will be used in determining the 
carrier's basic safety management controls in Factor 6, Accident. It 
will be used only when a carrier incurs two or more recordable accidents 
within the 12 months before the safety audit. An urban carrier (a 
carrier operating entirely within a radius of 100 air miles) with a 
recordable rate per million miles greater than 1.7 will be deemed to 
have inadequate basic safety management controls for the accident 
factor. All other carriers with a recordable accident rate per million 
miles greater than 1.5 will be deemed to have inadequate basic safety 
management controls for the accident factor. The rates are the result of 
roughly doubling the United States national average accident rate in 
Fiscal Years 1994, 1995, and 1996.
    (4) The FMCSA will continue to consider preventability when a new 
entrant contests the evaluation of the accident factor by presenting 
compelling evidence that the recordable rate is not a fair means of 
evaluating its

[[Page 58]]

accident factor. Preventability will be determined according to the 
following standard: ``If a driver, who exercises normal judgment and 
foresight, could have foreseen the possibility of the accident that in 
fact occurred, and avoided it by taking steps within his/her control 
which would not have risked causing another kind of mishap, the accident 
was preventable.''
    (k) Factor Ratings. (1) The following table shows the five 
regulatory factors, parts of the FMCSRs and HMRs associated with each 
factor, and the accident factor. Each carrier's level of basic safety 
management controls with each factor is determined as follows:
    (i) Factor 1--General: Parts 390 and 387;
    (ii) Factor 2--Driver: Parts 382, 383, and 391;
    (iii) Factor 3--Operational: Parts 392 and 395;
    (iv) Factor 4--Vehicle: Parts 393, 396 and the Out of Service Rate;
    (v) Factor 5--Hazardous Materials: Part 171, 177, 180 and 397; and
    (vi) Factor 6--Accident: Recordable Accident Rate per Million Miles;
    (2) For paragraphs IV (k)(1)(i) through (v) (Factors 1 through 5), 
if the combined violations of acute and or critical regulations for each 
factor is equal to three or more points, the carrier is determined not 
to have basic safety management controls for that individual factor.
    (3) For paragraphs IV (k)(1)(vi), if the recordable accident rate is 
greater than 1.7 recordable accidents per million miles for an urban 
carrier (1.5 for all other carriers), the carrier is determined to have 
inadequate basic safety management controls.
    (l) Notwithstanding FMCSA verification of the items listed in part 
III (a)(1) through (5) above, if the safety audit determines the carrier 
has inadequate basic safety management controls in at least three 
separate factors described in part IV, the carrier's application for 
provisional operating authority will be denied. For example, FMCSA 
evaluates a carrier finding:
    (1) One instance of noncompliance with a critical regulation in part 
387 scoring one point for Factor 1;
    (2) Two instances of noncompliance with acute regulations in part 
382 scoring three points for Factor 2;
    (3) Three instances of noncompliance with critical regulations in 
part 396 scoring three points for Factor 4; and
    (4) Three instances of noncompliance with acute regulations in parts 
171 and 397 scoring four and one-half (4.5) points for Factor 5.
    Under this example, the carrier will not receive provisional 
operating authority because it scored three or more points for Factors 
2, 4, and 5 and FMCSA determined the carrier had inadequate basic safety 
management controls in at least three separate factors.

[67 FR 12714, Mar. 19, 2002, as amended at 78 FR 58478, Sept. 24, 2013]



PART 366_DESIGNATION OF PROCESS AGENT--Table of Contents



Sec.
366.1 Applicability.
366.2 Form of designation.
366.3 Eligible persons.
366.4 Required States.
366.5 Blanket designations.
366.6 Cancellation or change.

    Authority: 49 U.S.C. 13303, 13304, and 14704; and 49 CFR 1.87.

    Effective Date Note: At 78 FR 52648, Aug. 23, 2013, the authority 
citation for part 366 was revised, effective Aug. 23, 2015. For the 
convenience of the user, the revised text is set forth as follows:
    Authority: 49 U.S.C. 502, 503, 13303, 13304 and 13908; and 49 CFR 
1.87.

    Source: 55 FR 11197, Mar. 27, 1990, unless otherwise noted. 
Redesignated at 61 FR 54707, Oct. 21, 1996.

    Editorial Note: Nomenclature changes to part 366 appear at 66 FR 
49870, Oct. 1, 2001.



Sec.366.1  Applicability.

    These rules, relating to the filing of designations of persons upon 
whom court process may be served, govern motor carriers and brokers and, 
as of the moment of succession, their fiduciaries (as defined at 49 CFR 
387.319(a)).

[55 FR 11197, Mar. 27, 1990. Redesignated at 61 FR 54707, Oct. 21, 1996; 
62 FR 49940, Sept. 24, 1997]

    Effective Date Note: At 78 FR 52648, Aug. 23, 2013, Sec.366.1 was 
revised, effective Aug. 23, 2015. For the convenience of the user, the 
revised text is set forth as follows:



Sec.366.1  Applicability.

    The rules in this part, relating to the filing of designations of 
persons upon whom court or Agency process may be served, apply to for-
hire and private motor carriers, brokers, freight forwarders and, as of 
the moment of succession, their fiduciaries (as defined at 49 CFR 
387.319(a)).



Sec.366.2  Form of designation.

    Designations shall be made on Form BOC-3, Designation of Agent for 
Service of Process. Only one completed current form may be on file. It 
must include all States for which agent designations are

[[Page 59]]

required. One copy must be retained by the carrier or broker at its 
principal place of business.

    Effective Date Note: At 78 FR 52648, Aug. 23, 2013, Sec.366.2 was 
revised, effective Apr. 25, 2016. For the convenience of the user, the 
revised text is set forth as follows:



Sec.366.2  Form of designation.

    (a) Designations shall be made on Form BOC-3--Designation of 
Agents--Motor Carriers, Brokers and Freight Forwarders. Only one 
completed current form may be on file. It must include all States for 
which agent designations are required. One copy must be retained by the 
carrier, broker or freight forwarder at its principal place of business.
    (b) Private motor carriers and for-hire motor carriers engaged in 
transportation exempt from economic regulation by FMCSA under 49 U.S.C. 
chapter 135 that are registered with FMCSA as of October 22, 2013 must 
file a Form BOC-3 designation by no later than April 25, 2016. Failure 
to file a designation in accordance with this paragraph will result in 
deactivation of the carrier's USDOT Number.



Sec.366.3  Eligible persons.

    All persons (as defined at 49 U.S.C. 13102(16)) designated must 
reside or maintain an office in the State for which they are designated. 
If a State official is designated, evidence of his willingness to accept 
service of process must be furnished.

[55 FR 11197, Mar. 27, 1990. Redesignated at 61 FR 54707, Oct. 21, 1996; 
62 FR 49940, Sept. 24, 1997]

    Effective Date Note: At 78 FR 52648, Aug. 23, 2013, Sec.366.3 was 
revised, effective Aug. 23, 2015. For the convenience of the user, the 
revised text is set forth as follows:



Sec.366.3  Eligible persons.

    All persons (as defined at 49 U.S.C. 13102(18)) designated as 
process agents must reside in or maintain an office in the State for 
which they are designated. If a State official is designated, evidence 
of his or her willingness to accept service of process must be 
furnished.



Sec.366.4  Required States.

    (a) Motor carriers. Every motor carrier (of property or passengers) 
shall make a designation for each State in which it is authorized to 
operate and for each State traversed during such operations. Every motor 
carrier (including private carriers) operating in the United States in 
the course of transportation between points in a foreign country shall 
file a designation for each State traversed.
    (b) Brokers. Every broker shall make a designation for each State in 
which its offices are located or in which contracts will be written.

[55 FR 11197, Mar. 27, 1990, as amended at 55 FR 47338, Nov. 13, 1990]

    Effective Date Note: At 78 FR 52648, Aug. 23, 2013, Sec.366.4 was 
revised, effective Aug. 23, 2015. For the convenience of the user, the 
revised text is set forth as follows:



Sec.366.4  Required States.

    (a) Motor carriers. Every motor carrier must designate process 
agents for all 48 contiguous States and the District of Columbia, unless 
its operating authority registration is limited to fewer than 48 States 
and DC When a motor carrier's operating authority registration is 
limited to fewer than 48 States and DC, it must designate process agents 
for each State in which it is authorized to operate and for each State 
traversed during such operations. Every motor carrier operating in the 
United States in the course of transportation between points in a 
foreign country shall file a designation for each State traversed.
    (b) Brokers. Every broker shall make a designation for each State, 
including DC, in which its offices are located or in which contracts 
will be written.
    (c) Freight forwarders. Every freight forwarder shall make a 
designation for each State, including DC, in which its offices are 
located or in which contracts will be written.



Sec.366.5  Blanket designations.

    Where an association or corporation has filed with the FMCSA a list 
of process agents for each State, motor carriers may make the required 
designations by using the following statement:

    Those persons named in the list of process agents on file with the 
Federal Motor Carrier Safety Administration by ------------------------
------

________________________________________________________________________

(Name of association or corporation) and any subsequently filed 
revisions thereof, for the States in which this carrier is or may be 
authorized to operate, including States traversed during such 
operations, except those States for which individual designations are 
named.

    Effective Date Note: At 78 FR 52648, Aug. 23, 2013, Sec.366.5 was 
revised, effective Aug. 23, 2015. For the convenience of the user, the 
revised text is set forth as follows:

[[Page 60]]



Sec.366.5  Blanket designations.

    Where an association or corporation has filed with the FMCSA a list 
of process agents for each State and DC (blanket agent), motor carriers, 
brokers and freight forwarders may make the required designations by 
using the following statement:
    I designate those persons named in the list of process agents on 
file with the Federal Motor Carrier Safety Administration

 by_____________________________________________________________________

(name of association or corporation)

and any subsequently filed revisions thereof, for the States in which 
this carrier is or may be authorized to operate (or arrange) as an 
entity of motor vehicle transportation, including States traversed 
during such operations, except those States for which individual 
designations are named.



Sec.366.6  Cancellation or change.

    A designation may be canceled or changed only by a new designation 
except that, where a carrier or broker ceases to be subject to Sec.
366.4 in whole or in part for 1 year, designation is no longer required 
and may be canceled without making another designation.

[55 FR 11197, Mar. 27, 1990. Redesignated at 61 FR 54707, Oct. 21, 1996; 
62 FR 49940, Sept. 24, 1997]

    Effective Date Note: At 78 FR 52647, Aug. 23, 2013, Sec.366.6 was 
revised, effective Aug. 23, 2015. For the convenience of the user, the 
revised text is set forth as follows:



Sec.366.6  Cancellation or change.

    (a) A designation may be canceled or changed only by a new 
designation made by the motor carrier, broker, or freight forwarder, or 
by the process agent or company filing a blanket designation in 
accordance with Sec.366.5. However, where a motor carrier, broker or 
freight forwarder's USDOT Number is inactive for at least 1 year, 
designation is no longer required and may be canceled without making 
another designation.
    (b) A change to a designation, such as name, address, or contact 
information, must be reported to FMCSA within 30 days of the change.
    (c) Whenever a motor carrier, broker or freight forwarder changes it 
name, address, or contact information, it must report the change to its 
process agents and/or the company making a blanket designation on its 
behalf in accordance with Sec.366.5 within 30 days of the change.
    (d) Whenever a process agent and/or company making a blanket 
designation on behalf of a motor carrier, broker, or freight forwarder 
terminates its contract or relationship with the entity, it should 
report the termination to FMCSA within 30 days of the termination. If 
process agents and/or blanket agents do not keep their information up to 
date, FMCSA may withdraw its approval of their authority to make process 
agent designations with the Agency.



PART 367_STANDARDS FOR REGISTRATION WITH STATES--Table of Contents



Subpart A [Reserved]

Subpart B_Fees Under the Unified Carrier Registration Plan and Agreement

Sec.
367.20 Fees under the Unified Carrier Registration Plan and Agreement 
          for each registration year until any subsequent adjustment in 
          the fees becomes effective.
367.30 Fees under the Unified Carrier Registration Plan and Agreement 
          for registration years beginning in 2010.

    Authority: 49 U.S.C. 13301, 14504a; and 49 CFR 1.87.

    Source: 58 FR 28933, May 18, 1993, unless otherwise noted. 
Redesignated at 61 FR 54707, Oct. 21, 1996.

    Editorial Note: Nomenclature changes to part 367 appear at 66 FR 
49870, Oct. 1, 2001.



                          Subpart A [Reserved]

[[Page 61]]



Subpart B_Fees Under the Unified Carrier Registration Plan and Agreement



Sec.367.20  Fees under the Unified Carrier Registration Plan and
Agreement for each registration year until any subsequent adjustment
in the fees becomes effective.

            Fees Under the Unified Carrier Registration Plan and Agreement for Each Registration Year
----------------------------------------------------------------------------------------------------------------
                                                                             Fee per company
                                               Number of commercial motor   for exempt or non-
                                             vehicles owned or operated by     exempt motor     Fee per company
                  Bracket                      exempt or non-exempt motor     carrier, motor     for broker or
                                                 carrier, motor private      private carrier,   leasing company
                                             carrier, or freight forwarder      or freight
                                                                                forwarder
----------------------------------------------------------------------------------------------------------------
B1.........................................  0-2..........................                $39                $39
B2.........................................  3-5..........................                116
B3.........................................  6-20.........................                231
B4.........................................  21-100.......................                806
B5.........................................  101-1,000....................              3,840
B6.........................................  1,001 and above..............             37,500  .................
----------------------------------------------------------------------------------------------------------------


[72 FR 48590, Aug. 24, 2007, as amended at 73 FR 10158, Feb. 26, 2008]



Sec.367.30  Fees under the Unified Carrier Registration Plan and Agreement for registration years beginning in 2010.

            Fees Under the Unified Carrier Registration Plan and Agreement for Each Registration Year
----------------------------------------------------------------------------------------------------------------
                                                                               Fee per entity
                                                Number of commercial motor      for exempt or
                                               vehicles owned or operated by  non-exempt motor   Fee per entity
                   Bracket                      exempt or non-exempt motor     carrier, motor     for broker or
                                                  carrier, motor private      private carrier,   leasing company
                                               carrier, or freight forwarder     or freight
                                                                                  forwarder
----------------------------------------------------------------------------------------------------------------
B1..........................................  0-2...........................               $76               $76
B2..........................................  3-5...........................               227
B3..........................................  6-20..........................               452
B4..........................................  21-100........................             1,576
B5..........................................  101-1,000.....................             7,511
B6..........................................  1,001 and above...............            73,346  ................
----------------------------------------------------------------------------------------------------------------


[75 FR 22012, Apr. 27, 2010]



  PART 368_APPLICATION FOR A CERTIFICATE OF REGISTRATION TO OPERATE
  IN MUNICIPALITIES IN THE UNITED STATES ON THE UNITED STATES-MEXICO 
  INTERNATIONAL BORDER OR WITHIN THE COMMERCIAL ZONES OF SUCH
  MUNICIPALITIES.--Table of Contents



Sec.
368.1 Certificate of registration.
368.2 Definitions.
368.3 Applying for a certificate of registration.
368.4 Requirement to notify FMCSA of change in applicant information.
368.5 Re-registration of certain carriers holding certificates of 
          registration.
368.6 FMCSA action on an application.
368.7 Requirement to carry certificate of registration in the vehicle.
368.8 Appeals.

    Authority: 49 U.S.C. 13301 and 13902; Pub. L. 106-159, 113 Stat. 
1748; and 49 CFR 1.87.

    Effective Date Note: At 78 FR 52647, Aug. 23, 2013, the authority 
citation for part 368 was revised, effective Aug. 23, 2015. For the 
convenience of the user, the revised text is set forth as follows:
    Authority: 49 U.S.C. 13301, 13902 and 13908; Pub. L. 106-159, 113 
Stat. 1748; and 49 CFR 1.87.

    Source: 67 FR 12660, Mar. 19, 2002, unless otherwise noted.

[[Page 62]]



Sec.368.1  Certificate of registration.

    (a) A Mexico-domiciled motor carrier must apply to the FMCSA and 
receive a Certificate of Registration to provide interstate 
transportation in municipalities in the United States on the United 
States-Mexico international border or within the commercial zones of 
such municipalities as defined in 49 U.S.C. 13902(c)(4)(A).
    (b) A certificate of registration permits only interstate 
transportation of property in municipalities in the United States on the 
United States-Mexico international border or within the commercial zones 
of such municipalities. A holder of a Certificate of Registration who 
operates a vehicle beyond this area is subject to applicable penalties 
and out-of-service orders.



Sec.368.2  Definitions.

    Interstate transportation means transportation described at 49 
U.S.C. 13501, and transportation in the United States otherwise exempt 
from the Secretary's jurisdiction under 49 U.S.C. 13506(b)(1).
    Mexico-domiciled motor carrier means a motor carrier of property 
whose principal place of business is located in Mexico.



Sec.368.3  Applying for a certificate of registration.

    (a) If you wish to obtain a certificate of registration under this 
part, you must submit an application that includes the following:
    (1) Form OP-2--Application for Mexican Certificate of Registration 
for Foreign Motor Carriers and Foreign Motor Private Carriers Under 49 
U.S.C. 13902;
    (2) Form MCS-150--Motor Carrier Identification Report; and
    (3) A notification of the means used to designate process agents, 
either by submission in the application package of Form BOC-3--
Designation of Agents--Motor Carriers, Brokers and Freight Forwarders or 
a letter stating that the applicant will use a process agent service 
that will submit the Form BOC-3 electronically.
    (b) The FMCSA will only process your application for a Certificate 
of Registration if it meets the following conditions:
    (1) The application must be completed in English;
    (2) The information supplied must be accurate and complete in 
accordance with the instructions to the Form OP-2, Form MCS-150 and Form 
BOC-3;
    (3) The application must include all the required supporting 
documents and applicable certifications set forth in the instructions to 
the Form OP-2, Form MCS-150 and Form BOC-3;
    (4) The application must include the filing fee payable to the FMCSA 
in the amount set forth in 49 CFR 360.3(f)(1); and
    (5) The application must be signed by the applicant.
    (c) If you fail to furnish the complete application as described 
under paragraph (b) of this section your application may be rejected.
    (d) If you submit false information under this section, you will be 
subject to applicable Federal penalties.
    (e) You must submit the application to the address provided in the 
instructions to the Form OP-2.
    (f) You may obtain the application described in paragraph (a) of 
this section from any FMCSA Division Office or download it from the 
FMCSA web site at: http://www.fmcsa.dot.gov/factsfigs/formspubs.htm.

    Effective Date Note: At 78 FR 52648, Aug. 23, 2013, Sec.365.507 
was amended by revising paragraphs (a), (b), and (f) and removing 
paragraph (e), effective Aug. 23, 2015. For the convenience of the user, 
the revised text is set forth as follows:



Sec.368.3  Applying for a certificate of registration.

    (a) If you wish to obtain a certificate of registration under this 
part, you must electronically file an application that includes the 
following:
    (1) Form MCSA-1--FMCSA Registration/Update (USDOT Number--(Operating 
Authority Application)).
    (2) Form BOC-3--Designation of Agents--Motor Carriers, Brokers and 
Freight Forwarders or indicate on the application that the applicant 
will use a process agent service that will submit the Form BOC-3 
electronically.
    (b) The FMCSA will only process your application for a Certificate 
of Registration if it meets the following conditions:
    (1) The application must be completed in English;

[[Page 63]]

    (2) The information supplied must be accurate and complete in 
accordance with the instructions to Form MCSA-1 and Form BOC-3.
    (3) The application must include all the required supporting 
documents and applicable certifications set forth in the instructions to 
Form MCSA-1 and Form BOC-3.



Sec.368.4  Requirement to notify FMCSA of change in applicant information.

    (a) You must notify the FMCSA of any changes or corrections to the 
information in Parts I, IA or II submitted on the Form OP-2 or the Form 
BOC-3--Designation of Agents--Motor Carriers, Brokers and Freight 
Forwarders during the application process or while you have a 
Certificate of Registration. You must notify the FMCSA in writing within 
45 days of the change or correction.
    (b) If you fail to comply with paragraph (a) of this section, the 
FMCSA may suspend or revoke the Certificate of Registration until you 
meet those requirements.

    Effective Date Note: At 78 FR 52649, Aug. 23, 2013, Sec.368.4 was 
amended by revising paragraph (a), effective Aug. 23, 2015. For the 
convenience of the user, the revised text is set forth as follows:



Sec.368.4  Requirement to notify FMCSA of change in applicant 
          information.

    (a) You must notify FMCSA of any changes or corrections to the 
information in Section A of Form MCSA-1--FMCSA Registration/Update 
(USDOT Number--Operating Authority Application), or the Form BOC-3, 
Designation of Agents-Motor Carriers, Brokers and Freight Forwarders, 
during the application process or while you have a Certificate of 
Registration. You must notify FMCSA in writing within 30 days of the 
change or correction.

                                * * * * *



Sec.368.5  Re-registration of certain carriers holding certificates
of registration.

    (a) Each holder of a certificate of registration that permits 
operations only in municipalities in the United States along the United 
States-Mexico international border or in commercial zones of such 
municipalities issued before April 18, 2002, who wishes to continue 
solely in those operations must submit an application according to 
procedures established under Sec.368.3 of this part, except the filing 
fee in paragraph (b)(4) of that section is waived. You must file your 
application by October 20, 2003.
    (b) The FMCSA may suspend or revoke the certificate of registration 
of any registrant that fails to comply with the procedures set forth in 
this section.
    (c) Certificates of registration issued before April 18, 2002, 
remain valid until the FMCSA acts on the OP-2 application filed 
according to paragraph (a) of this section.



Sec.368.6  FMCSA action on the application.

    (a) The Federal Motor Carrier Safety Administration will review the 
application for correctness, completeness, and adequacy of information. 
Non-material errors will be corrected without notice to the applicant. 
Incomplete applications may be rejected.
    (b) If the applicant does not require or is not eligible for a 
Certificate of Registration, the FMCSA will deny the application and 
notify the applicant.
    (c) The FMCSA will validate the accuracy of information and 
certifications provided in the application against data maintained in 
databases of the governments of Mexico and the United States.
    (d) If the FMCSA determines that the application and certifications 
demonstrate that the application is consistent with the FMCSA's safety 
fitness policy, it will issue a provisional Certificate of Registration, 
including a distinctive USDOT Number that identifies the motor carrier 
as permitted to provide interstate transportation of property solely in 
municipalities in the United States on the U.S.-Mexico international 
border or within the commercial zones of such municipalities.
    (e) The FMCSA may issue a permanent Certificate of Registration to 
the holder of a provisional Certificate of Registration no earlier than 
18 months after the date of issuance of the Certificate and only after 
completion to the satisfaction of the FMCSA of the safety monitoring 
system for Mexico-domiciled carriers set out in subpart B of part 385 of 
this subchapter.

[[Page 64]]

    (f) Notice of the authority sought will not be published in either 
the Federal Register or the FMCSA Register. Protests or comments will 
not be allowed. There will be no oral hearings.



Sec.368.7  Requirement to carry certificate of registration in the vehicle.

    A holder of a Certificate of Registration must maintain a copy of 
the Certificate of Registration in any vehicle providing transportation 
service within the scope of the Certificate, and make it available upon 
request to any State or Federal authorized inspector or enforcement 
officer.



Sec.368.8  Appeals.

    An applicant has the right to appeal denial of the application. The 
appeal must be in writing and specify in detail why the agency's 
decision to deny the application was wrong. The appeal must be filed 
with the Director, Office of Data Analysis and Information Systems 
within 20 days of the date of the letter denying the application. The 
decision of the Director will be the final agency order.

    Effective Date Note: At 78 FR 52649, Aug. 23, 2013, Sec.368.8 was 
amended by revised, effective Aug. 23, 2015. For the convenience of the 
user, the revised text is set forth as follows:



Sec.368.8  Appeals.

    An applicant has the right to appeal denial of the application. The 
appeal must be in writing and specify in detail why the Agency's 
decision to deny the application was wrong. The appeal must be filed 
with the FMCSA, Office of Registration and Safety Information within 20 
days of the date of the letter denying the application. The decision of 
the Director will be the final Agency order.



PART 369_REPORTS OF MOTOR CARRIERS--Table of Contents



Sec.
369.1 Annual reports of motor carriers of property, motor carriers of 
          household goods, and dual property carriers.
369.2 Classification of carriers--motor carriers of property, household 
          goods carriers, and dual property carriers.
369.3 Classification of carriers--motor carriers of passengers.
369.4 Annual and quarterly reports of Class I carriers of passengers.
369.5 Records.
369.6 Address.
369.8 Requests for exemptions from filing.
369.9 Requests for exemptions from public release.
369.10 Public release of motor carrier of property data.
369.11 Quarterly reports of passenger revenues, expenses, and 
          statistics.

    Authority: 49 U.S.C. 14123; 49 CFR 1.87.



Sec.369.1  Annual reports of motor carriers of property, motor
carriers of household goods, and dual property carriers.

    (a) Annual Report Form M. All class I and class II common and 
contract carriers of property, including household goods and dual 
property motor carriers, must file Motor Carrier Annual Report Form M 
(Form M). Carriers must file the annual report on or before March 31 of 
the year following the year to which it relates. For classification 
criteria, see Sec.369.2.
    (b) Quarterly Report Form QFR. All class I common motor carriers of 
property and class I household goods motor carriers must file Motor 
Carrier Quarterly Report Form QFR (Form QFR). The quarterly accounting 
periods end on March 31, June 30, September 30, and December 31. The 
quarterly reports must be filed within 30 calendar days after the end of 
the reporting quarter.
    (c) Where to file reports. Carriers must file the quarterly and 
annual reports with the Federal Motor Carrier Safety Administration at 
the address in Sec.369.6. You can obtain blank copies of the report 
forms from the Federal Motor Carrier Safety Administration.

[64 FR 13921, Mar. 23, 1999. Redesignated at 71 FR 45742, Aug. 10, 2006, 
and amended at 71 FR 45743, Aug. 10, 2006]



Sec.369.2  Classification of carriers--motor carriers of property,
household goods carriers, and dual property carriers.

    (a) Common and contract motor carriers of property are grouped into 
the following three classes:
    Class I. Carriers having annual carrier operating revenues 
(including interstate and intrastate) of $10 million or more after 
applying the revenue deflator formula in Note A.
    Class II. Carriers having annual carrier operating revenues 
(including interstate and intrastate) of at least $3

[[Page 65]]

million but less than $10 million after applying the revenue deflator 
formula in Note A.
    Class III. Carriers having annual carrier operating revenues 
(including interstate and intrastate) of less than $3 million after 
applying the revenue deflator formula in Note A.
    (b)(1) The class to which any carrier belongs shall be determined by 
annual carrier operating revenues (excluding revenues from private 
carriage, compensated intercorporate hauling, and leasing vehicles with 
drivers to private carriers) after applying the revenue deflator formula 
in Note A. Upward and downward classification will be effective as of 
January 1 of the year immediately following the third consecutive year 
of revenue qualification.
    (2) Any carrier which begins new operations by obtaining operating 
authority not previously held or extends its existing authority by 
obtaining additional operating rights shall be classified in accordance 
with a reasonable estimate of its annual carrier operating revenues 
after applying the revenue deflator formula shown in Note A.
    (3) When a business combination occurs such as a merger, 
reorganization, or consolidation, the surviving carrier shall be 
reclassified effective as of January 1 of the next calendar year on the 
basis of the combined revenues for the year when the combination 
occurred after applying the revenue deflator formula shown in Note A.
    (4) Carriers must notify the Federal Motor Carrier Safety 
Administration (FMCSA) of any change in classification or any change in 
annual operating revenues that would cause a change in classification. 
The carrier may request a waiver or an exception from these regulations 
in unusual or extenuating circumstances, where the classification 
process will unduly burden the carrier, such as partial liquidation or 
curtailment or elimination of contracted services. The request must be 
in writing, specifying the conditions justifying the waiver or 
exception. FMCSA will notify the carriers of any change in 
classification.
    (5) Carriers not required to file an Annual Report Form M may be 
required to file the Worksheet for Calculating Carrier Classification. 
All carriers will be notified of any classification changes.

    Note to Sec.369.2 Each carrier's operating revenues will be 
deflated annually using the Producer Price Index (PPI) of Finished Goods 
before comparing those revenues with the dollar revenue limits 
prescribed in paragraph (a) of this section. The PPI is published 
monthly by the Bureau of Labor Statistics. The formula to be applied is 
as follows:
[GRAPHIC] [TIFF OMITTED] TC03MR91.051


[52 FR 10383, Apr. 1, 1987, as amended at 59 FR 5111, Feb. 3, 1994; 59 
FR 49848, Sept. 30, 1994. Redesignated at 63 FR 52193, Sept. 30, 1998, 
and amended at 64 FR 13921, 13922, Mar. 23, 1999; 68 FR 4719, Jan. 30, 
2003. Redesignated at 71 FR 45742, Aug. 10, 2006, and amended at 71 FR 
45743, Aug. 10, 2006; 78 FR 58478, Sept. 24, 2013]



Sec.369.3  Classification of carriers--motor carriers of passengers.

    (a) Common and contract carriers of passengers are grouped into the 
following two classes:
    Class I--Carriers having average annual gross transportation 
operating revenues (including interstate and intrastate) of $5 million 
or more from passenger motor carrier operations after applying the 
revenue deflator formula as shown in the Note.
    Class II--Carriers having average annual gross transportation 
operating revenues (including interstate or intrastate) of less than $5 
million from passenger motor carrier operations after applying the 
revenue deflator formula as shown in the Note.
    (b)(1) The class to which any carrier belongs shall be determined by 
annual carrier operating revenues after applying the revenue deflator 
formula as

[[Page 66]]

shown in the Note. Upward and downward reclassification will be 
effective as of January 1 of the year immediately following the third 
consecutive year of revenue qualification.
    (2) Any carrier which begins new operations (obtains operating 
authority not previously held) or extends its existing authority 
(obtains additional operating rights) shall be classified in accordance 
with a reasonable estimate of its annual carrier operating revenues 
after applying the revenue deflator formula shown in the Note.
    (3) When a business combination occurs, such as a merger, 
reorganization, or consolidation, the surviving carrier shall be 
reclassified effective as of January 1 of the next calendar year on the 
basis of the combined revenues for the year when the combination 
occurred after applying the revenue deflator formula shown in the Note.
    (4) Carriers shall notify the FMCSA of any change in classification 
or when their annual operating revenues exceed the Class II limit by 
writing to the Federal Motor Carrier Safety Administration at the 
address in Sec.369.6. In unusual circumstances where the 
classification regulations and reporting requirements will unduly burden 
the carrier, the carrier may request from the FMCSA a waiver from these 
regulations. This request shall be in writing specifying the conditions 
justifying the waiver. The FMCSA then shall notify carriers of any 
change in classification or reporting requirements.
    (c) For classification purposes, the FMCSA shall publish in the 
Federal Register annually an index number which shall be used for 
adjusting gross annual operating revenues. The index number (deflator) 
is based on the Producer Price Index of Finished Goods and is used to 
eliminate the effects of inflation from the classification process.

    Note to Sec.369.3 Each carrier's operating revenues will be 
deflated annually using the Producer Price Index (PPI) of Finished Goods 
before comparing them with the dollar revenue limits prescribed in 
paragraph (a) of this section. The PPI is published monthly by the 
Bureau of Labor Statistics. The formula to be applied is as follows:
[GRAPHIC] [TIFF OMITTED] TC03MR91.052


[53 FR 4029, Feb. 11, 1988. Redesignated at 63 FR 52193, Sept. 30, 1998, 
and amended at 68 FR 4719, Jan. 30, 2003. Redesignated at 71 FR 45742, 
Aug. 10, 2006, and amended at 71 FR 45743, Aug. 10, 2006; 78 FR 58478, 
Sept. 24, 2013]



Sec.369.4  Annual and quarterly reports of Class I carriers of passengers.

    (a) All Class I motor carriers of passengers shall complete and file 
Motor Carrier Quarterly and Annual Report Form MP-1 for Motor Carriers 
of Passengers (Form MP-1). Other than Class I carriers are not required 
to file Form MP-1.
    (b) Motor Carrier Quarterly and Annual Report Form MP-1 shall be 
used to file both quarterly and annual selected motor carrier data. The 
annual accounting period shall be based either (1) on the 31st day of 
December in each year, or (2) an accounting year of thirteen 4-week 
periods ending at the close of the last 7 days of each calendar year. A 
carrier electing to adopt an accounting year of thirteen 4-week periods 
shall file with the FMCSA a statement showing the day on which its 
accounting year will close. A subsequent change in the accounting period 
may not be made except by authority of the FMCSA. The quarterly 
accounting period shall end on March 31, June 30, September 30, and 
December 31. The quarterly report shall be filed within 30 days after 
the end of the reporting quarter. The annual report shall be filed on or 
before March 31 of the year following the year to which it relates.
    (c) The quarterly and annual report shall be filed in duplicate to 
the Federal Motor Carrier Safety Administration at the address in Sec.
369.6. Copies of

[[Page 67]]

Form MP-1 may be obtained from the FMCSA.

[52 FR 20400, June 1, 1987. Redesignated at 63 FR 52193, Sept. 30, 1998, 
as amended at 68 FR 4719, Jan. 30, 2003. Redesignated at 71 FR 45742, 
Aug. 10, 2006, and amended at 71 FR 45743, Aug. 10, 2006]



Sec.369.5  Records.

    Books, records and carrier operating documents shall be retained as 
prescribed in 49 CFR part 379, Preservation of Records.

[52 FR 10383, Apr. 1, 1987. Redesignated at 63 FR 52193, Sept. 30, 1998. 
Redesignated at 71 FR 45742, Aug. 10, 2006, and amended at 71 FR 45743, 
Aug. 10, 2006]



Sec.369.6  Address.

    The following address must be used by motor carriers when submitting 
a report, requesting an exemption from filing a report, or requesting an 
exemption from public release of a report: Federal Motor Carrier Safety 
Administration, Office of Information Technology (MC-RI), 1200 New 
Jersey Ave., SE., Washington, DC 20590-0001. This address may also be 
used for general correspondence regarding the data collection program 
described in this section.

[64 FR 13923, Mar. 23, 1999, as amended at 68 FR 4719, Jan. 30, 2003. 
Redesignated at 71 FR 45742, Aug. 10, 2006, and amended at 71 FR 45743, 
Aug. 10, 2006; 72 FR 55699, Oct. 1, 2007]



Sec.369.8  Requests for exemptions from filing.

    (a) In General. This section governs requests for exemptions from 
filing of reports required under Sec.369.1.
    (b) Criteria. The Federal Motor Carrier Safety Administration 
(FMCSA) may grant a request upon a proper showing that the exemption is 
necessary to preserve confidential business information that is not 
otherwise publicly available. Information is considered to be 
confidential when:
    (1) Disclosure of the information in the carrier's report would be 
likely to cause substantial harm to the carrier's competitive position; 
or
    (2) Disclosure of information in the report would be likely to 
impair protectable government interests.
    (c) Contents of a request. The contents of a request for an 
exemption from filing must contain, at a minimum, the contents that are 
required for a request for an exemption from public release contained in 
Sec.369.9(c). A carrier's request may include any other grounds as to 
why the request should be granted.
    (d) When requests are due. The timing of a request for an exemption 
from filing is the same as the timing for a request for an exemption 
from public release contained in Sec.369.9(d). The table below 
summarizes report and request due dates.

------------------------------------------------------------------------
                                                            Request due
            Report                    Report due by              by
------------------------------------------------------------------------
Annual Form M................  March 31..................  March 31
First Quarter Form QFR.......  April 30..................  March 31
Second Quarter Form QFR......  July 31...................  March 31
Third Quarter Form QFR.......  October 31................  March 31
Fourth Quarter Form QFR......  January 31................  March 31
------------------------------------------------------------------------

    (e) Decision to grant or deny a request. (1) A request will be 
denied if it fails to provide all of the supporting information required 
in paragraph (c) of this section or if the supporting information is 
insufficient to establish that information in the carrier's report meets 
the criteria in paragraph (b) of this section.
    (2) FMCSA will grant or deny each request within a reasonable period 
of time. FMCSA will notify the carrier of its decision. The decision by 
FMCSA shall be administratively final.
    (f) Pendency. While a request is pending, the carrier is required to 
submit any reports required under Sec.369.1.
    (g) Period of exemptions. If a request for an exemption under this 
section is granted, the carrier will be exempt from the reporting 
requirements of Sec.369.1 for a period of three reporting years.

[[Page 68]]

    (h) Modification of a decision to grant a request. If a request is 
granted it remains in effect in accordance with its terms, unless 
modified by a later finding that the decision was clearly erroneous. If 
FMCSA believes such a finding should be made, FMCSA will notify the 
requesting carrier in writing of the reasons for the modification. The 
carrier may seek reconsideration of the modification.

[64 FR 13922, Mar. 23, 1999. Redesignated at 71 FR 45742, Aug. 10, 2006, 
and amended at 71 FR 45743, Aug. 10, 2006]



Sec.369.9  Requests for exemptions from public release.

    (a) In General. This section governs requests for exemptions from 
public release of reports filed under Sec.369.1.
    (b) Criteria. The Federal Motor Carrier Safety Administration 
(FMCSA) will grant a request upon a proper showing that the carrier is 
not a publicly held corporation or that the carrier is not subject to 
financial reporting requirements of the Securities and Exchange 
Commission, and that the exemption is necessary to avoid competitive 
harm and to avoid the disclosure of information that qualifies as trade 
secret or privileged or confidential information under 5 U.S.C. 
552(b)(4). Information is considered to be confidential when:
    (1) Disclosure of the information in the carrier's report would be 
likely to cause substantial harm to the carrier's competitive position; 
or
    (2) Disclosure of information in the report would be likely to 
impair protectable government interests.
    (c) Contents of a request. A request for an exemption from public 
release must contain information supporting the claim. While the 
supporting information may contain opinions, the request must consist of 
objective data to the extent possible. General or nonspecific assertions 
or analysis will be insufficient to support a request if FMCSA is unable 
to find that the criteria are met. The supporting information must show:
    (1) That the information claimed to be confidential is a trade 
secret, or commercial or financial information that is privileged or 
confidential.
    (2) Measures taken by the carrier to ensure that the information has 
not been disclosed or otherwise made available to any person, company, 
or organization other then the carrier.
    (3) Insofar as is known by the carrier, the extent to which the 
information has been disclosed, or otherwise become available, to 
persons other than the carrier, and why such disclosure or availability 
does not compromise the confidential nature of the information.
    (4) If the carrier asserts that disclosure would be likely to result 
in substantial competitive harm, what the harmful effects of disclosure 
would be, why the effects should be viewed as substantial, and the 
causal relationship between the effects and disclosure.
    (5) If the carrier asserts that disclosure would be likely to impair 
protectable government interests, what the effects of disclosure are 
likely to be and why disclosure is likely to impair such interests.
    (d) When requests are due. (1) Requests for an exemption under this 
section may be made at any time during the year. However, a request will 
be deemed applicable to only those reports due on or after the date the 
request is received. Requests received after a report's due date will 
only be considered for the following year's report.
    (2) A request will be deemed received on the date the request is 
physically received or, if it is sent by mail, on the date it is 
postmarked.
    (3) FMCSA will only allow a late request if there are extenuating 
circumstances and the carrier gives adequate notice within a reasonable 
time of the extenuating circumstances.
    (4) A carrier submitting a request relating to the annual report can 
also request that it cover the quarterly reports for the upcoming year. 
In this case FMCSA will decide both requests at the same time. Requests 
covering the quarterly reports must be received by the due date of the 
annual report which relates to the prior year. The table in paragraph 
(e) of this section summarizes report, request, and decision due dates.
    (e) Decision to grant or deny a request. (1) After each due date of 
each annual report specified in Sec.369.1, FMCSA will

[[Page 69]]

publish a notice in the Federal Register requesting comments on any 
requests received under this section that are valid and pending.
    (2) A request will be granted only if it provides all of the 
supporting information required in paragraph (c) of this section and if 
the supporting information is sufficient to establish that information 
in the carrier's report meets the criteria in paragraph (b) of this 
section.
    (3) If the carrier fails to comply with the timing requirements of 
paragraph (d) of this section, the claim for confidentiality will be 
waived unless FMCSA is notified of extenuating circumstances before the 
information is disclosed to the public and FMCSA finds that the 
extenuating circumstances warrant consideration of the claim.
    (4) FMCSA will grant or deny each request no later than 90 days 
after the request's due date as defined in paragraph (d) of this 
section. The decision by FMCSA shall be administratively final. The 
table below summarizes report, request, and decision due dates.

----------------------------------------------------------------------------------------------------------------
             Report                         Report due                    Request due             Decision due
----------------------------------------------------------------------------------------------------------------
Annual Form M...................  March 31.....................  March 31.....................  June 30
First Quarter Form QFR..........  April 30.....................  March 31.....................  June 30
Second Quarter Form QFR.........  July 31......................  March 31.....................  June 30
Third Quarter Form QFR..........  October 31...................  March 31.....................  June 30
Fourth Quarter Form QFR.........  January 31...................  March 31.....................  June 30
----------------------------------------------------------------------------------------------------------------

    (5) If a request is granted, FMCSA will notify carrier of that 
decision and of any appropriate limitations.
    (6) If a request for confidentiality is denied, FMCSA will notify 
the carrier of that decision and that the information will be made 
available to the public not less than ten working days after the carrier 
has received notice of the denial. The notice will specify the reasons 
for denying the request.
    (f) Pendency. A request is deemed pending from the date it is 
received by FMCSA until it is granted or denied by FMCSA. FMCSA will not 
release publicly, unless otherwise required by law, any report for which 
a valid request for an exemption from public release is pending.
    (g) Period of exemptions. If a request for an exemption under this 
section is granted, FMCSA will not publicly release the reports covered 
by the granted exemption, unless otherwise required by law, for a period 
of three years from the report's due date.
    (h) Modification of a decision to grant a request. If a request is 
granted it remains in effect in accordance with its terms, unless 
modified by a later finding that the decision was clearly erroneous. If 
FMCSA believes such a finding should be made, FMCSA will notify the 
requesting carrier in writing of the reasons for the modification and 
that the carrier's report will be made available to the public in not 
less than ten working days from the date of receipt of notice under this 
paragraph. The carrier may seek reconsideration of the modification.

[64 FR 13922, Mar. 23, 1999. Redesignated at 71 FR 45742, Aug. 10, 2006, 
and amended at 71 FR 45743, Aug. 10, 2006]



Sec.369.10  Public release of motor carrier of property data.

    (a) In general. Unless otherwise provided in this section, the data 
contained in a report filed under Sec.369.1 shall be made publicly 
available, but no sooner than the due date for the report.
    (b) Exceptions relating to exemptions from public release. (1) If a 
request for an exemption from public release is pending under Sec.
369.9, FMCSA will not publicly release the reports covered by the 
request until at least the time that a decision to grant or deny the 
request is made.
    (2) If a carrier is granted an exemption from public release under 
Sec.369.9, FMCSA will not publicly release the reports covered by the 
granted exemption for a period of three years from the report's due 
date.
    (c) Other exceptions. Notwithstanding any other provision of this 
part, information may be released:

[[Page 70]]

    (1) If the data are included in aggregate industry statistics that 
do not identify the individual carrier;
    (2) To other components of the Department of Transportation for 
their internal use only;
    (3) If required by law;
    (4) With the consent of the carrier filing the report; or
    (5) To contractors, if necessary for the performance of a contract 
with FMCSA.

[64 FR 13923, Mar. 23, 1999, as amended at 68 FR 4719, Jan. 30, 2003. 
Redesignated at 71 FR 45742, Aug. 10, 2006, and amended at 71 FR 45743, 
Aug. 10, 2006]



Sec.369.11  Quarterly reports of passenger revenues, expenses, and statistics.

    Commencing with reports for the quarter ended March 31, 1968, and 
for subsequent quarters thereafter, until further order, all class I 
common and contract motor carriers of passengers, as defined in Sec.
369.3(a), shall compile and file quarterly reports in accordance with 
Motor Carrier Quarterly and Annual Report, Form MP-1. Such quarterly 
reports shall be filed in duplicate in the FMCSA Office of Information 
Management at the address in Sec.369.6, within 30 days after the close 
of the period to which it relates.

[43 FR 46975, Oct. 12, 1978. Redesignated at 63 FR 52193, Sept. 30, 
1998, as amended at 68 FR 4719, Jan. 30, 2003. Redesignated at 71 FR 
45742, Aug. 10, 2006, and amended at 71 FR 45743, Aug. 10, 2006]



PART 370_PRINCIPLES AND PRACTICES FOR THE INVESTIGATION AND VOLUNTARY 
DISPOSITION OF LOSS AND DAMAGE CLAIMS AND PROCESSING SALVAGE
--Table of Contents



Sec.
370.1 Applicability of regulations.
370.3 Filing of claims.
370.5 Acknowledgment of claims.
370.7 Investigation of claims.
370.9 Disposition of claims.
370.11 Processing of salvage.

    Authority: 49 U.S.C. 13301 and 14706; and 49 CFR 1.87.

    Source: 62 FR 32042, June 12, 1997, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 370 appear at 66 FR 
49870, Oct. 1, 2001.



Sec.370.1  Applicability of regulations.

    The regulations set forth in this part shall govern the processing 
of claims for loss, damage, injury, or delay to property transported or 
accepted for transportation, in interstate or foreign commerce, by each 
motor carrier, water carrier, and freight forwarder (hereinafter called 
carrier), subject to 49 U.S.C. subtitle IV, part B.



Sec.370.3  Filing of claims.

    (a) Compliance with regulations. A claim for loss or damage to 
baggage or for loss, damage, injury, or delay to cargo, shall not be 
voluntarily paid by a carrier unless filed, as provided in paragraph (b) 
of this section, with the receiving or delivering carrier, or carrier 
issuing the bill of lading, receipt, ticket, or baggage check, or 
carrier on whose line the alleged loss, damage, injury, or delay 
occurred, within the specified time limits applicable thereto and as 
otherwise may be required by law, the terms of the bill of lading or 
other contract of carriage, and all tariff provisions applicable 
thereto.
    (b) Minimum filing requirements. A written or electronic 
communication (when agreed to by the carrier and shipper or receiver 
involved) from a claimant, filed with a proper carrier within the time 
limits specified in the bill of lading or contract of carriage or 
transportation and:
    (1) Containing facts sufficient to identify the baggage or shipment 
(or shipments) of property,
    (2) Asserting liability for alleged loss, damage, injury, or delay, 
and
    (3) Making claim for the payment of a specified or determinable 
amount of money, shall be considered as sufficient compliance with the 
provisions for filing claims embraced in the bill of lading or other 
contract of carriage; Provided, however, That where claims are 
electronically handled, procedures are established to ensure reasonable 
carrier access to supporting documents.
    (c) Documents not constituting claims. Bad order reports, appraisal 
reports of damage, notations of shortage or damage, or both, on freight 
bills, delivery receipts, or other documents, or inspection reports 
issued by carriers or their

[[Page 71]]

inspection agencies, whether the extent of loss or damage is indicated 
in dollars and cents or otherwise, shall, standing alone, not be 
considered by carriers as sufficient to comply with the minimum claim 
filing requirements specified in paragraph (b) of this section.
    (d) Claims filed for uncertain amounts. Whenever a claim is 
presented against a proper carrier for an uncertain amount, such as 
``$100 more or less,'' the carrier against whom such claim is filed 
shall determine the condition of the baggage or shipment involved at the 
time of delivery by it, if it was delivered, and shall ascertain as 
nearly as possible the extent, if any, of the loss or damage for which 
it may be responsible. It shall not, however, voluntarily pay a claim 
under such circumstances unless and until a formal claim in writing for 
a specified or determinable amount of money shall have been filed in 
accordance with the provisions of paragraph (b) of this section.
    (e) Other claims. If investigation of a claim develops that one or 
more other carriers has been presented with a similar claim on the same 
shipment, the carrier investigating such claim shall communicate with 
each such other carrier and, prior to any agreement entered into between 
or among them as to the proper disposition of such claim or claims, 
shall notify all claimants of the receipt of conflicting or overlapping 
claims and shall require further substantiation, on the part of each 
claimant of his/her title to the property involved or his/her right with 
respect to such claim.



Sec.370.5  Acknowledgment of claims.

    (a) Each carrier shall, upon receipt in writing or by electronic 
transmission of a proper claim in the manner and form described in the 
regulations in the past, acknowledge the receipt of such claim in 
writing or electronically to the claimant within 30 days after the date 
of its receipt by the carrier unless the carrier shall have paid or 
declined such claim in writing or electronically within 30 days of the 
receipt thereof. The carrier shall indicate in its acknowledgment to the 
claimant what, if any, additional documentary evidence or other 
pertinent information may be required by it further to process the claim 
as its preliminary examination of the claim, as filed, may have 
revealed.
    (b) The carrier shall at the time each claim is received create a 
separate file and assign thereto a successive claim file number and note 
that number on all documents filed in support of the claim and all 
records and correspondence with respect to the claim, including the 
acknowledgment of receipt. At the time such claim is received the 
carrier shall cause the date of receipt to be recorded on the face of 
the claim document, and the date of receipt shall also appear in the 
carrier's acknowledgment of receipt to the claimant. The carrier shall 
also cause the claim file number to be noted on the shipping order, if 
in its possession, and the delivery receipt, if any, covering such 
shipment, unless the carrier has established an orderly and consistent 
internal procedure for assuring:
    (1) That all information contained in shipping orders, delivery 
receipts, tally sheets, and all other pertinent records made with 
respect to the transportation of the shipment on which claim is made, is 
available for examination upon receipt of a claim;
    (2) That all such records and documents (or true and complete 
reproductions thereof) are in fact examined in the course of the 
investigation of the claim (and an appropriate record is made that such 
examination has in fact taken place); and
    (3) That such procedures prevent the duplicate or otherwise unlawful 
payment of claims.



Sec.370.7  Investigation of claims.

    (a) Prompt investigation required. Each claim filed against a 
carrier in the manner prescribed in this part shall be promptly and 
thoroughly investigated if investigation has not already been made prior 
to receipt of the claim.
    (b) Supporting documents. When a necessary part of an investigation, 
each claim shall be supported by the original bill of lading, evidence 
of the freight charges, if any, and either the original invoice, a 
photographic copy of the original invoice, or an exact copy thereof or 
any extract made therefrom, certified by the claimant to

[[Page 72]]

be true and correct with respect to the property and value involved in 
the claim; or certification of prices or values, with trade or other 
discounts, allowance, or deductions, of any nature whatsoever and the 
terms thereof, or depreciation reflected thereon; Provided, however, 
That where property involved in a claim has not been invoiced to the 
consignee shown on the bill of lading or where an invoice does not show 
price or value, or where the property involved has been sold, or where 
the property has been transferred at bookkeeping values only, the 
carrier shall, before voluntarily paying a claim, require the claimant 
to establish the destination value in the quantity, shipped, 
transported, or involved; Provided, further, That when supporting 
documents are determined to be a necessary part of an investigation, the 
supporting documents are retained by the carriers for possible FMCSA 
inspection.
    (c) Verification of loss. When an asserted claim for loss of an 
entire package or an entire shipment cannot be otherwise authenticated 
upon investigation, the carrier shall obtain from the consignee of the 
shipment involved a certified statement in writing that the property for 
which the claim is filed has not been received from any other source.



Sec.370.9  Disposition of claims.

    (a) Each carrier subject to 49 U.S.C. subtitle IV, part B which 
receives a written or electronically transmitted claim for loss or 
damage to baggage or for loss, damage, injury, or delay to property 
transported shall pay, decline, or make a firm compromise settlement 
offer in writing or electronically to the claimant within 120 days after 
receipt of the claim by the carrier; Provided, however, That, if the 
claim cannot be processed and disposed of within 120 days after the 
receipt thereof, the carrier shall at that time and at the expiration of 
each succeeding 60-day period while the claim remains pending, advise 
the claimant in writing or electronically of the status of the claim and 
the reason for the delay in making final disposition thereof and it 
shall retain a copy of such advice to the claimant in its claim file 
thereon.
    (b) When settling a claim for loss or damage, a common carrier by 
motor vehicle of household goods as defined in Sec.375.103 of this 
chapter shall use the replacement costs of the lost or damaged item as a 
base to apply a depreciation factor to arrive at the current actual 
value of the lost or damaged item: Provided, That where an item cannot 
be replaced or no suitable replacement is obtainable, the proper measure 
of damages shall be the original costs, augmented by a factor derived 
from a consumer price index, and adjusted downward by a factor 
depreciation over average useful life.

[62 FR 32042, June 12, 1997, as amended at 78 FR 58478, Sept. 24, 2013]



Sec.370.11  Processing of salvage.

    (a) Whenever baggage or material, goods, or other property 
transported by a carrier subject to the provisions in this part is 
damaged or alleged to be damaged and is, as a consequence thereof, not 
delivered or is rejected or refused upon tender thereof to the owner, 
consignee, or person entitled to receive such property, the carrier, 
after giving due notice, whenever practicable to do so, to the owner and 
other parties that may have an interest therein, and unless advised to 
the contrary after giving such notice, shall undertake to sell or 
dispose of such property directly or by the employment of a competent 
salvage agent. The carrier shall only dispose of the property in a 
manner that will fairly and equally protect the best interests of all 
persons having an interest therein. The carrier shall make an itemized 
record sufficient to identify the property involved so as to be able to 
correlate it to the shipment or transportation involved, and claim, if 
any, filed thereon. The carrier also shall assign to each lot of such 
property a successive lot number and note that lot number on its record 
of shipment and claim, if any claim is filed thereon.
    (b) Whenever disposition of salvage material or goods shall be made 
directly to an agent or employee of a carrier or through a salvage agent 
or company in which the carrier or one or more of its directors, 
officers, or managers has any interest, financial or otherwise, that 
carrier's salvage

[[Page 73]]

records shall fully reflect the particulars of each such transaction or 
relationship, or both, as the case may be.
    (c) Upon receipt of a claim on a shipment on which salvage has been 
processed in the manner prescribed in this section, the carrier shall 
record in its claim file thereon the lot number assigned, the amount of 
money recovered, if any, from the disposition of such property, and the 
date of transmittal of such money to the person or persons lawfully 
entitled to receive the same.



PART 371_BROKERS OF PROPERTY--Table of Contents



                     Subpart A_General Requirements

Sec.
371.1 Applicability.
371.2 Definitions.
371.3 Records to be kept by brokers.
371.7 Misrepresentation.
371.9 Rebating and compensation.
371.10 Duties and obligations of brokers.
371.13 Accounting.

           Subpart B_Special Rules for Household Goods Brokers

371.101 If I operate as a household goods broker in interstate or 
          foreign commerce, must I comply with subpart B of this part?
371.103 What are the definitions of terms used in this subpart?
371.105 Must I use a motor carrier that has a valid U.S. DOT number and 
          valid operating authority issued by FMCSA to transport 
          household goods in interstate or foreign commerce?
371.107 What information must I display in my advertisements and 
          Internet Web homepage?
371.109 Must I inform individual shippers which motor carriers I use?
371.111 Must I provide individual shippers with Federal consumer 
          protection information?
371.113 May I provide individual shippers with a written estimate?
371.115 Must I maintain agreements with motor carriers before providing 
          written estimates on behalf of these carriers?
371.117 Must I provide individual shippers with my policies concerning 
          cancellation, deposits, and refunds?
371.121 What penalties may FMCSA impose for violations of this part?

    Authority: 49 U.S.C. 13301, 13501, and 14122; subtitle B, title IV 
of Pub. L. 109-59; and 49 CFR 1.87.

    Source: 45 FR 68942, Oct. 17, 1980, unless otherwise noted. 
Redesignated at 61 FR 54707, Oct. 21, 1996.



                     Subpart A_General Requirements



Sec.371.1  Applicability.

    This part applies, to the extent provided therein, to all brokers of 
transportation by motor vehicle as defined in Sec.371.2.

[32 FR 20034, Dec. 20, 1967, as amended at 62 FR 15421, Apr. 1, 1997]



Sec.371.2  Definitions.

    (a) Broker means a person who, for compensation, arranges, or offers 
to arrange, the transportation of property by an authorized motor 
carrier. Motor carriers, or persons who are employees or bona fide 
agents of carriers, are not brokers within the meaning of this section 
when they arrange or offer to arrange the transportation of shipments 
which they are authorized to transport and which they have accepted and 
legally bound themselves to transport.
    (b) Bona fide agents are persons who are part of the normal 
organization of a motor carrier and perform duties under the carrier's 
directions pursuant to a preexisting agreement which provides for a 
continuing relationship, precluding the exercise of discretion on the 
part of the agent in allocating traffic between the carrier and others.
    (c) Brokerage or brokerage service is the arranging of 
transportation or the physical movement of a motor vehicle or of 
property. It can be performed on behalf of a motor carrier, consignor, 
or consignee.
    (d) Non-brokerage service is all other service performed by a broker 
on behalf of a motor carrier, consignor, or consignee.



Sec.371.3  Records to be kept by brokers.

    (a) A broker shall keep a record of each transaction. For purposes 
of this section, brokers may keep master lists of consignors and the 
address and registration number of the carrier, rather than repeating 
this information for each transaction. The record shall show:
    (1) The name and address of the consignor;

[[Page 74]]

    (2) The name, address, and registration number of the originating 
motor carrier;
    (3) The bill of lading or freight bill number;
    (4) The amount of compensation received by the broker for the 
brokerage service performed and the name of the payer;
    (5) A description of any non-brokerage service performed in 
connection with each shipment or other activity, the amount of 
compensation received for the service, and the name of the payer; and
    (6) The amount of any freight charges collected by the broker and 
the date of payment to the carrier.
    (b) Brokers shall keep the records required by this section for a 
period of three years.
    (c) Each party to a brokered transaction has the right to review the 
record of the transaction required to be kept by these rules.

[45 FR 68942, Oct. 17, 1980. Redesignated at 61 FR 54707, Oct. 21, 1996, 
as amended at 62 FR 15421, Apr. 1, 1997]



Sec.371.7  Misrepresentation.

    (a) A broker shall not perform or offer to perform any brokerage 
service (including advertising), in any name other than that in which 
its registration is issued.
    (b) A broker shall not, directly or indirectly, represent its 
operations to be that of a carrier. Any advertising shall show the 
broker status of the operation.

[45 FR 68942, Oct. 17, 1980. Redesignated at 61 FR 54707, Oct. 21, 1996, 
as amended at 62 FR 15421, Apr. 1, 1997]



Sec.371.9  Rebating and compensation.

    (a) A broker shall not charge or receive compensation from a motor 
carrier for brokerage service where:
    (1) The broker owns or has a material beneficial interest in the 
shipment or
    (2) The broker is able to exercise control over the shipment because 
the broker owns the shipper, the shipper owns the broker, or there is 
common ownership of the two.
    (b) A broker shall not give or offer to give anything of value to 
any shipper, consignor or consignee (or their officers or employees) 
except inexpensive advertising items given for promotional purposes.



Sec.371.10  Duties and obligations of brokers.

    Where the broker acts on behalf of a person bound by law or the 
FMCSA regulation as to the transmittal of bills or payments, the broker 
must also abide by the law or regulations which apply to that person.

[45 FR 68943, Oct. 17, 1980, as amended at 62 FR 15421, Apr. 1, 1997]



Sec.371.13  Accounting.

    Each broker who engages in any other business shall maintain 
accounts so that the revenues and expenses relating to the brokerage 
portion of its business are segregated from its other activities. 
Expenses that are common shall be allocated on an equitable basis; 
however, the broker must be prepared to explain the basis for the 
allocation.

[45 FR 68943, Oct. 17, 1980]



           Subpart B_Special Rules for Household Goods Brokers

    Source: 75 FR 72996, Nov. 29, 2010, unless otherwise noted.



Sec.371.101  If I operate as a household goods broker in interstate or 
foreign commerce, must I comply with subpart B of this part?

    Yes, you must comply with all regulations in this subpart when you 
operate as a household goods broker offering services to individual 
shippers in interstate or foreign commerce. The regulations in this 
subpart do not apply to a household goods broker when providing services 
to commercial or government shippers in interstate or foreign commerce.



Sec.371.103  What are the definitions of terms used in this subpart?

    FMCSA means the Federal Motor Carrier Safety Administration within 
the U.S. Department of Transportation.
    Household goods has the same meaning as the term is defined in Sec.
375.103 of this subchapter.

[[Page 75]]

    Household goods broker means a person, other than a motor carrier or 
an employee or bona fide agent of a motor carrier, that as a principal 
or agent sells, offers for sale, negotiates for, or holds itself out by 
solicitation, advertisement, or otherwise as selling, providing, or 
arranging for, transportation of household goods by motor carrier for 
compensation.
    Individual shipper has the same meaning as the term is defined in 
Sec.375.103 of this subchapter.



Sec.371.105  Must I use a motor carrier that has a valid U.S. DOT nu
goods in interstate or foreign commerce?

    You may only act as a household goods broker for a motor carrier 
that has a valid, active U.S. DOT number and valid operating authority 
issued by FMCSA to transport household goods in interstate or foreign 
commerce.



Sec.371.107  What information must I display in my advertisements 
and Internet Web homepage?

    (a) You must prominently display in your advertisements and Internet 
Web homepage(s) the physical location(s) (street or highway address, 
city, and State) where you conduct business.
    (b) You must prominently display your U.S. DOT registration 
number(s) and MC license number issued by the FMCSA in your 
advertisements and Internet Web homepage(s).
    (c) You must prominently display in your advertisements and Internet 
Web site(s) your status as a household goods broker and the statement 
that you will not transport an individual shipper's household goods, but 
that you will arrange for the transportation of the household goods by 
an FMCSA-authorized household goods motor carrier, whose charges will be 
determined by its published tariff.
    (d) If you provide estimates on any carrier's behalf pursuant to 
Sec.371.113(b), you must prominently display in your Internet Web 
site(s) that the estimate must be based on the carrier's tariff and that 
the carrier is required to make its tariff available for public 
inspection upon a reasonable request.
    (e) You may only include in your advertisements or Internet Web 
site(s) the names or logos of FMCSA-authorized household goods motor 
carriers with whom you have a written agreement as specified in Sec.
371.115 of this part.



Sec.371.109  Must I inform individual shippers which motor carriers I use?

    (a) You must provide to each potential individual shipper who 
contacts you a list of all authorized household goods motor carriers you 
use, including their U.S. DOT registration number(s) and MC license 
numbers. You may provide the list electronically or on paper.
    (b) You must provide to each potential individual shipper who 
contacts you a statement indicating that you are not a motor carrier 
authorized by the Federal Government to transport the individual 
shipper's household goods, and you are only arranging for an authorized 
household goods motor carrier to perform the transportation services 
and, if applicable, additional services. You may provide the statement 
electronically or on paper.



Sec.371.111  Must I provide individual shippers with Federal consumer
protection information?

    (a) You must provide potential individual shippers with Federal 
consumer protection information by one of the following three methods:
    (1) Provide a hyperlink on your Internet Web site to the FMCSA Web 
site containing the information in FMCSA's publications ``Ready to 
Move?--Tips for a Successful Interstate Move'' and ``Your Rights and 
Responsibilities When You Move.''
    (2) Distribute to each shipper and potential shipper at the time you 
provide an estimate, copies of FMCSA's publications ``Ready to Move?--
Tips for a Successful Interstate Move'' and ``Your Rights and 
Responsibilities When You Move.''
    (3) Distribute to each shipper and potential shipper at the time you 
provide an estimate, copies of ``Ready to Move?--Tips for a Successful 
Interstate Move'' and ``Your Rights and Responsibilities When You Move'' 
as modified and produced by the authorized, lawful

[[Page 76]]

motor carrier to which you intend to provide the shipment under your 
written agreement required by Sec.371.115.
    (b) If an individual shipper elects to waive physical receipt of the 
Federal consumer protection information by one of the methods described 
in paragraphs (a)(2) and (a)(3) of this section, and elects to access 
the same information via the hyperlink on the Internet as provided in 
paragraph (a)(1) of this section, you must include a clear and concise 
statement on the written estimate described in Sec.371.113 that the 
individual shipper expressly agreed to access the Federal consumer 
protection information on the Internet.
    (c) You must obtain a signed, dated, electronic or paper receipt 
showing the individual shipper has received both booklets that includes, 
if applicable, verification of the shipper's agreement to access the 
Federal consumer protection information on the Internet.
    (d) You must maintain the signed receipt required by paragraph (c) 
of this section for three years from the date the individual shipper 
signs the receipt.



Sec.371.113  May I provide individual shippers with a written estimate?

    (a) You may provide each individual shipper with an estimate of 
transportation and accessorial charges. If you provide an estimate, it 
must be in writing and must be based on a physical survey of the 
household goods conducted by the authorized motor carrier on whose 
behalf the estimate is provided if the goods are located within a 50-
mile radius of the motor carrier's or its agent's location, whichever is 
closer. The estimate must be prepared in accordance with a signed, 
written agreement, as specified in Sec.371.115 of this subpart.
    (b) You must base your estimate upon the published tariffs of the 
authorized motor carrier who will transport the shipper's household 
goods.
    (c)(1) A shipper may elect to waive the physical survey required in 
paragraph (a) of this section by written agreement signed by the shipper 
before the shipment is loaded.
    (2) The household goods broker must explain the physical survey 
waiver agreement to the individual shipper in plain English. The 
physical survey waiver agreement must be printed on the written estimate 
and must be printed at no less than 7-point font size and with the font 
typeface Universe.
    (3) A copy of the waiver agreement must be retained as an addendum 
to the bill of lading and is subject to the same record inspection and 
preservation requirements as are applicable to bills of lading.
    (d) You must keep the records required by this section for three 
years following the date you provide the written estimate for an 
individual shipper who accepts the estimate and has you procure the 
transportation.



Sec.371.115  Must I maintain agreements with motor carriers before
providing written estimates on behalf of these carriers?

    (a) In order to provide estimates of charges for the transportation 
of household goods, you must do so in accordance with the written 
agreement required by Sec.375.409 of this subchapter. Your written 
agreement with the motor carrier(s) must include the following items:
    (1) Your broker name as shown on your FMCSA registration, your 
physical address, and your U.S. DOT registration number and MC license 
number;
    (2) The authorized motor carrier's name as shown on its FMCSA 
registration, its physical address, and its U.S. DOT registration number 
and MC license number;
    (3) A concise, easy to understand statement that your written 
estimate to the individual shipper:
    (i) Will be exclusively on behalf of the authorized household goods 
motor carrier;
    (ii) Will be based on the authorized household goods motor carrier's 
published tariff; and
    (iii) Will serve as the authorized household goods motor carrier's 
estimate for purposes of complying with the requirements of part 375 of 
this chapter, including the requirement that the authorized household 
goods motor carrier relinquishes possession of the shipment upon payment 
of no more than 110 percent of a non-binding estimate at the time of 
delivery;

[[Page 77]]

    (4) Your owner's, corporate officer's, or corporate director's 
signature lawfully representing your household goods broker operation 
and the date;
    (5) The signature of the authorized household goods motor carrier's 
owner, corporate officer, or corporate director lawfully representing 
the household goods motor carrier's operation and the date; and
    (b) The signed written agreement required by this section is public 
information and you must produce it for review upon reasonable request 
by a member of the public.
    (c) You must keep copies of the agreements required by this section 
for as long as you provide estimates on behalf of the authorized 
household goods motor carrier and for three years thereafter.



Sec.371.117  Must I provide individual shippers with my policies
concerning cancellation, deposits, and refunds?

    (a) You must disclose prominently on your Internet Web site and in 
your agreements with prospective shippers your cancellation policy, 
deposit policy, and policy for refunding deposited funds in the event 
the shipper cancels an order for service before the date an authorized 
household goods motor carrier has been scheduled to pick up the 
shipper's property.
    (b) You must maintain records showing each individual shipper's 
request to cancel a shipment and the disposition of each request for a 
period of three years after the date of a shipper's cancellation 
request. If you refunded a deposit, your records must include:
    (1) Proof that the individual shipper cashed or deposited the check 
or money order, if the financial institution provides documentary 
evidence; or
    (2) Proof that you delivered the refund check or money order to the 
individual shipper.



Sec.371.121  What penalties may FMCSA impose for violations of this part?

    The penalty provisions of 49 U.S.C. chapter 149, Civil and Criminal 
Penalties apply to this subpart. These penalties do not overlap. 
Notwithstanding these civil penalties, nothing in this section deprives 
an individual shipper of any remedy or right of action under existing 
law.



PART 372_EXEMPTIONS, COMMERCIAL ZONES, AND TERMINAL AREAS
--Table of Contents



                          Subpart A_Exemptions

Sec.
372.101 Casual, occasional, or reciprocal transportation of passengers 
          for compensation when such transportation is sold or arranged 
          by anyone for compensation.
372.103 Motor vehicles employed solely in transporting school children 
          and teachers to or from school.
372.107 Definitions.
372.109 Computation of tonnage allowable in nonfarm-non-member 
          transportation.
372.111 Nonmember transportation limitation and record keeping.
372.113 [Reserved]
372.115 Commodities that are not exempt under 49 U.S.C. 13506(a)(6).
372.117 Motor transportation of passengers incidental to transportation 
          by aircraft.

                       Subpart B_Commercial Zones

372.201 Albany, NY.
372.203 Beaumont, TX.
372.205 Charleston, SC.
372.207 Charleston, WV.
372.209 Lake Charles, LA.
372.211 Pittsburgh, PA.
372.213 Pueblo, CO.
372.215 Ravenswood, WV.
372.217 Seattle, WA.
372.219 Washington, DC.
372.221 Twin Cities.
372.223 Consolidated governments.
372.225 Lexington-Fayette Urban County, KY.
372.227 Syracuse, NY.
372.229 Spokane, WA.
372.231 Tacoma, WA.
372.233 Chicago, IL.
372.235 New York, NY.
372.237 Cameron, Hidalgo, Starr, and Willacy Counties, TX.
372.239 Definitions.
372.241 Commercial zones determined generally, with exceptions.
372.243 Controlling distances and population data.

                        Subpart C_Terminal Areas

372.300 Distances and population data.
372.301 Terminal areas of motor carriers and freight forwarders at 
          municipalities served.

[[Page 78]]

372.303 Terminal areas of motor carriers and freight forwarders at 
          unincorporated communities served.

    Authority: 49 U.S.C. 13504 and 13506; and 49 CFR 1.87.

    Editorial Note: Nomenclature changes to part 372 appear at 66 FR 
49870, Oct. 1, 2001.



                          Subpart A_Exemptions

    Source: 32 FR 20036, Dec. 20, 1967, unless otherwise noted. 
Redesignated at 61 FR 54708, Oct. 21, 1996.



Sec.372.101  Casual, occasional, or reciprocal transportation of
passengers for compensation when such transportation is sold or 
arranged by anyone for compensation.

    The partial exemption from regulation under the provisions of 49 
U.S.C. subtitle IV, part B of the casual, occasional, and reciprocal 
transportation of passengers by motor vehicle in interstate or foreign 
commerce for compensation as provided in 49 U.S.C. 13506(b) be, and it 
is hereby, removed to the extent necessary to make applicable all 
provisions of 49 U.S.C. subtitle IV, part B to such transportation when 
sold or offered for sale, or provided or procured or furnished or 
arranged for, by any person who sells, offers for sale, provides, 
furnishes, contracts, or arranges for such transportation for 
compensation or as a regular occupation or business.

[32 FR 20036, Dec. 20, 1967. Redesignated at 61 FR 54708, Oct. 21, 1996, 
as amended at 62 FR 15421, Apr. 1, 1997]



Sec.372.103  Motor vehicles employed solely in transporting school
children and teachers to or from school.

    The exemption set forth in 49 U.S.C. 13506(a)(1) shall not be 
construed as being inapplicable to motor vehicles being used at the time 
of operation in the transportation of schoolchildren and teachers to or 
from school, even though such motor vehicles are employed at other times 
in transportation beyond the scope of the exemption.

[36 FR 9022, May 18, 1971, as amended at 62 FR 15421, Apr. 1, 1997]



Sec.372.107  Definitions.

    As used in the regulations in this part, the following terms shall 
have the meaning shown:
    (a) Cooperative association. The term ``cooperative association'' 
means an association which conforms to the following definition in the 
Agricultural Marketing Act, approved June 15, 1929, as amended (12 
U.S.C. 1141j):

    As used in this Act, the term cooperative association means any 
association in which farmers act together in processing, preparing for 
market, handling, and/or marketing the farm products of persons so 
engaged, and also means any association in which farmers act together in 
purchasing, testing, grading, processing, distributing, and/or 
furnishing farm supplies and/or farm business services. Provided, 
however, That such associations are operated for the mutual benefit of 
the members thereof as such producers or purchasers and conform to one 
or both of the following requirements:
    First. That no member of the association is allowed more than one 
vote because of the amount of stock or membership capital he may own 
therein; and
    Second. That the association does not pay dividends on stock or 
membership capital in excess of 8 per centum per annum.
    And in any case to the following:
    Third. That the association shall not deal in farm products, farm 
supplies and farm business services with or for nonmembers in an amount 
greater in value than the total amount of such business transacted by it 
with or for members. All business transacted by any cooperative 
association for or on behalf of the United States or any agency or 
instrumentality thereof shall be disregarded in determining the volume 
of member and nonmember business transacted by such association.


Associations which do not conform to such definition are not eligible to 
operate under the partial exemption of 49 U.S.C. 13506(a)(5).
    (b) Federation of cooperative associations. The term ``federation of 
cooperative associations'' means a federation composed of either two or 
more cooperative associations, or one or more farmers, which federation 
possesses no greater powers or purposes than a cooperative association 
as defined in paragraph (a) of this section. Federations of cooperative 
associations which do not conform to such definition are not eligible to 
operate under the partial exemption of 49 U.S.C. 13506(a)(5).

[[Page 79]]

    (c) Member. The term ``member'' means any farmer or cooperative 
association which has consented to be, has been accepted as, and is a 
member in good standing in accordance with the constitution, bylaws, or 
rules of the cooperative association or federation of cooperative 
associations.
    (d) Farmer. The term ``farmer'' means any individual, partnership, 
corporation, or other business entity to the extent engaged in farming 
operations either as a producer of agricultural commodities or as a farm 
owner.
    (e) Interstate transportation. The term ``interstate 
transportation'' means transportation by motor vehicle in interstate or 
foreign commerce subject to the FMCSA's jurisdiction as set forth in 49 
U.S.C. 13501.
    (f) Member transportation. The term ``member transportation'' means 
transportation performed by a cooperative association or federation of 
cooperative associations for itself or for its members, but does not 
include transportation performed in furtherance of the nonfarm business 
of such members.
    (g) Nonmember transportation. The term ``nonmember transportation'' 
means transportation performed by a cooperative association or 
federation of cooperative associations other than member transportation 
as defined in paragraph (f) of this section.
    (h) Fiscal year. The term ``fiscal year'' means the annual 
accounting period adopted by the cooperative association or federation 
of cooperative associations for Federal income tax reporting purposes.

[43 FR 2397, Jan. 17, 1978, as amended at 45 FR 45524, July 3, 1980; 47 
FR 13353, Mar. 30, 1982; 47 FR 15142, Apr. 8, 1982]



Sec.372.109  Computation of tonnage allowable in nonfarm-
non-member transportation.

    Interstate transportation performed by a cooperative association or 
federation of cooperative associations for nonmembers who are not 
farmers, cooperative associations, or federations of associations or the 
United States Government for compensation, (except transportation 
otherwise exempt under subtitle IV, part B, chapter 135 of title 49 of 
the United States Code) shall be limited to that which is incidental to 
its primary transportation operation and necessary for its effective 
performance. It shall in no event exceed 25 percent of its total 
interstate transportation services in any fiscal year, measured in terms 
of tonnage. A cooperative association or federation of cooperative 
associations may transport its own property, its members' property, 
property of other farmers and the property of other cooperatives or 
federations in accordance with existing law, except where the provisions 
of Sec.372.111 may be applicable to the limit on member/nonmember 
transportation.
    (a) The phrase ``incidental to its primary transportation operation 
and necessary for its effective performance'' means that the interstate 
transportation of the cooperative association or federation of 
cooperative associations for nonmembers as described above is performed 
with the same trucks or tractors employed in a prior or subsequent trip 
in the primary transportation operation of the cooperative association 
or federation, that it is not economically feasible to operate the 
trucks or tractors empty on return trips (outbound trips in cases where 
the primary transportation operation is inbound to the association or 
federation), and that the additional income obtained from such 
transportation is necessary to make the primary transportation operation 
financially practicable. Transportation for nonmembers as described 
above performed by a cooperative or federation through the use of trucks 
or tractors trip-leased for one-way movements with the cooperative 
association or federation acting as leasee, is not incidental and 
necessary;
    (b) The base tonnage to which the 25-percent limitation is applied 
is all tonnage of all kinds transported by the cooperative association 
or federation of cooperative associations in interstate or foreign 
commerce, whether for itself, its members or nonmembers, for or on 
behalf of the United States or any agency or instrumentality thereof, 
and that performed within the exemption provided by 49 U.S.C. 
13506(a)(5).

[43 FR 2397, Jan. 17, 1978, as amended at 43 FR 21894, May 22, 1978; 45 
FR 45524, July 3, 1980; 62 FR 49940, Sept. 24, 1997; 78 FR 58478, Sept. 
24, 2013]

[[Page 80]]



Sec.372.111  Nonmember transportation limitation and record keeping.

    (a) Overall limitation of nonmember transportation. No cooperative 
association or federation of cooperative associations may engage in 
nonmember interstate transportation for compensation in any fiscal year 
which, measured in terms of tonnage, exceeds its total interstate member 
transportation in such fiscal year.
    (b) Records of interstate transportation when nonmember 
transportation is performed. Any cooperative association or federation 
of cooperative associations performing interstate transportation for 
nonmembers shall prepare and retain for a period of at least two years 
written records of all interstate transportation performed for members 
and nonmembers. These records shall contain:
    (1) The date of the shipment,
    (2) The names and addresses of the consignor and consignee,
    (3) The origin and destination of the shipment,
    (4) A description of the articles in the shipment,
    (5) The weight or volume of the shipment,
    (6) A description of the equipment used either by unit number or 
license number and, in the event this equipment is nonowned, the name 
and address of its owners and drivers,
    (7) The total charges collected,
    (8) A copy of all leases executed by the cooperative association or 
federation of cooperative associations to obtain equipment to perform 
transportation under 49 U.S.C. 13506(a)(5),
    (9) Whether the transportation performed is:
    (i) Member transportation,
    (ii) Nonmember transportation for nonmembers who are farmers, 
cooperative associations, or federations thereof,
    (iii) Other nonmember transportation, and if of class (iii), how the 
transportation was incidental and necessary as defined in Sec.
372.109(a).

[43 FR 2397, Jan. 17, 1978, as amended at 45 FR 45524, July 3, 1980; 62 
FR 38036, July 16, 1997; 62 FR 49940, Sept. 24, 1997]



Sec.372.113     [Reserved]



Sec.372.115  Commodities that are not exempt under 49 U.S.C. 13506(a)(6).

    49 U.S.C. 13506(a)(6) provides an exemption from regulation for 
motor vehicles used in carrying ordinary livestock, fish, and 
unmanufactured agricultural commodities. Certain specific commodities 
have been statutorily determined to be non-exempt. Administrative Ruling 
No. 133, which is reproduced below, is a list of those commodities that 
are non-exempt by statute.

                      Administrative Ruling No. 133

   List of Commodities That Are Not Exempt by Statute Under 49 U.S.C. 
                               13506(a)(6)

Animal fats
Butter
Canned fruits and vegetables
Carnauba wax as imported in slabs or chunks
Cattle, slaughtered
Charcoal
Cheese
Coal
Cocoa beans
Coffee, beans, roasted, or instant
Copra meal
Cotton yarn
Cottonseed cake or meal
Diatomaceous earth
Dinners, frozen

Feeds:

    Alfalfa meal
    Alfalfa pellets
    Beet pulp
    Bran shorts
    Copra meal
    Corn gluten
    Distilled corn grain residues, with or without solubles added
    Fish meal
    Hominy feed
    Middlings
    Pelletized ground refuse screenings
    Wheat bran
    Wheat shorts

Fertilizer, commercial

Fish:

    Canned or salted as a treatment for preserving
    Cooked or partially cooked fish or shrimp, frozen or unfrozen
    Hermetically sealed in containers as a treatment for preserving
    Oil from fishes
    Preserved, or treated for preserving, such as smoked, salted, 
pickled, spiced, corned or kippered

Flagstone
Flaxseed meal

[[Page 81]]

Flour

Forest products:

    Resin products, such as turpentine

Fruits and Berries:

    Bananas, fresh, dried, dehydrated, or frozen
    Canned
    Frozen
    Hulls of oranges after juice extractions
    Juice, fruit, plain or concentrated
    Pies, frozen
    Preserved, such as jam
    Purees, strawberry and other, frozen

Grains:

    Oils extracted from grain
    Popcorn, popped
    Rice, precooked
    Wheat germ

Gravel
Hair, hog or other animal, product of slaughter of animal
Hay, sweetened with 3 percent molasses by weight
Hemp fiber
Hides, green and salted
Insecticides
Limestone, agricultural

Livestock:

    Monkeys
    Race horses
    Show horses
    Zoo animals

Lumber, rough sawed or planed
Maple syrup

Meal:

    Alfalfa
    Copra
    Cottonseed
    Fish
    Flaxseed
    Linseed
    Peanut
    Soybean

Meat and meat products, fresh, frozen or canned

Milk and Cream:

    Chocolate
    Condensed
    Sterilized in hermetically sealed cans

Molasses

Nuts (including peanuts):

    Peanut meal
    Roasted or boiled

Oil, mint
Oil, extracted from vegetables, grain, seed, fish or other commodity
Pelts
Pies, frozen
Pigeons, racing
Pulp, beet
Pulp, sugar cane
Rock (except natural crushed, vesicular rock to be used for decorative 
          purposes)
Rubber, crude, in bales
Rubber, latex, natural, liquid, from which water has been extracted and 
          to which ammonia has been added
Sand

Seeds:

    Oil extracted from seeds

Skins, animal
Soil, potting
Soil, top
Soup, frozen
Sugar
Sugar cane pulp
Sugar raw
Syrup, cane
Syrup, maple
Tea

Tobacco:

    Cigars and cigarettes
    Homogenized
    Smoking

Top Soil

Trees:

    Sawed into lumber

Vegetables:

    Candied sweet potatoes, frozen
    Canned
    Cooked
    French fried potatoes
    Oil, extracted from vegetables
    Soup, frozen
    Soybean meal

Wool imported from a foreign country
Wool tops and noils
Wool waste (carded, spun, woven, or knitted)
Wool yarn

    Note 1: Under 49 U.S.C. 13506(a)(6)(D), any listed fish or shellfish 
product that is not intended for human consumption is exempt.
    Note 2: Under 49 U.S.C. 13506(a)(6)(E), any listed livestock feed, 
poultry feed, agricultural seeds, or plants that are transported to a 
site of agricultural production or to a business enterprise engaged in 
the sale to agricultural producers of goods used in agricultural 
production is exempt

[53 FR 17707, May 18, 1988, as amended at 62 FR 15421, Apr. 1, 1997]



Sec.372.117  Motor transportation of passengers incidental to transportation by aircraft.

    (a) Passengers having an immediately prior or subsequent movement by 
air. The transportation of passengers by motor vehicle is transportation 
incidental to transportation by aircraft provided (1)

[[Page 82]]

that it is confined to the transportation of passengers who have had or 
will have an immediately prior or immediately subsequent movement by air 
and (2) that the zone within which motor transportation is incidental to 
transportation by aircraft, except as it may be individually determined 
as provided in paragraph (c) of this section, shall not exceed in size 
the area encompassed by a 25-mile radius of the boundary of the airport 
at which the passengers arrive or depart and by the boundaries of the 
commercial zones (as defined by the Secretary) of any municipalities any 
part of whose commercial zones falls within the 25-mile radius of the 
pertinent airport.
    (b) Substituted motor-for-air transportation due to emergency 
conditions. Transportation of passengers by motor vehicle is 
transportation incidental to transportation by aircraft if it 
constitutes substituted motor-for-air service performed at the expense 
of the air carrier in emergency situations arising from the inability of 
the air carrier to perform air transportation due to adverse weather 
conditions, equipment failure, or other causes beyond the control of the 
air carrier.
    (c) Individual determination of exempt zones. Upon its own motion or 
upon petition filed by any interested person, the Secretary may in an 
appropriate proceeding, determine whether the area within which the 
transportation by motor vehicle of passengers having an immediately 
prior or subsequent movement by air must be performed, in order to come 
within the provisions of paragraph (a) of this section, should be 
individually determined with respect to any particular airport or city 
served by an airport, and whether there should be established therefor 
appropriate boundaries differing in extent from this defined in 
paragraph (a)(2) of this section.
    (d) Exempt zones and operations--(1) Dulles and Baltimore-Washington 
International Airports. The transportation by motor vehicle, in 
interstate or foreign commerce, of passengers, having an immediately 
prior or subsequent movement by air, between Dulles International 
Airport, near Chantilly, Va., and Baltimore-Washington International 
Airport, near Baltimore, Md., is partially exempt from regulation under 
49 U.S.C. 13506(a)(8)(A).
    (2) Savannah, Ga., Airport. The transportation by motor vehicle, in 
interstate or foreign commerce, of passengers, having an immediately 
prior or subsequent movement by air, between Savannah, Ga., Airport and 
all points on Hilton Head Island, SC, is partially exempt from 
regulation under 49 U.S.C. 13506(a)(8)(A).
    (3) Chicago O'Hare International Airport (Chicago, Ill.). The 
transportation by motor vehicle, in interstate or foreign commerce, of 
passengers, having an immediately prior or subsequent movement by air, 
between O'Hare International Airport, at Chicago, Ill., on the one hand, 
and, on the other, points in Indiana on and north of U.S. Highway 30 and 
on and west of Indiana Highway 49, is partially exempt from regulation 
under 49 U.S.C. 13506(a)(8)(A).

[32 FR 20036, Dec. 20, 1967, as amended at 37 FR 5252, Mar. 11, 1972; 42 
FR 10003, Feb. 18, 1977; 42 FR 15705; Mar. 23, 1977; 62 FR 15421, Apr. 
1, 1997; 78 FR 58478, Sept. 24, 2013]



                       Subpart B_Commercial Zones

    Source: 41 FR 56653, Dec. 29, 1976, unless otherwise noted. 
Redesignated at 61 FR 54708, Oct. 21, 1996.



Sec.372.201  Albany, NY.

    The zone adjacent to, and commercially a part of Albany, N.Y., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulations under 49 U.S.C. 13506(b)(1) includes 
and is comprised of all points as follows:
    (a) The municipality of Albany, N.Y., itself.
    (b) All points within a line drawn eight miles beyond the municipal 
limits of Albany.
    (c) All points in that area more than eight miles beyond the 
municipal limits of Albany bounded by a line as follows: Beginning at 
that point on the western boundary of Cohoes, N.Y., where it crosses the 
line described in paragraph (b) of this section, thence

[[Page 83]]

along the western and northern boundary of Cohoes to the Mohawk River 
thence along such river to the northern boundary of the Town of 
Waterford thence along the northern and eastern boundaries of the Town 
of Waterford to the northern boundary of the City of Troy (all of which 
city is included under the next provision).
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Albany or any other 
municipality included under the terms of paragraph (d) of this section.

[41 FR 56653, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]



Sec.372.203  Beaumont, TX.

    The zone adjacent to, and commercially a part of Beaumont, Tex., 
within which transportation by motor vehicle in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes 
and is comprised of all points as follows:
    (a) The municipality of Beaumont, Tex., itself;
    (b) All points within a line drawn 8 miles beyond the municipal 
limits of Beaumont;
    (c) All points in Jefferson County and Orange County, Tex.;
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Beaumont or by any 
other municipality included under the terms of paragraph (d) of this 
section.

[41 FR 56653, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]



Sec.372.205  Charleston, S.C.

    The zone adjacent to, and commercially a part of Charleston, S.C., 
within which transportation by motor vehicle in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes 
and is comprised of all points as follows:
    (a) The municipality of Charleston, S.C., itself;
    (b) All points within a line drawn 6 miles beyond the municipal 
limits of Charleston;
    (c) Those points in Charleston County, S.C., which are not within 
the areas described in paragraph (b) of this section; and those points 
in Berkley County, S.C., which are not within the areas described in 
paragraph (b) of this section, and which are west of South Carolina 
Highway 41; and all points in Dorchester County, SC.
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Charleston or by any 
other municipality included under the terms of paragraph (d) of this 
section.

[41 FR 56653, Dec. 29, 1976, as amended at 46 FR 28658, May 28, 1981; 62 
FR 15422, Apr. 1, 1997]



Sec.372.207  Charleston, WV.

    The zone adjacent to, and commercially a part of Charleston, W. Va., 
within which transportation by motor vehicle in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes 
and is comprised of all points as follows:
    (a) The municipality of Charleston, W. Va., itself;
    (b) All points within a line drawn 6 miles beyond the municipal 
limits of Charleston;
    (c) Those points in Kanawha County, W. Va., which are not within the 
area described in paragraph (b) of this section; and those points in 
Putnam County, W. Va., south of West Virginia Highway 34;

[[Page 84]]

    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Charleston or by any 
other municipality included under the terms of paragraph (d) of this 
section.

[41 FR 56653, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]



Sec.372.209  Lake Charles, LA.

    The zone adjacent to, and commercially a part of Lake Charles, La., 
within which transportation by motor vehicle in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes 
and is comprised of all points as follows:
    (a) The municipality of Lake Charles, La., itself;
    (b) All points within a line drawn 6 miles beyond the municipal 
limits of Lake Charles;
    (c) Those points in Calcasieu Parish, La., which are not within the 
area described in paragraph (b) of this section; and which are east of 
Louisiana Highway 27 (western section);
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Lake Charles or by 
any other municipality included under the terms of paragraph (d) of this 
section.

[41 FR 56653, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]



Sec.372.211  Pittsburgh, PA.

    The zone adjacent to, and commercially a part of Pittsburgh within 
which transportation by motor vehicle in interstate or foreign commerce, 
not under common control, management, or arrangement for a continuous 
carriage or shipment to or from a point beyond such zone, is partially 
exempt from regulation under 49 U.S.C. 13506(b)(1) includes and is 
comprised of all points as follows:
    (a) The municipality of Pittsburgh, Pa., itself;
    (b) All points within a line drawn 15 miles beyond the municipal 
limits of Pittsburgh;
    (c) Those points in Allegheny County, Pa., which are not within the 
area described in paragraph (b) of this section;
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Pittsburgh or by any 
other municipality included under the terms of paragraph (d) of this 
section.

[41 FR 56654, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997; 78 
FR 58478, Sept. 24, 2013]



Sec.372.213  Pueblo, CO.

    The zone adjacent to, and commercially a part of Pueblo, Colo., 
within which transportation by motor vehicle in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulations under 49 U.S.C. 13506(b)(1) includes 
and is comprised of all points as follows:
    (a) The municipality of Pueblo, Colo., itself;
    (b) All points within a line drawn 6 miles beyond the municipal 
limits of Pueblo;
    (c) Those points in Pueblo County, Colo., which are not within the 
area described in paragraph (b) of this section;
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Pueblo or by any 
other municipality included under the terms of paragraph (d) of this 
section.

[41 FR 56654, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997; 78 
FR 58478, Sept. 24, 2013]

[[Page 85]]



Sec.372.215  Ravenswood, WV.

    The zone adjacent to, and commercially a part of Ravenswood, W. Va., 
within which transportation by motor vehicle in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes 
and is comprised of all points as follows:
    (a) The municipality of Ravenswood, W. Va., itself;
    (b) All points within a line drawn 4 miles beyond the municipal 
limits of Ravenswood;
    (c) Those points in Jackson County, W. Va., which are not within the 
area described in paragraph (b) of this section, and which are north of 
U.S. Highway 33;
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Ravenswood or by any 
other municipality included under the terms of paragraph (d) of this 
section.

[41 FR 56654, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]



Sec.372.217  Seattle, WA.

    The zone adjacent to, and commercially a part of Seattle, Wash., 
within which transportation by motor vehicle in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes 
and is comprised of all points as follows:
    (a) The municipality of Seattle, Wash., itself;
    (b) All points within a line drawn 15 miles beyond the municipal 
limits of Seattle;
    (c) Those points in King County, Wash., which are not within the 
area described in paragraph (b) of this section, and which are west of a 
line beginning at the intersection of the line described in paragraph 
(b) of this section and Washington Highway 18, thence northerly along 
Washington Highway 18 to junction of Interstate Highway 90, thence 
westerly along Interstate Highway 90 to junction Washington Highway 203, 
thence northerly along Washington Highway 203 to the King County line; 
and those points in Snohomish County, Wash., which are not within the 
area described in paragraph (b) of this section and which are west of 
Washington Highway 9; and those points in Kitsap County, Wash., which 
are not within the area described in paragraph (b) of this section lying 
within the area bounded by a line beginning at the intersection of the 
line described in paragraph (b) of this section and Washington Highway 3 
to the boundary of Olympic View Industrial Park/Bremerton-Kitsap County 
Airport, thence westerly, southerly, easterly, and northerly along the 
boundary of Olympic View Industrial Park/ Bremerton-Kitsap County 
Airport to its juncture with Washington Highway 3 to its intersection 
with the line described in paragraph (b) of this section.
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Seattle or by any 
other municipality included under the terms of paragraph (d) of this 
section.

[41 FR 56654, Dec. 29, 1976, as amended at 46 FR 25314, May 6, 1981; 62 
FR 15422, Apr. 1, 1997]



Sec.372.219  Washington, DC

    The zone adjacent to, and commercially a part of Washington, D.C., 
within which transportation by motor vehicle in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes 
and is comprised of all points as follows:
    (a) The municipality of Washington, D.C., itself;
    (b) All points within a line drawn 15 miles beyond the municipal 
limits of Washington, DC

[[Page 86]]

    (c) All points in Fairfax and Loudoun Counties, VA, and all points 
in Prince William County, VA, including the City of Manassas, VA, and 
the City of Manassas Park, VA.
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Washington, D.C., or 
by any other municipality included under the terms of paragraph (d) of 
this section.

[41 FR 56654, Dec. 29, 1976, as amended at 46 FR 56424, Nov. 17, 1981; 
62 FR 15422, Apr. 1, 1997]



Sec.372.221  Twin Cities.

    For the purpose of determining commercial zones, utilizing the 
general population-mileage formula as set forth in Sec.372.241, each 
of the following combinations of cities shall be considered as a single 
municipality:
    (a) Having a population equal to the sum of their combined 
populations, and
    (b) Having boundaries comprised of their combined corporate limits, 
with the common portion thereof disregarded:
    (1) Bluefield, Va.-W. Va.
    (2) Bristol, Va.-Tenn.
    (3) Davenport, Iowa, and Rock Island and Moline, Ill.
    (4) Delmar, Del-Md.
    (5) Harrison, Ohio-West Harrison, Ind.
    (6) Junction City, Ark.-La.
    (7) Kansas City, Mo.-Kansas City, Kans.
    (8) Minneapolis-St. Paul, Minn.
    (9) St. Louis, Mo.-East St. Louis, Ill.
    (10) Texarkana, Ark.-Tex.
    (11) Texhoma, Tex.-Okla.
    (12) Union City, Ind.-Ohio.

[41 FR 56654, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]



Sec.372.223  Consolidated governments.

    The zone adjacent to, and commercially a part of a consolidated 
government within which transportation by motor vehicle, in interstate 
or foreign commerce, not under common control, management, or 
arrangement for a continuous carriage or shipment to or from a point 
beyond the zone, is partially exempt from regulation under 49 U.S.C. 
13506(b)(1) includes and is comprised of all points as follows:
    (a) All points within the boundaries of the consolidated government.
    (b) All points beyond the boundaries of the consolidated government 
which were at any time within the commercial zone of the formerly 
independent core municipality.
    (c) When the present population of the formerly independent core 
municipality is identifiable, all points beyond the boundaries of the 
consolidated government which are within the territory determined by the 
most recent population-mileage formula measured from the limits of the 
formerly independent core municipality.
    (d) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the consolidated government or by any 
other municipality included under the terms of paragraphs (a), (b), or 
(c) of this section.

[41 FR 56654, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]



Sec.372.225  Lexington-Fayette Urban County, KY.

    The zone adjacent to and commercially a part of Lexington-Fayette 
Urban County, Ky., within which transportation by motor vehicle, in 
interstate or foreign commerce, not under a common control, management, 
or arrangement for a continuous carriage or shipment to or from a point 
beyond the zone, is partially exempt from regulation under 49 U.S.C. 
13506(b)(1) includes and is comprised of all points as follows:
    (a) Lexington-Fayette Urban County, Ky., itself.
    (b) All other municipalities and unincorporated areas within 5 miles 
of the intersection of U.S. Highway 27 (Nicholasville Road) with the 
corporate boundary line between Jessamine County, Ky., and Lexington-
Fayette Urban County, Ky.

[39 FR 18769, May 30, 1974. Redesignated at 41 FR 56655, Dec. 29, 1976. 
Further redesignated at 55 FR 42198, Oct. 18, 1990, as amended at 62 FR 
15422, Apr. 1, 1997]

[[Page 87]]



Sec.372.227  Syracuse, NY.

    The zone adjacent to, and commercially a part of Syracuse, N.Y., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under common control, management, or arrangement for 
shipment to or from points beyond such zone, is partially exempt from 
regulation under 49 U.S.C. 13506(b)(1) includes and is comprised of all 
points as follows:
    (a) The municipality of Syracuse, N.Y., itself;
    (b) All points within a line drawn 10 miles beyond the municipal 
limits of Syracuse;
    (c) Those points in the towns of Van Buren and Lysander, Onondaga 
County, N.Y., which are not within the area described in paragraph (b) 
of this section, but which are within an area bounded by a line 
beginning at the intersection of new New York Highway 48 with the line 
described in (b) of this sectio, thence northwesterly along new New York 
Highway 48 to junction New York Highway 370, thence westerly along New 
York Highway 370 to junction Emerick Road, thence northerly along 
Emerick Road to junction Dunham Road, thence northerly along Dunham road 
to junction New York Highway 192, thence easterly along New York Highway 
192 to junction new New York Highway 48, thence northerly along new New 
York Highway 48 to junction New York Highway 213, thence easterly along 
New York Highway 213 to junction New York Highway 213A, thence easterly 
along New York Highway 213A to junction New York Highway 37, thence 
southerly along New York Highway 37 to its intersection with the line in 
(b) above;
    (d) All of any municipality any part of which is within the limits 
of the combined area defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Syracuse or any 
other municipality included under the terms of paragraph (d) of this 
section.

[42 FR 44816, Sept. 7, 1977. Redesignated at 55 FR 42198, Oct. 18, 1990, 
as amended at 62 FR 15422, Apr. 1, 1997; 78 FR 58478, Sept. 24, 2013]



Sec.372.229  Spokane, WA.

    The zone adjacent to, and commercially a part of Spokane, WA, within 
which transportation by motor vehicle, in interstate or foreign 
commerce, not under control, management, or arrangement for shipment to 
or from points beyond such zone, is partially exempt from regulation 
under 49 U.S.C. 13506(b)(1) includes and is comprised of all points as 
follows:
    (a) The municipality of Spokane, WA, itself,
    (b) All points within a line drawn 8 miles beyond the municipal 
limits of Spokane;
    (c) All points within that area more than 8 miles beyond the 
municipal limits of Spokane bounded by a line as follows: From the 
intersection of the line described in (b) of this section and U.S. 
Highway 2, thence westerly along U.S. Highway 2 to junction Brooks Road, 
thence southerly along Brooks Road to junction Hallett Road, thence 
easterly along Hallett Road to its intersection with the line described 
in (b) of this section;
    (d) All of any municipality any part of which is within the limits 
of the combined areas in paragraphs (b) and (c) of this section; and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Spokane or any other 
municipality included under the terms of paragraph (d) of this section.

[45 FR 62085, Sept. 18, 1980. Redesignated and amended at 55 FR 42198, 
Oct. 18, 1990; 62 FR 15422, Apr. 1, 1997; 78 FR 58478, Sept. 24, 2013]



Sec.372.231  Tacoma, WA.

    The zone adjacent to, and commercially a part of Tacoma, WA, within 
which transportation by motor vehicle, in interstate or foreign 
commerce, not under common control, management, or arrangement for 
shipment to or from points beyond such zone, is partially exempt from 
regulation under 49 U.S.C. 13506(b)(1), includes and is comprised of all 
points as follows:
    (a) The municipality of Tacoma, WA, itself;
    (b) All points within a line drawn 8 miles beyond the municipal 
limits of Tacoma;

[[Page 88]]

    (c) Those points in Pierce County, WA, which are not within the area 
described in paragraph (b) of this section, but which are on Washington 
Highway 162 beginning at its intersection with the line described in 
paragraph (b) of this section, extending to and including Orting, WA, 
and all points within the Orting commercial zone.
    (d) All of any municipality any part of which is within the limits 
of the combined area defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Tacoma or any other 
municipality included under the terms of paragraph (d) of this section.

[45 FR 66460, Oct. 7, 1980. Redesignated at 55 FR 42198, Oct. 18, 1990, 
as amended at 62 FR 15422, Apr. 1, 1997; 78 FR 58478, Sept. 24, 2013]



Sec.372.233  Chicago, IL.

    The zone adjacent to, and commercially a part of Chicago, IL, within 
which transportation by motor vehicle, in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
shipment to or from such zone, is partially exempt from regulation under 
49 U.S.C. 13506(b)(1), includes and is comprised of all points as 
follows:
    (a) The municipality of Chicago, IL, itself;
    (b) All points within a line drawn 20 miles beyond the municipal 
limits of Chicago;
    (c) All points in Lake County, IL.
    (d) All of any municipality any part of which is within the limits 
of the combined area defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Chicago or any other 
municipality included under the terms of paragraph (d) of this section.

[46 FR 11286, Feb. 6, 1981. Redesignated at 55 FR 42198, Oct. 18, 1990, 
as amended at 62 FR 15422, Apr. 1, 1997; 78 FR 58479, Sept. 24, 2013]



Sec.372.235  New York, NY.

    The zone adjacent to, and commercially a part of, New York, NY, 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under common control, management, or arrangement for 
shipment to or from points beyond such zone is partially exempt from 
regulation under 49 U.S.C. 13506(b)(1), includes and is comprised of all 
points as follows:
    (a) The municipality of New York, NY, itself;
    (b) All points within a line drawn 20 miles beyond the municipal 
limits of New York, NY;
    (c) All points in Morris County, NJ;
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c); and
    (e) All of any municipality wholly surrounded, or so surrounded 
except by a water boundary, by the municipality of New York or by any 
other municipality included under the terms of paragraph (d) of this 
section.

[50 FR 34478, Aug. 26, 1985. Redesignated at 55 FR 42198, Oct. 18, 1990, 
as amended at 62 FR 15422, Apr. 1, 1997]



Sec.372.237  Cameron, Hidalgo, Starr, and Willacy Counties, TX.

    (a) Transportation within a zone comprised of Cameron, Hidalgo, 
Starr, and Willacy Counties, TX, by motor carriers of property, in 
interstate or foreign commerce, not under common control, management, or 
arrangement for shipment to or from points beyond such zone, is 
partially exempt from regulation under 49 U.S.C. 13506(b)(1).
    (b) To the extent that commercial zones of municipalities within the 
four counties (as determined under Sec.372.241) extend beyond the 
boundaries of this four-county zone, the areas of such commercial zones 
shall be considered to be part of the zone and partially exempt from 
regulation under 49 U.S.C. 13506(b)(1).

[51 FR 1815, Jan. 15, 1986. Redesignated at 55 FR 42198, Oct. 18, 1990, 
as amended at 62 FR 15422, Apr. 1, 1997]



Sec.372.239  Definitions.

    For the purposes of this part, the following terms are defined:
    (a) Municipality means any city, town, village, or borough which has 
been created by special legislative act or which has been, otherwise, 
individually incorporated or chartered pursuant to general State laws, 
or which is

[[Page 89]]

recognized as such, under the Constitution or by the laws of the State 
in which located, and which has a local government. It does not include 
a town of the township or New England type.
    (b) Contiguous municipalities means municipalities, as defined in 
paragraph (a) of this section, which have at some point a common 
municipal or corporate boundary.
    (c) Unincorporated area means any area not within the corporate or 
municipal boundaries of any municipality as defined in paragraph (a) of 
this section.

[32 FR 20048, Dec. 20, 1967]



Sec.372.241  Commercial zones determined generally, with exceptions.

    The commercial zone of each municipality in the United States, with 
the exceptions indicated in the note at the end of this section, within 
which the transportation of passengers or property, in interstate or 
foreign commerce, when not under a common control, management, or 
arrangement for a continuous carriage or shipment to or from a point 
without such zone, is exempt from all provisions of 49 U.S.C. subtitle 
IV, part B shall be deemed to consist of:
    (a) The municipality itself, hereinafter called the base 
municipality;
    (b) All municipalities which are contiguous to the base 
municipality;
    (c) All other municipalities and all unincorporated areas within the 
United States which are adjacent to the base municipality as follows:
    (1) When the base municipality has a population less than 2,500 all 
unincorporated areas within 3 miles of its corporate limits and all of 
any other municipality any part of which is within 3 miles of the 
corporate limits of the base municipality,
    (2) When the base municipality has a population of 2,500 but less 
than 25,000 all unincorporated areas within 4 miles of its corporate 
limits and all of any other municipality any part of which is within 4 
miles of the corporate limits of the base municipality.
    (3) When the base municipality has a population of 25,000 but less 
than 100,000 all unincorporated areas within 6 miles of its corporate 
limits and all of any other municipality any part of which is within 6 
miles of the corporate limits of the base municipality, and
    (4) When the base municipality has a population of 100,000 but less 
than 200,000 all unincorporated areas within 8 miles of its corporate 
limits and all of any other municipality any part of which is within 8 
miles of the corporate limits of the base municipality.
    (5) When the base municipality has a population of 200,000 but less 
than 500,000 all unincorporated areas within 10 miles of its corporate 
limits and all of any other municipality any part of which is within 10 
miles of the corporate limits of the base municipality.
    (6) When the base municipality has a population of 500,000 but less 
than 1 million, all unincorporated areas within 15 miles of its 
corporate limits and all of any other municipality any part of which is 
within 15 miles of the corporate limits of the base municipality.
    (7) When the base municipality has a population of 1 million or 
more, all unincorporated areas within 20 miles of its corporate limits 
and all of any other municipality any part of which is within 20 miles 
of the corporate limits of the base municipality, and
    (d) All municipalities wholly surrounded, or so surrounded except 
for a water boundary, by the base municipality, by any municipality 
contiguous thereto, or by any municipality adjacent thereto which is 
included in the commercial zone of such base municipality under the 
provisions of paragraph (c) of this section.

    Note: Except: Municipalities the commercial zones of which have been 
or are hereafter individually or specially determined.

[32 FR 20048, Dec. 20, 1967, as amended at 34 FR 9870, June 26, 1969; 34 
FR 15482, Oct. 4, 1969; 41 FR 56655, Dec. 29, 1976; 62 FR 15422, Apr. 1, 
1997]



Sec.372.243  Controlling distances and population data.

    In the application of Sec.372.241:
    (a) Air-line distances or mileages about corporate limits of 
municipalities shall be used.
    (b) The population of any municipality shall be deemed to be the 
highest figure shown for that municipality in any decennial census since 
(and including) the 1940 decennial census.

[[Page 90]]

    (c) Contraction of municipal boundaries will not alter the size of 
commercial zones.

[32 FR 20040, Dec. 20, 1967, as amended at 37 FR 15701, Aug. 4, 1972; 50 
FR 10233, Mar. 14, 1985; 62 FR 15422, Apr. 1, 1997]



                        Subpart C_Terminal Areas

    Source: 32 FR 20049, Dec. 20, 1967, unless otherwise noted. 
Redesignated at 61 FR 54708, Oct. 21, 1996.



Sec.372.300  Distances and population data.

    In the application of this subpart, distances and population data 
shall be determined in the same manner as provided in 49 CFR 372.243. 
See also definitions in 49 CFR 372.239.

[62 FR 15422, Apr. 1, 1997]



Sec.372.301  Terminal areas of motor carriers and freight forwarders at municipalities served.

    The terminal area within the meaning of 49 U.S.C. 13503 of any motor 
carrier of property or freight forwarder subject to 49 U.S.C. subtitle 
IV, part B at any municipality authorized to be served by such motor 
carrier of property or motor carrier of passengers in the transportation 
of express or freight forwarder, within which transportation by motor 
carrier in the performance of transfer, collection, or delivery services 
may be performed by, or for, such motor carrier of property or freight 
forwarder without compliance with the provisions of 49 U.S.C. subtitle 
IV, part B consists of and includes all points or places which are:
    (a) Within the commercial zone, as defined by the Secretary, of that 
municipality, and
    (b) Not beyond the limits of the operating authority of such motor 
carrier of property or freight forwarder.

[62 FR 15422, Apr. 1, 1997]



Sec.372.303  Terminal areas of motor carriers and freight forwarders 
at unincorporated communities served.

    The terminal areas within the meaning of 49 U.S.C. 13503 of any 
motor carrier of property or freight forwarder subject to 49 U.S.C. 
subtitle IV, part B, at any unincorporated community having a post 
office of the same name which is authorized to be served by such motor 
carrier of property or motor carrier of passengers in the transportation 
of express or freight forwarder, within which transportation by motor 
vehicle in the performance of transfer, collection, or delivery services 
may be performed by, or for, such motor carrier of property or freight 
forwarder without compliance with the provisions of 49 U.S.C. subtitle 
IV, part B, consists of:
    (a) All points in the United States which are located within the 
limits of the operating authority of the motor carrier of property or 
freight forwarder involved, and within 3 miles of the post office at 
such authorized unincorporated point if it has a population less than 
2,500, within 4 miles if it has a population of 2,500 but less than 
25,000, or within 6 miles if it has a population of 25,000 or more;
    (b) All of any municipality any part of which is included under 
paragraph (a) of this section; and
    (c) Any municipality wholly surrounded by any municipality included 
under paragaph (b) of this section, or so wholly surrounded except for a 
water boundary.

[32 FR 20049, Dec. 20, 1967, as amended at 41 FR 56655, Dec. 29, 1976; 
51 FR 44297, Dec. 9, 1986; 62 FR 15423, Apr. 1, 1997]



PART 373_RECEIPTS AND BILLS--Table of Contents



               Subpart A_Motor Carrier Receipts and Bills

Sec.
373.101 Motor carrier bills of lading.
373.103 Expense bills.
373.105 Low value packages.

              Subpart B_Freight Forwarders; Bills of Lading

373.201 Receipts and bills of lading for freight forwarders.

    Authority: 49 U.S.C. 13301, 13531 and 14706; and 49 CFR 1.87.



               Subpart A_Motor Carrier Receipts and Bills

    Source: 55 FR 11198, Mar. 27, 1990, unless otherwise noted. 
Redesignated at 61 FR 54708, Oct. 21, 1996.

[[Page 91]]



Sec.373.101  Motor carrier bills of lading.

    Every motor common carrier shall issue a receipt or bill of lading 
for property tendered for transportation in interstate or foreign 
commerce containing the following information:
    (a) Names of consignor and consignee.
    (b) Origin and destination points.
    (c) Number of packages.
    (d) Description of freight.
    (e) Weight, volume, or measurement of freight (if applicable to the 
rating of the freight).

The carrier shall keep a record of this information as prescribed in 49 
CFR part 379.

[55 FR 11198, Mar. 27, 1990, as amended at 56 FR 30874, July 8, 1991; 62 
FR 15423, Apr. 1, 1997]



Sec.373.103  Expense bills.

    (a) Property. Every motor common carrier shall issue a freight or 
expense bill for each shipment transported containing the following 
information:
    (1) Names of consignor and consignee (except on a reconsigned 
shipment, not the name of the original consignor).
    (2) Date of shipment.
    (3) Origin and destination points (except on a reconsigned shipment, 
not the original shipping point unless the final consignee pays the 
charges from that point).
    (4) Number of packages.
    (5) Description of freight.
    (6) Weight, volume, or measurement of freight (if applicable to the 
rating of the freight).
    (7) Exact rate(s) assessed.
    (8) Total charges due, including the nature and amount of any 
charges for special service and the points at which such service was 
rendered.
    (9) Route of movement and name of each carrier participating in the 
transportation.
    (10) Transfer point(s) through which shipment moved.
    (11) Address where remittance must be made or address of bill 
issuer's principal place of business.

The shipper or receiver owing the charges shall be given the original 
freight or expense bill and the carrier shall keep a copy as prescribed 
at 49 CFR part 379. If the bill is electronically transmitted (when 
agreed to by the carrier and payor), a receipted copy shall be given to 
the payor upon payment.
    (b) Charter service. Every motor passenger common carrier providing 
charter service shall issue an expense bill containing the following 
information:
    (1) Serial number, consisting of one of a series of consecutive 
numbers assigned in advance and imprinted on the bill.
    (2) Name of carrier.
    (3) Names of payor and organization, if any, for which 
transportation is performed.
    (4) Date(s) transportation was performed.
    (5) Origin, destination, and general routing of trip.
    (6) Identification and seating capacity of each vehicle used.
    (7) Number of persons transported.
    (8) Mileage upon which charges are based, including any deadhead 
mileage, separately noted.
    (9) Applicable rates per mile, hour, day, or other unit.
    (10) Itemized charges for transportation, including special services 
and fees.
    (11) Total charges assessed and collected.

The carrier shall keep a copy of all expense bills issued for the period 
prescribed at 49 CFR part 379. If any expense bill is spoiled, voided, 
or unused for any reason, a copy or written record of its disposition 
shall be retained for a like period.

[55 FR 11198, Mar. 27, 1990, as amended at 59 FR 2303, Jan. 14, 1994; 61 
FR 19860, May 3, 1996; 62 FR 15423, Apr. 1, 1997]



Sec.373.105  Low value packages.

    The carrier and shipper may elect to waive the above provisions and 
use a more streamlined recordkeeping or documentation system for 
distribution of ``low value'' packages. This includes the option of 
shipping such packages under the provisions of 49 U.S.C. 14706(c). The 
shipper is responsible ultimately for determining which packages should 
be designated as low value. A useful guideline for this determination is 
an invoice value less than or

[[Page 92]]

equal to the costs of preparing a loss or damage claim.

[55 FR 11198, Mar. 27, 1990. Redesignated at 61 FR 54708, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



              Subpart B_Freight Forwarders; Bills of Lading



Sec.373.201  Receipts and bills of lading for freight forwarders.

    Each freight forwarder must issue the shipper a receipt or through 
bill of lading, covering transportation from origin to ultimate 
destination, on each shipment for which it arranges transportation in 
interstate commerce. Where a motor carrier receives freight at the 
origin and issues a receipt therefor on its form with a notation showing 
the freight forwarder's name, then the freight forwarder, upon receiving 
the shipment at the ``on line'' or consolidating station, must issue a 
receipt or through bill of lading on its form as of the date the carrier 
receives the shipment.

[74 FR 15393, Apr. 6, 2009]



PART 374_PASSENGER CARRIER REGULATIONS--Table of Contents



   Subpart A_Discrimination in Operations of Interstate Motor Common 
                         Carriers of Passengers

Sec.
374.101 Discrimination prohibited.
374.103 Notice to be printed on tickets.
374.105 Discrimination in terminal facilities.
374.107 Notice to be posted at terminal facilities.
374.109 Carriers not relieved of existing obligations.
374.111 Reports of interference with regulations.
374.113 Definitions.

Subpart B_Limitation of Smoking on Interstate Passenger Carrier Vehicles

374.201 Prohibition against smoking on interstate passenger-carrying 
          motor vehicles.

 Subpart C_Adequacy of Intercity Motor Common Carrier Passenger Service

374.301 Applicability.
374.303 Definitions.
374.305 Ticketing and information.
374.307 Baggage service.
374.309 Terminal facilities.
374.311 Service responsibility.
374.313 Equipment.
374.315 Transportation of passengers with disabilities.
374.317 Identification--bus and driver.
374.319 Relief from provisions.

 Subpart D_Notice of and Procedures for Baggage Excess Value Declaration

374.401 Minimum permissible limitations for baggage liability.
374.403 Notice of passenger's ability to declare excess value on 
          baggage.
374.405 Baggage excess value declaration procedures.

                   Subpart E_Incidental Charter Rights

374.501 Applicability.
374.503 Authority.
374.505 Exceptions.

    Authority: 49 U.S.C. 13301 and 14101; and 49 CFR 1.87.

    Editorial Note: Nomenclature changes to part 374 appear at 66 FR 
49871, Oct. 1, 2001.



   Subpart A_Discrimination in Operations of Interstate Motor Common 
                         Carriers of Passengers

    Source: 36 FR 1338, Jan. 28, 1971, unless otherwise noted. 
Redesignated at 61 FR 54709, Oct. 21, 1996.



Sec.374.101  Discrimination prohibited.

    No motor common carrier of passengers subject to 49 U.S.C. subtitle 
IV, part B shall operate a motor vehicle in interstate or foreign 
commerce on which the seating of passengers is based upon race, color, 
creed, or national origin.

[36 FR 1338, Jan. 28, 1971. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



Sec.374.103  Notice to be printed on tickets.

    Every motor common carrier of passengers subject to 49 U.S.C. 
subtitle IV, part B shall cause to be printed on every ticket sold by it 
for transportation on any vehicle operated in interstate or foreign 
commerce a plainly legible notice as follows: ``Seating aboard vehicles 
operated in interstate

[[Page 93]]

or foreign commerce is without regard to race, color, creed, or national 
origin.''

    Note: The following interpretation of the provisions of Sec.
374.103 (formerly Sec.1055.2) appears at 27 FR 230, Jan. 9, 1962:
    The words, ``Seating aboard vehicles operated in interstate or 
foreign commerce is without regard to race, color, creed, or national 
origin'', should appear on the face of every ticket coming within the 
purview of the section. If the ticket is in parts or consists of 
additional elements, such as coupons, identification stubs, or checks, 
it shall be sufficient for the purposes of Sec.374.103 that the notice 
appear only once on the ticket and be placed on the face of that portion 
of the ticket which is held by the passenger.

[36 FR 1338, Jan. 28, 1971. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



Sec.374.105  Discrimination in terminal facilities.

    No motor common carrier of passengers subject to 49 U.S.C. subtitle 
IV, part B shall in the operation of vehicles in interstate or foreign 
commerce provide, maintain arrangements for, utilize, make available, 
adhere to any understanding for the availability of, or follow any 
practice which includes the availability of, any terminal facilities 
which are so operated, arranged, or maintained as to involve any 
separation of any portion thereof, or in the use thereof on the basis of 
race, color, creed, or national origin.

[36 FR 1338, Jan. 28, 1971. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



Sec.374.107  Notice to be posted at terminal facilities.

    No motor common carrier of passengers subject to 49 U.S.C. subtitle 
IV, part B shall in the operation of vehicles in interstate or foreign 
commerce utilize any terminal facility in which there is not 
conspicuously displayed and maintained so as to be readily visible to 
the public a plainly legible sign or placard containing the full text of 
these regulations. Such sign or placard shall be captioned: ``Public 
Notice: Regulations Applicable to Vehicles and Terminal Facilities of 
Interstate Motor Common Carriers of Passengers, by order of the 
Secretary, U.S. Department of Transportation.''

[36 FR 1338, Jan. 28, 1971. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



Sec.374.109  Carriers not relieved of existing obligations.

    Nothing in this regulation shall be construed to relieve any 
interstate motor common carrier of passengers subject to 49 U.S.C. 
subtitle IV, part B of any of its obligations under 49 U.S.C. subtitle 
IV, part B or its certificate(s) of public convenience and necessity.

[36 FR 1338, Jan. 28, 1971. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



Sec.374.111  Reports of interference with regulations.

    Every motor common carrier of passengers subject to 49 U.S.C. 
subtitle IV, part B operating vehicles in interstate or foreign commerce 
shall report to the Secretary, within fifteen (15) days of its 
occurrence, any interference by any person, municipality, county, 
parish, State, or body politic with its observance of the requirements 
of these regulations in this part. Such report shall include a statement 
of the action that such carrier may have taken to eliminate any such 
interference.

[36 FR 1338, Jan. 28, 1971. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



Sec.374.113  Definitions.

    For the purpose of these regulations the following terms and phrases 
are defined:
    (a) Terminal facilities. As used in these regulations the term 
``terminal facilities'' means all facilities, including waiting room, 
rest room, eating, drinking, and ticket sales facilities which a motor 
common carrier makes available to passengers of a motor vehicle operated 
in interstate or foreign commerce as a regular part of their 
transportation.
    (b) Separation. As used in Sec.374.105, the term ``separation'' 
includes, among other things, the display of any sign indicating that 
any portion of the terminal facilities are separated, allocated, 
restricted, provided, available,

[[Page 94]]

used, or otherwise distinguished on the basis of race, color, creed, or 
national origin.

[36 FR 1338, Jan. 28, 1971. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



Subpart B_Limitation of Smoking on Interstate Passenger Carrier Vehicles



Sec.374.201  Prohibition against smoking on interstate passenger
-carrying motor vehicles.

    (a) All motor common carriers of passengers subject to 49 U.S.C. 
subtitle IV, part B, shall prohibit smoking (including the carrying of 
lit cigars, cigarettes, and pipes) on vehicles transporting passengers 
in scheduled or special service in interstate commerce.
    (b) Each carrier shall take such action as is necessary to ensure 
that smoking by passengers, drivers, and other employees is not 
permitted in violation of this section. This shall include making 
appropriate announcements to passengers, the posting of the 
international no-smoking symbol, and the posting of signs in all 
vehicles transporting passengers in letters in sharp color contrast to 
the background, and of such size, shape, and color as to be readily 
legible. Such signs and symbols shall be kept and maintained in such a 
manner as to remain legible and shall indicate that smoking is 
prohibited by Federal regulation.
    (c) The provisions of paragraph (a) of this section shall not apply 
to charter operations as defined in Sec.374.503 of this part.

[56 FR 1745, Jan. 17, 1991. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



 Subpart C_Adequacy of Intercity Motor Common Carrier Passenger Service

    Source: 55 FR 11199, Mar. 27, 1990, unless otherwise noted. 
Redesignated at 61 FR 54709, Oct. 21, 1996.



Sec.374.301  Applicability.

    These rules govern only motor passenger common carriers conducting 
regular-route operations.



Sec.374.303  Definitions.

    (a) Carrier means a motor passenger common carrier.
    (b) Bus means a passenger-carrying vehicle, regardless of design or 
seating capacity, used in a carrier's authorized operations.
    (c) Facility means any structure provided by or for a carrier at or 
near which buses pick up or discharge passengers.
    (d) Terminal means a facility operated or used by a carrier chiefly 
to furnish passengers transportation services and accommodations.
    (e) Station means a facility, other than a terminal, operated by or 
for a carrier to accommodate passengers.
    (f) Service means passenger transportation by bus over regular 
routes.
    (g) Commuter service, means passenger transportation wholly between 
points not more than 100 airline miles apart and not involving through-
bus, connecting, or interline services to or from points beyond 100 
airline miles. The usual characteristics of commuter service include 
reduced fare, multiple-ride, and commutation tickets, and peak morning 
and evening operations.
    (h) Baggage means property a passenger takes with him for his 
personal use or convenience.
    (i) Restroom means a room in a bus or terminal equipped with a 
toilet, washbowl, soap or a reasonable alternative, mirror, wastebasket, 
and toilet paper.

[55 FR 11199, Mar. 27, 1990, as amended at 68 FR 56198, Sept. 30, 2003; 
74 FR 2901, Jan. 16, 2009]



Sec.374.305  Ticketing and information.

    (a) Information service. (1) During business hours at each terminal 
or station, information shall be provided as to schedules, tickets, 
fares, baggage, and other carrier services.
    (2) Carrier agents and personnel who sell or offer to sell tickets, 
or who provide information concerning tickets and carrier services, 
shall be competent and adequately informed.

[[Page 95]]

    (b) Telephone information service. Every facility where tickets are 
sold shall provide telephonic information to the traveling public, 
including current bus schedules and fare information, when open for 
ticket sales.
    (c) Schedules. Printed, regular-route schedules shall be provided to 
the traveling public at all facilities where tickets for such services 
are sold. Each schedule shall show the points along the carrier's 
route(s) where facilities are located or where the bus trips originate 
or terminate, and each schedule shall indicate the arrival or departure 
time for each such point.
    (d) Ticket refunds. Each carrier shall refund unused tickets upon 
request, consistent with its governing tariff, at each place where 
tickets are sold, within 30 days after the request.
    (e) Announcements. No scheduled bus (except in commuter service) 
shall depart from a terminal or station until a public announcement of 
the departure and boarding point has been given. The announcement shall 
be given at least 5 minutes before the initial departure and before 
departures from points where the bus is scheduled to stop for more than 
5 minutes.



Sec.374.307  Baggage service.

    (a) Checking procedures. (1) Carriers shall issue receipts, which 
may be in the form of preprinted tickets, for all checked services 
baggage.
    (2)(i) If baggage checking service is not provided at the side of 
the bus, all baggage checked at a baggage checking counter at least 30 
minutes but not more than 1 hour before departure shall be transported 
on the same schedule as the ticketed passenger.
    (ii) If baggage checking service is provided at the side of the bus, 
passengers checking baggage at the baggage checking counter less than 30 
minutes before the scheduled departure shall be notified that their 
baggage may not travel on the same schedule. Such baggage must then be 
placed on the next available bus to its destination. All baggage checked 
at the side of the bus during boarding, or at alternative locations 
provided for such purpose, shall be transported on the same schedule as 
the ticketed passenger.
    (b) Baggage security. All checked baggage shall be placed in a 
secure or attended area prohibited to the public. Baggage being readied 
for loading shall not be left unattended.
    (c) Baggage liability. (1) No carrier may totally exempt its 
liability for articles offered as checked baggage, unless those articles 
have been exempted by the Secretary. (Other liability is subject to 
subpart D of this part). A notice listing exempted articles shall be 
prominently posted at every location where baggage is accepted for 
checking.
    (2) Carriers may refuse to accept as checked baggage and, if 
unknowingly accepted, may disclaim liability for loss or damage to the 
following articles:
    (i) Articles whose transportation as checked baggage is prohibited 
by law or regulation;
    (ii) Fragile or perishable articles, articles whose dimensions 
exceed the size limitations in the carrier's tariff, receptacles with 
articles attached or protruding, guns, and materials that have a 
disagreeable odor;
    (iii) Money; and
    (iv) Those other articles that the Secretary exempts upon petition 
by the carrier.
    (3) Carriers need not offer excess value coverage on articles of 
extraordinary value (including, but not limited to, negotiable 
instruments, papers, manuscripts, irreplaceable publications, documents, 
jewelry, and watches).
    (d) Express shipments. Passengers and their baggage always take 
precedence over express shipments.
    (e) Baggage at destination. All checked baggage shall be made 
available to the passenger within a reasonable time, not to exceed 30 
minutes, after arrival at the passenger's destination. If not, the 
carrier shall deliver the baggage to the passenger's local address at 
the carrier's expense.
    (f) Lost or delayed baggage. (1) Checked baggage that cannot be 
located within 1 hour after the arrival of the bus upon which it was 
supposed to be transported shall be designated as lost. The carrier 
shall notify the passenger at that time and furnish him with an 
appropriate tracing form.

[[Page 96]]

    (2) Every carrier shall make available at each ticket window and 
baggage counter a single form suitable both for tracing and for filing 
claims for lost or misplaced baggage. The form shall be prepared in 
duplicate and signed by the passenger and carrier representative. The 
carrier or its agent shall receive the signed original, with any 
necessary documentation and additional information, and the claim check, 
for which a receipt shall be given. The passenger shall retain the 
duplicate copy.
    (3) The carrier shall make immediate and diligent efforts to recover 
lost baggage.
    (4) A passenger may fill out a tracing form for lost unchecked 
baggage. The carrier shall forward recovered unchecked baggage to the 
terminal or station nearest the address shown on the tracing form and 
shall notify the passenger that the baggage will be held on a will-call 
basis.
    (g) Settlement of claims. Notwithstanding 49 CFR 370.9, if lost 
checked baggage cannot be located within 15 days, the carrier shall 
immediately process the matter as a claim. The date on which the carrier 
or its agent received the tracing form shall be considered the first day 
of a 60-day period in which a claim must be resolved by a firm offer of 
settlement or by a written explanation of denial of the claim.

[55 FR 11199, Mar. 27, 1990. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



Sec.374.309  Terminal facilities.

    (a) Passenger security. All terminals and stations must provide 
adequate security for passengers and their attendants and be regularly 
patrolled.
    (b) Outside facilities. At terminals and stations that are closed 
when buses are scheduled to arrive or depart, there shall be available, 
to the extent possible, a public telephone, outside lighting, posted 
schedule information, overhead shelter, information on local 
accommodations, and telephone numbers for local taxi service and police.
    (c) Maintenance. Terminals shall be clean.



Sec.374.311  Service responsibility.

    (a) Schedules. Carriers shall establish schedules that can be 
reasonably met, including connections at junction points, to serve 
adequately all points.
    (b) Continuity of service. No carrier shall change an existing 
regular-route schedule without first displaying conspicuously a notice 
in each facility and on each bus affected. Such notice shall be 
displayed for a reasonable time before it becomes effective and shall 
contain the carrier's name, a description of the proposed schedule 
change, the effective date thereof, the reasons for the change, the 
availability of alternate service, and the name and address of the 
carrier representative passengers may contact.
    (c) Trip interruptions. A carrier shall mitigate, to the extent 
possible, any passenger inconvenience it causes by disrupting travel 
plans.
    (d) Seating and reservations. A carrier shall provide sufficient 
buses to meet passengers' normal travel demands, including ordinary 
weekend and usual seasonal or holiday demand. Passengers (except 
commuters) shall be guaranteed, to the extent possible, passage and 
seating.
    (e) Inspection of rest stops. Each carrier shall inspect 
periodically all rest stops it uses to ensure that they are clean.

[55 FR 11199, Mar. 27, 1990. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997; 74 FR 2901, Jan. 16, 2009]



Sec.374.313  Equipment.

    (a) Temperature control. A carrier shall maintain a reasonable 
temperature on each bus (except in commuter service).
    (b) Restrooms. Each bus (except in commuter service) seating more 
than 14 passengers (not including the driver) shall have a clean, 
regularly maintained restroom, free of offensive odor. A bus may be 
operated without a restroom if it makes reasonable rest stops.
    (c) Bus servicing. Each bus shall be kept clean, with all required 
items in good working order.

[[Page 97]]



Sec.374.315  Transportation of passengers with disabilities.

    Service provided by a carrier to passengers with disabilities is 
governed by the provisions of 42 U.S.C. 12101 et seq., and regulations 
promulgated thereunder by the Secretary of Transportation (49 CFR parts 
27, 37, and 38) and the Attorney General (28 CFR part 36), incorporating 
the guidelines established by the Architectural and Transportation 
Barriers Compliance Board (36 CFR part 1191).

[57 FR 35764, Aug. 11, 1992]



Sec.374.317  Identification--bus and driver.

    Each bus and driver providing service shall be identified in a 
manner visible to passengers. The driver may be identified by name or 
company number.



Sec.374.319  Relief from provisions.

    (a) Petitions. Where compliance with any rule would impose an undue 
burden on a carrier, it may petition the Federal Motor Carrier Safety 
Administration either to treat it as though it were conducting a 
commuter service or to waive the rule. The request for relief must be 
justified by appropriate verified statements.
    (b) Notice to the public. The carrier shall display conspicuously, 
for at least 30 days, in each facility and on each bus affected, a 
notice of the filing of any petition. The notice shall contain the 
carrier's name and address, a concise description of and reasons for the 
relief sought, and a statement that any interested person may file 
written comments with the Federal Motor Carrier Safety Administration 
(with one copy mailed to the carrier) on or before a specific date that 
is at least 30 days later than the date the notice is posted.

[55 FR 11199, Mar. 27, 1990. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



 Subpart D_Notice of and Procedures for Baggage Excess Value Declaration

    Source: 40 FR 1249, Jan. 7, 1975, unless otherwise noted. 
Redesignated at 61 FR 54709, Oct. 21, 1996.



Sec.374.401  Minimum permissible limitations for baggage liability.

    (a) Motor common carriers of passengers and baggage subject to 49 
U.S.C. 13501 may not publish tariff provisions limiting their liability 
for loss or damage to baggage checked by a passenger transported in 
regular route or special operations unless:
    (1) The amount for which liability is limited is $250 or greater per 
adult fare, and
    (2) The provisions permit the passenger, for an additional charge, 
to declare a value in excess of the limited amount, and allow the 
passenger to recover the increased amount (but not higher than the 
actual value) in event of loss or damage. The carriers may publish a 
maximum value for which they will be liable, but that maximum value may 
not be less than $1,000. Appropriate identification must be attached 
securely by the passenger to each item of baggage checked, indicating in 
a clear and legible manner the name and address to which the baggage 
should be forwarded if lost and subsequently recovered. Identification 
tags shall be made immediately available by the carriers to passengers 
upon request.
    (3) Carriers need not offer excess value coverage on articles listed 
in Sec.374.307(c)(3).

(49 U.S.C. 10321, 5 U.S.C. 553)

[46 FR 22899, Apr. 22, 1981, as amended at 47 FR 21840, May 20, 1982; 62 
FR 15423, Apr. 1, 1997]



Sec.374.403  Notice of passenger's ability to declare excess value on baggage.

    (a) All motor common carriers of passengers and baggage subject to 
49 U.S.C. subtitle IV, part B, which provide in their tariffs for the 
declaration of baggage in excess of a free baggage allowance limitation, 
shall provide clear and adequate notice to the public of the opportunity 
to declare such excess value on baggage.
    (b) The notice referred to in paragraph (a) of this section shall be 
in large and clear print, and shall state as follows:

                        Notice--Baggage Liability

    This motor carrier is not liable for loss or damage to properly 
identified baggage in an

[[Page 98]]

amount exceeding $----. If a passenger desires additional coverage for 
the value of his baggage he may, upon checking his baggage, declare that 
his baggage has a value in excess of the above limitation and pay a 
charge as follows:

                          Identify Your Baggage

    Under FMCSA regulations, all baggage must be properly identified. 
Luggage tags should indicate clearly the name and address to which lost 
baggage should be forwarded. Free luggage tags are available at all 
ticket windows and baggage counters.


The statement of charges for excess value declaration shall be clear, 
and any other pertinent provisions may be added at the bottom in clear 
and readable print.
    (c) The notice referred to in paragraphs (a) and (b) of this section 
shall be (1) placed in a position near the ticket seller, sufficiently 
conspicuous to apprise the public of its provisions, (2) placed on a 
form to be attached to each ticket issued (and the ticket seller shall, 
where possible, provide oral notice to each ticket purchaser to read the 
form attached to the ticket), (3) placed in a position at or near any 
location where baggage may be checked, sufficiently conspicuous to 
apprise each passenger checking baggage of its provisions, and (4) 
placed in a position at each boarding point or waiting area used by the 
carrier at facilities maintained by the carrier or its agents, 
sufficiently conspicuous to apprise each boarding passenger of the 
provisions of the said notice.

[40 FR 1249, Jan. 7, 1975, as amended at 62 FR 15423, Apr. 1, 1997]



Sec.374.405  Baggage excess value declaration procedures.

    All motor common carriers of passengers and baggage subject to 49 
U.S.C. subtitle IV, part B, which provide in their tariffs for the 
declaration of baggage value in excess of a free baggage allowance 
limitation, shall provide for the declaration of excess value on baggage 
at any time or place where provision is made for baggage checking, 
including (a) at a baggage checking counter until 15 minutes before 
scheduled boarding time, and (b) at the side of the bus or at a baggage 
checking counter in reasonable proximity to the boarding area during 
boarding at a terminal or any authorized service point.

[40 FR 1249, Jan. 7, 1975, as amended at 62 FR 15423, Apr. 1, 1997]



                   Subpart E_Incidental Charter Rights

    Authority: 5 U.S.C. 553 and 559 and 49 U.S.C. 10321, 10922, and 
10932.

    Source: 54 FR 46619, Nov. 6, 1989, unless otherwise noted. 
Redesignated at 61 FR 54709, Oct. 21, 1996.



Sec.374.501  Applicability.

    The regulations in this part apply to incidental charter rights 
authorized under 49 U.S.C. 13506 [49 U.S.C. 10932(c)]. These regulations 
do not apply to interpreting authority contained in a certificate to 
transport passengers in special and/or charter operations.

[54 FR 46619, Nov. 6, 1989. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



Sec.374.503  Authority.

    Motor carriers transporting passengers, in interstate or foreign 
commerce, over regular routes authorized in a certificate issued as a 
result of an application filed before January 2, 1967, may transport 
special or chartered parties, in interstate or foreign commerce, between 
any points and places in the United States (including Alaska and 
Hawaii). The term ``special or chartered party'' means a group of 
passengers who, with a common purpose and under a single contract, and 
at a fixed charge for the vehicle in accordance with the carrier's 
tariff, have acquired the exclusive use of a passenger-carrying motor 
vehicle to travel together as a group to a specified destination or for 
a particular itinerary.



Sec.374.505  Exceptions.

    (a) Incidental charter rights do not authorize the transportation of 
passengers to whom the carrier has sold individual tickets or with whom 
the carrier has made separate and individual transportation 
arrangements.
    (b) Service provided under incidental charter rights may not be 
operated between the same points or over the same

[[Page 99]]

route so frequently as to constitute a regular-route service.
    (c) Passenger transportation within the Washington Metropolitan Area 
Transit District (as defined in the Washington Metropolitan Area 
Transportation Regulation Compact, Pub. L. No. 86-794, 74 Stat. 1031 
(1960), as amended by Pub. L. No. 87-767, 76 Stat. (1962) is not 
authorized by these regulations, but is subject to the jurisdiction and 
regulations of the Washington Metropolitan Area Transportation 
Commission.
    (d) A private or public recipient of governmental assistance (within 
the meaning of 49 U.S.C. 13902(b)(8)) may provide service under 
incidental charter rights only for special or chartered parties 
originating in the area in which the private or public recipient 
provides regularly scheduled mass transportation services under the 
specific qualifying certificate that confers its incidental charter 
rights.

[54 FR 46619, Nov. 6, 1989. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



PART 375_TRANSPORTATION OF HOUSEHOLD GOODS IN INTERSTATE COMMERCE;
CONSUMER PROTECTION REGULATIONS--Table of Contents



                     Subpart A_General Requirements

Sec.
375.101 Who must follow these regulations in this part?
375.103 What are the definitions of terms used in this part?
375.105 What are the information collection requirements of this part?

           Subpart B_Before Offering Services to My Customers

                        Liability Considerations

375.201 What is my normal liability for loss and damage when I accept 
          goods from an individual shipper?
375.203 What actions of an individual shipper may limit or reduce my 
          normal liability?

                        General Responsibilities

375.205 May I have agents?
375.207 What items must be in my advertisements?
375.209 How must I handle complaints and inquiries?
375.211 Must I have an arbitration program?
375.213 What information must I provide to a prospective individual 
          shipper?

                    Collecting Transportation Charges

375.215 How must I collect charges?
375.217 May I collect charges upon delivery?
375.219 May I extend credit to shippers?
375.221 May I use a charge or credit card plan for payments?

                   Subpart C_Service Options Provided

375.301 What service options may I provide?
375.303 If I sell liability insurance coverage, what must I do?

                      Subpart D_Estimating Charges

375.401 Must I estimate charges?
375.403 How must I provide a binding estimate?
375.405 How must I provide a non-binding estimate?
375.407 Under what circumstances must I relinquish possession of a 
          collect-on-delivery shipment transported under a non-binding 
          estimate?
375.409 May household goods brokers provide estimates?

            Subpart E_Pick Up of Shipments of Household Goods

                             Before Loading

375.501 Must I write up an order for service?
375.503 Must I write up an inventory?
375.505 Must I write up a bill of lading?

                          Weighing the Shipment

375.507 Must I determine the weight of a shipment?
375.509 How must I determine the weight of a shipment?
375.511 May I use an alternative method for shipments weighing 3,000 
          pounds or less?
375.513 Must I give the individual shipper an opportunity to observe the 
          weighing?
375.515 May an individual shipper waive his/her right to observe each 
          weighing?
375.517 May an individual shipper demand re-weighing?
375.519 Must I obtain weight tickets?
375.521 What must I do if an individual shipper wants to know the actual 
          weight or charges for a shipment before I tender delivery?

                  Subpart F_Transportation of Shipments

375.601 Must I transport the shipment in a timely manner?
375.603 When must I tender a shipment for delivery?
375.605 How must I notify an individual shipper of any service delays?

[[Page 100]]

375.607 What must I do if I am able to tender a shipment for final 
          delivery more than 24 hours before a specified date?
375.609 What must I do for shippers who store household goods in 
          transit?

                     Subpart G_Delivery of Shipments

375.701 May I provide for a release of liability on my delivery receipt?
375.703 What is the maximum collect-on-delivery amount I may demand at 
          the time of delivery?
375.705 If a shipment is transported on more than one vehicle, what 
          charges may I collect at delivery?
375.707 If a shipment is partially lost or destroyed, what charges may I 
          collect at delivery?
375.709 If a shipment is totally lost or destroyed, what charges may I 
          collect at delivery?

                     Subpart H_Collection of Charges

375.801 What types of charges apply to subpart H?
375.803 How must I present my freight or expense bill?
375.805 If I am forced to relinquish a collect-on-delivery shipment 
          before the payment of ALL charges, how do I collect the 
          balance?
375.807 What actions may I take to collect the charges upon my freight 
          bill?

                           Subpart I_Penalties

375.901 What penalties do we impose for violations of this part?

Appendix A to Part 375--Your Rights and Responsibilities When You Move

    Authority: 49 U.S.C. 13102, 13301, 13501, 13704, 13707, 13902, 
14104, 14706, 14708; subtitle B, title IV of Pub. L. 109-59; and 49 CFR 
1.87.

    Source: 68 FR 35091, June 11, 2003, unless otherwise noted.



                     Subpart A_General Requirements



Sec.375.101  Who must follow the regulations in this part?

    You, a household goods motor carrier engaged in the interstate 
transportation of household goods, must follow the regulations in this 
part when offering your services to individual shippers. You are subject 
to this part only when you transport household goods for individual 
shippers by motor vehicle in interstate commerce. Interstate commerce is 
defined in Sec.390.5 of this subchapter.

[72 FR 36771, July 5, 2007]



Sec.375.103  What are the definitions of terms used in this part?

    Terms used in this part are defined as follows. You may find other 
terms used in these regulations defined in 49 U.S.C. 13102. The 
definitions contained in this statute control. If terms are used in this 
part and the terms are neither defined here nor in 49 U.S.C. 13102, the 
terms will have the ordinary practical meaning of such terms.
    Advertisement means any communication to the public in connection 
with an offer or sale of any interstate household goods transportation 
service. This includes written or electronic database listings of your 
name, address, and telephone number in an on-line database or displayed 
on an Internet web site. This excludes listings of your name, address, 
and telephone number in a telephone directory or similar publication. 
However, Yellow Pages advertising is included in the definition.
    Cashier's check means a check that has all four of the following 
characteristics:
    (1) Drawn on a bank as defined in 12 CFR 229.2.
    (2) Signed by an officer or employee of the bank on behalf of the 
bank as drawer.
    (3) A direct obligation of the bank.
    (4) Provided to a customer of the bank or acquired from the bank for 
remittance purposes.
    Certified scale means any scale inspected and certified by an 
authorized scale inspection and licensing authority, and designed for 
weighing motor vehicles, including trailers or semi-trailers not 
attached to a tractor, or designed as a platform or warehouse type 
scale.
    Commercial shipper means any person who is named as the consignor or 
consignee in a bill of lading contract who is not the owner of the goods 
being transported but who assumes the responsibility for payment of the 
transportation and other tariff charges for the account of the 
beneficial owner of the goods. The beneficial owner of the goods is 
normally an employee of the consignor and/or consignee. A freight

[[Page 101]]

forwarder tendering a shipment to a carrier in furtherance of freight 
forwarder operations is also a commercial shipper. The Federal 
government is a government bill of lading shipper, not a commercial 
shipper.
    Force majeure means a defense protecting the parties in the event 
that a part of the contract cannot be performed due to causes which are 
outside the control of the parties and could not be avoided by exercise 
of due care.
    Government bill of lading shipper means any person whose property is 
transported under the terms and conditions of a government bill of 
lading issued by any department or agency of the Federal government to 
the carrier responsible for the transportation of the shipment.
    Household goods, as used in connection with transportation, means 
the personal effects or property used, or to be used, in a dwelling, 
when part of the equipment or supplies of the dwelling. Transportation 
of the household goods must be arranged and paid for by the individual 
shipper or by another individual on behalf of the shipper. Household 
goods includes property moving from a factory or store if purchased with 
the intent to use in a dwelling and transported at the request of the 
householder, who also pays the transportation charges.
    Household goods motor carrier means--
    (1) In general, a motor carrier that, in the ordinary course of its 
business of providing transportation of household goods, offers some or 
all of the following additional services:
    (i) Binding and nonbinding estimates;
    (ii) Inventorying;
    (iii) Protective packing and unpacking of individual items at 
personal residences;
    (iv) Loading and unloading at personal residences.
    (2) The term includes any person considered to be a household goods 
motor carrier under regulations, determinations, and decisions of the 
Federal Motor Carrier Safety Administration in effect on the date of 
enactment of the Household Goods Mover Oversight Enforcement and Reform 
Act of 2005 (August 10, 2005).
    (3) The term does not include any motor carrier providing 
transportation of household goods in containers or trailers that are 
entirely loaded and unloaded by an individual other than an employee or 
agent of the motor carrier.
    (4) The term does not include any motor carrier that acts as a 
service for the delivery of furniture, appliances, or other furnishings 
between a factory or a store and an individual's household.
    Individual shipper means any person who--
    (1) Is the shipper, consignor, or consignee of a household goods 
shipment;
    (2) Is identified as the shipper, consignor, or consignee on the 
face of the bill of lading;
    (3) Owns the goods being transported; and
    (4) Pays his or her own tariff transportation charges
    May means an option. You may do something, but it is not a 
requirement.
    Must means a legal obligation. You must do something.
    Order for service means a document authorizing you to transport an 
individual shipper's household goods.
    Reasonable dispatch means the performance of transportation on the 
dates, or during the period, agreed upon by you and the individual 
shipper and shown on the Order For Service/Bill of Lading. For example, 
if you deliberately withhold any shipment from delivery after an 
individual shipper offers to pay the binding estimate or 110 percent of 
a non-binding estimate, you have not transported the goods with 
reasonable dispatch. The term ``reasonable dispatch'' excludes 
transportation provided under your tariff provisions requiring 
guaranteed service dates. You will have the defenses of force majeure, 
i.e., superior or irresistible force, as construed by the courts.
    Should means a recommendation. We recommend you do something, but it 
is not a requirement.
    Surface Transportation Board means an agency within the Department 
of Transportation. The Surface Transportation Board regulates household 
goods carrier tariffs among other responsibilities.
    Tariff means an issuance (in whole or in part) containing rates, 
rules, regulations, classifications or other provisions related to a 
motor carrier's

[[Page 102]]

transportation services. The Surface Transportation Board requires a 
tariff contain specific items under Sec.1312.3(a) of this title. These 
specific items include an accurate description of the services offered 
to the public and the specific applicable rates (or the basis for 
calculating the specific applicable rates) and service terms. A tariff 
must be arranged in a way that allows for the determination of the exact 
rate(s) and service terms applicable to any given shipment.
    We, us, and our means the Federal Motor Carrier Safety 
Administration (FMCSA).
    You and your means a household goods motor carrier engaged in the 
interstate transportation of household goods and its household goods 
agents.

[68 FR 35091, June 11, 2003, as amended at 72 FR 36771, July 5, 2007; 77 
FR 36934, June 20, 2012; 77 FR 59823, Oct. 1, 2012]



Sec.375.105  What are the information collection requirements of this part?

    (a) The information collection requirements of this part have been 
reviewed by the Office of Management and Budget pursuant to the 
Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) and have been 
assigned OMB control number 2126-0025.
    (b) The information collection requirements are found in the 
following sections: Sec. Sec.375.205, 375.207, 375.209, 375.211, 
375.213, 375.215, 375.217, 375.303, 375.401, 375.403, 375.405, 375.409, 
375.501, 375.503, 375.505, 375.507, 375.515, 375.519, 375.521, 375.605, 
375.607, 375.609, 375.803, 375.805, and 375.807.

[69 FR 10575, Mar. 5, 2004, as amended at 78 FR 58479, Sept. 24, 2013]



           Subpart B_Before Offering Services to My Customers

                        Liability Considerations



Sec.375.201  What is my normal liability for loss and damage when I
accept goods from an individual shipper?

    (a) In general, you are legally liable for loss or damage if it 
happens during performance of any transportation of household goods and 
all related services identified on your lawful bill of lading.
    (b) Full Value Protection Obligation--In general, your liability is 
for the household goods that are lost, damaged, destroyed, or otherwise 
not delivered to the final destination in an amount equal to the 
replacement value of the household goods. The maximum amount is the 
declared value of the shipment. The declared value is subject to rules 
issued by the Surface Transportation Board (STB) and applicable tariffs.
    (c) If the shipper waives, in writing, your liability for the full 
value of the household goods, then you are liable for loss of, or damage 
to, any household goods to the extent provided in the STB released rates 
order. Contact the STB for a current copy of the Released Rates of Motor 
Carrier Shipments of Household Goods. The rate may be increased annually 
by the motor carrier based on the U.S. Department of Commerce's Cost of 
Living Adjustment.
    (d) As required by Sec.375.303(g), you may have additional 
liability if you sell liability insurance and fail to issue a copy of 
the insurance policy or other appropriate evidence of insurance.
    (e) You must, in a clear and concise manner, disclose to the 
individual shipper the limits of your liability.

[68 FR 35091, June 11, 2003, as amended at 72 FR 36771, July 5, 2007]



Sec.375.203  What actions of an individual shipper may limit or
reduce my normal liability?

    (a) If an individual shipper includes perishable, dangerous, or 
hazardous articles in the shipment without your knowledge, you need not 
assume liability for those articles or for the loss or damage caused by 
their inclusion in the shipment. If the shipper requests that you accept 
such articles for transportation, you may elect to limit your liability 
for any loss or damage by appropriately published tariff provisions.
    (b) If an individual shipper agrees to ship household goods released 
at a value greater than 60 cents per pound ($1.32 per kilogram) per 
article, your liability for loss and damage may be

[[Page 103]]

limited to $100 per pound ($220 per kilogram) per article if the 
individual shipper fails to notify you in writing of articles valued at 
more than $100 per pound ($220 per kilogram).
    (c) If an individual shipper notifies you in writing that an article 
valued at greater than $100 per pound ($220 per kilogram) will be 
included in the shipment, the shipper will be entitled to full recovery 
up to the declared value of the article or articles, not to exceed the 
declared value of the entire shipment.

                        General Responsibilities



Sec.375.205  May I have agents?

    (a) You may have agents provided you comply with paragraphs (b) and 
(c) of this section. A household goods agent is defined as either one of 
the following two types of agents:
    (1) A prime agent provides a transportation service for you or on 
your behalf, including the selling of, or arranging for, a 
transportation service. You permit or require the agent to provide 
services under the terms of an agreement or arrangement with you. A 
prime agent does not provide services on an emergency or temporary 
basis. A prime agent does not include a household goods broker or 
freight forwarder.
    (2) An emergency or temporary agent provides origin or destination 
services on your behalf, excluding the selling of, or arranging for, a 
transportation service. You permit or require the agent to provide such 
services under the terms of an agreement or arrangement with you. The 
agent performs such services only on an emergency or temporary basis.
    (b) If you have agents, you must have written agreements between you 
and your prime agents. You and your retained prime agent must sign the 
agreements.
    (c) Copies of all your prime agent agreements must be in your files 
for a period of at least 24 months following the date of termination of 
each agreement.



Sec.375.207  What items must be in my advertisements?

    (a) You and your agents must publish and use only truthful, 
straightforward, and honest advertisements.
    (b) You must include, and you must require each of your agents to 
include, in all advertisements for all services (including any 
accessorial services incidental to or part of interstate household goods 
transportation), the following two elements:
    (1) Your name or trade name, as it appears on our document assigning 
you a U.S. DOT number, or the name or trade name of the motor carrier 
under whose operating authority the advertised service will originate.
    (2) Your U.S. DOT number, assigned by us authorizing you to operate 
as a for-hire motor carrier transporting household goods.
    (c) Your FMCSA-assigned U.S. DOT number must be displayed only in 
the following form in every advertisement: U.S. DOT No. (assigned 
number).



Sec.375.209  How must I handle complaints and inquiries?

    (a) You must establish and maintain a procedure for responding to 
complaints and inquiries from your individual shippers.
    (b) Your procedure must include all three of the following items:
    (1) A communications system allowing individual shippers to 
communicate with your principal place of business by telephone.
    (2) A telephone number.
    (3) A written or electronic record system for recording all 
inquiries and complaints received from an individual shipper by any 
means of communication.
    (c) You must produce a clear and concise written description of your 
procedure for distribution to individual shippers.

[68 FR 35091, June 11, 2003, as amended at 77 FR 36934, June 20, 2012; 
77 FR 59824, Oct. 1, 2012]



Sec.375.211  Must I have an arbitration program?

    (a) You must have an arbitration program for individual shippers to 
resolve disputes about property loss and damage and disputes about 
whether carrier

[[Page 104]]

charges in addition to those collected at delivery must be paid. You 
must establish and maintain an arbitration program with the following 11 
minimum elements:
    (1) You must design your arbitration program to prevent you from 
having any special advantage in any case where the claimant resides or 
does business at a place distant from your principal or other place of 
business.
    (2) Before execution of the order for service, you must provide 
notice to the individual shipper of the availability of neutral 
arbitration, including all three of the following items:
    (i) A summary of the arbitration procedure.
    (ii) Any applicable costs.
    (iii) A disclosure of the legal effects of election to use 
arbitration.
    (3) Upon the individual shipper's request, you must provide 
information and forms you consider necessary for initiating an action to 
resolve a dispute under arbitration.
    (4) You must require each person you authorize to arbitrate to be 
independent of the parties to the dispute and capable of resolving such 
disputes, and you must ensure the arbitrator is authorized and able to 
obtain from you or the individual shipper any material or relevant 
information to carry out a fair and expeditious decisionmaking process.
    (5) You must not charge the individual shipper more than one-half of 
the total cost for instituting the arbitration proceeding against you. 
In the arbitrator's decision, the arbitrator may determine which party 
must pay the cost or a portion of the cost of the arbitration 
proceeding, including the cost of instituting the proceeding.
    (6) You must refrain from requiring the individual shipper to agree 
to use arbitration before a dispute arises.
    (7) Arbitration must be binding for claims of $10,000 or less, if 
the individual shipper requests arbitration.
    (8) Arbitration must be binding for claims of more than $10,000, if 
the individual shipper requests arbitration and the carrier agrees to 
it.
    (9) If all parties agree, the arbitrator may provide for an oral 
presentation of a dispute by a party or representative of a party.
    (10) The arbitrator must render a decision within 60 days of receipt 
of written notification of the dispute, and a decision by an arbitrator 
may include any remedies appropriate under the circumstances.
    (11) The arbitrator may extend the 60-day period for a reasonable 
period if you or the individual shipper fail to provide, in a timely 
manner, any information the arbitrator reasonably requires to resolve 
the dispute.
    (b) You must produce and distribute a concise, easy-to-read, 
accurate summary of your arbitration program, including the items in 
this section.

[68 FR 35091, June 11, 2003, as amended at 69 FR 10575, Mar. 5, 2004; 72 
FR 36772, July 5, 2007]



Sec.375.213  What information must I provide to a prospective
individual shipper?

    (a) When you provide the written estimate to a prospective 
individual shipper, you must also provide the individual shipper with a 
copy of Department of Transportation publication FMCSA-ESA-03-005 (or 
its successor publication) entitled ``Ready to Move?--Tips for a 
Successful Interstate Move.'' You may provide the individual shipper 
with a paper copy or you may provide a hyperlink on your Internet Web 
site to the FMCSA Web site containing the information in FMCSA's 
publication ``Ready to Move?--Tips for a Successful Interstate Move.''
    (b) Before you execute an order for service for a shipment of 
household goods, you must furnish to your prospective individual shipper 
all five of the following documents:
    (1) The contents of appendix A of this part, entitled ``Your Rights 
and Responsibilities When You Move'' (Department of Transportation 
publication FMCSA-ESA-03-006, or its successor publication). You may 
provide the individual shipper with a paper copy or you may provide a 
hyperlink on your Internet Web site to the FMCSA Web site containing the 
information in FMCSA's publication ``Your Rights and Responsibilities 
When You Move.''
    (2) A concise, easy-to-read, accurate estimate of your charges.

[[Page 105]]

    (3) A notice of the availability of the applicable sections of your 
tariff for the estimate of charges, including an explanation that 
individual shippers may examine these tariff sections or have copies 
sent to them upon request.
    (4) A concise, easy-to-read, accurate summary of your arbitration 
program.
    (5) A concise, easy-to-read, accurate summary of your customer 
complaint and inquiry handling procedures. Included in this description 
must be both of the following two items:
    (i) The main telephone number the individual shipper may use to 
communicate with you.
    (ii) A clear and concise statement concerning who must pay for 
telephone calls.
    (c) To comply with paragraph (b)(1) of this section, you must ensure 
that the text and general order of the document you produce and 
distribute to prospective individual shippers are consistent with the 
text and general order of appendix A to this part. The following three 
items also apply:
    (1) If we, the Federal Motor Carrier Safety Administration, choose 
to modify the text or general order of appendix A, we will provide the 
public appropriate notice in the Federal Register and an opportunity for 
comment as required by part 389 of this chapter before making you change 
anything.
    (2) If you publish the document, you may choose the dimensions of 
the publication as long as the type font size is 10 points or larger and 
the size of the booklet is at least as large as 36 square inches (232 
square centimeters).
    (3) If you publish the document, you may choose the color and design 
of the front and back covers of the publication. The following words 
must appear prominently on the front cover in 12-point or larger bold or 
full-faced type: ``Your Rights and Responsibilities When You Move. 
Furnished by Your Mover, as Required by Federal Law.'' You may 
substitute your name or trade name in place of ``Your Mover'' if you 
wish (for example, Furnished by XYZ Van Lines, as Required by Federal 
Law).
    (d) Paragraphs (c)(2) and (c)(3) of this section do not apply to 
exact copies of appendix A published in the Federal Register, the Code 
of Federal Regulations, or on FMCSA's Web site.
    (e) If an individual shipper elects to waive physical receipt of the 
Federal consumer protection information by one of the methods described 
in paragraphs (a) and (b)(1) of this section, and elects to access the 
same information via the hyperlink on the Internet as provided in 
paragraphs (a) and (b)(1) of this section:
    (1) You must include a clear and concise statement on the written 
estimate described in Sec.375.401 that the individual shipper 
expressly agreed to access the Federal consumer protection information 
on the Internet.
    (2) You must obtain a signed, dated, electronic or paper receipt 
showing the individual shipper has received both booklets that includes, 
if applicable, verification of the shipper's agreement to access the 
Federal consumer protection information on the Internet.
    (3) You must maintain the signed receipt required by paragraph 
(e)(2) of this section for one year from the date the individual shipper 
signs the receipt. You are not required to maintain the signed receipt 
when you do not actually transport household goods or perform related 
services for the individual shipper who signed the receipt.

[72 FR 36772, July 5, 2007, as amended at 75 FR 72998, Nov. 29, 2010; 77 
FR 41704, Nov. 13, 2012]

                    Collecting Transportation Charges



Sec.375.215  How must I collect charges?

    You must issue an honest, truthful freight or expense bill in 
accordance with subpart A of part 373 of this chapter. All rates and 
charges for the transportation and related services must be in 
accordance with your appropriately published tariff provisions in 
effect, including the method of payment.



Sec.375.217  How must I collect charges upon delivery?

    (a) You must specify the form of payment when you prepare the 
estimate. You and your agents must honor the form of payment at 
delivery, except when a shipper agrees to a change in writing.
    (b) You must specify the same form of payment provided in paragraph 
(a) of

[[Page 106]]

this section when you prepare the order for service and the bill of 
lading.
    (c) Charge or credit card payments:
    (1) If you agree to accept payment by charge or credit card, you 
must arrange with the individual shipper for the delivery only at a time 
when you can obtain authorization for the shipper's credit card 
transaction.
    (2) Paragraph (c)(1) of this section does not apply to you when you 
have equipped your motor vehicle(s) to process card transactions.
    (d) You may maintain a tariff setting forth nondiscriminatory rules 
governing collect-on-delivery service and the collection of collect-on-
delivery funds.
    (e) If an individual shipper pays you at least 110 percent of the 
approximate costs of a non-binding estimate on a collect-on-delivery 
shipment, you must relinquish possession of the shipment at the time of 
delivery.

[68 FR 35091, June 11, 2003, as amended at 69 FR 10575, Mar. 5, 2004]



Sec.375.219  May I extend credit to shippers?

    You may extend credit to shippers, but, if you do, it must be in 
accordance with Sec.375.807.



Sec.375.221  May I use a charge or credit card plan for payments?

    (a) You may provide in your tariff for the acceptance of charge or 
credit cards for the payment of freight charges. Accepting charge or 
credit card payments is different than extending credit to shippers in 
Sec. Sec.375.219 and 375.807. Once you provide an estimate you are 
bound by the provisions in your tariff regarding payment as of the 
estimate date, until completion of any transaction that results from 
that estimate, unless otherwise agreed with a shipper under Sec.
375.217(a).
    (b) You may accept charge or credit cards whenever shipments are 
transported under agreements and tariffs requiring payment by cash, 
certified check, money order, or a cashier's check.
    (c) If you allow an individual shipper to pay for a freight or 
expense bill by charge or credit card, you are deeming such payment to 
be the same as payment by cash, certified check, money order, or a 
cashier's check.
    (d) The charge or credit card plans you participate in must be 
identified in your tariff rules as items permitting the acceptance of 
the charge or credit cards.
    (e) If an individual shipper causes a charge or credit card issuer 
to reverse a charge transaction, you may consider the individual 
shipper's action tantamount to forcing you to provide an involuntary 
extension of your credit. In such instances, the rules in Sec.375.807 
apply.



                   Subpart C_Service Options Provided



Sec.375.301  What service options may I provide?

    (a) You may design your household goods service to provide 
individual shippers with a wide range of specialized service and pricing 
features. Many carriers provide at least the following five service 
options:
    (1) Space reservation.
    (2) Expedited service.
    (3) Exclusive use of a vehicle.
    (4) Guaranteed service on or between agreed dates.
    (5) Liability insurance.
    (b) If you sell liability insurance, you must follow the 
requirements in Sec.375.303.



Sec.375.303  If I sell liability insurance coverage, what must I do?

    (a) You, your employee, or an agent may sell, offer to sell, or 
procure liability insurance coverage for loss or damage to shipments of 
any individual shipper only when the individual shipper releases the 
shipment for transportation at a value not exceeding 60 cents per pound 
($1.32 per kilogram) per article.
    (b) You may offer, sell, or procure any type of insurance policy on 
behalf of the individual shipper covering loss or damage in excess of 
the specified carrier liability.
    (c) If you sell, offer to sell, or procure liability insurance 
coverage for loss or damage to shipments:
    (1) You must issue to the individual shipper a policy or other 
appropriate

[[Page 107]]

evidence of the insurance that the individual shipper purchased.
    (2) You must provide a copy of the policy or other appropriate 
evidence to the individual shipper at the time you sell or procure the 
insurance.
    (3) You must issue policies written in plain English.
    (4) You must clearly specify the nature and extent of coverage under 
the policy.
    (5) Your failure to issue a policy, or other appropriate evidence of 
insurance purchased, to an individual shipper will subject you to full 
liability for any claims to recover loss or damage attributed to you.
    (6) You must provide in your tariff for the provision of selling, 
offering to sell, or procuring liability insurance coverage. The tariff 
must also provide for the base transportation charge, including your 
assumption of full liability for the value of the shipment. This would 
be in the event you fail to issue a policy or other appropriate evidence 
of insurance to the individual shipper at the time of purchase.

[69 FR 10575, Mar. 5, 2004]



                      Subpart D_Estimating Charges



Sec.375.401  Must I estimate charges?

    (a) You must conduct a physical survey of the household goods to be 
transported and provide the prospective individual shipper with a 
written estimate, based on the physical survey, of the charges for the 
transportation and all related services. There are two exceptions to the 
requirement to conduct a physical survey:
    (1) If the household goods are located beyond a 50-mile radius of 
the location of the household goods motor carrier's agent preparing the 
estimate, the requirement to base the estimate on a physical survey does 
not apply.
    (2) An individual shipper may elect to waive the physical survey. 
The waiver agreement is subject to the following requirements:
    (i) It must be in writing;
    (ii) It must be signed by the shipper before the shipment is loaded; 
and
    (iii) The household goods motor carrier must retain a copy of the 
waiver agreement as an addendum to the bill of lading with the 
understanding that the waiver agreement will be subject to the same 
record retention requirements that apply to bills of lading, as provided 
in Sec.375.505(d).
    (b) Before you execute an order for service for a shipment of 
household goods for an individual shipper, you must provide a written 
estimate of the total charges and indicate whether it is a binding or a 
non-binding estimate, as follows:
    (1) A binding estimate is an agreement made in advance with your 
individual shipper. It guarantees the total cost of the move based upon 
the quantities and services shown on your estimate, which shall be based 
on the physical survey of the household goods, if required. You may 
impose a charge for providing a written binding estimate. The binding 
estimate must indicate that you and the shipper are bound by the 
charges.
    (2) A non-binding estimate is what you believe the total cost will 
be for the move, based upon both the estimated weight or volume of the 
shipment and the accessorial services requested and the physical survey 
of the household goods, if required. A non-binding estimate is not 
binding on you. You will base the final charges upon the actual weight 
of the individual shipper's shipment and the tariff provisions in 
effect. You may not impose a charge for providing a non-binding 
estimate.
    (c) You must specify the form of payment you and your agent will 
honor at delivery. Payment forms may include, but are not limited to, 
cash, a certified check, a money order, a cashier s check, a specific 
charge card such as American Express\TM\, a specific credit card such as 
Visa\TM\, or your credit as allowed by Sec.375.807.
    (d) For non-binding estimates, you must provide your reasonably 
accurate estimate of the approximate costs the individual shipper should 
expect to pay for the transportation and services of such shipments. If 
you provide an inaccurately low estimate, you may be limiting the amount 
you will collect at the time of delivery as provided in Sec.375.407.
    (e) If you provide a shipper with an estimate based on volume that 
will later be converted to a weight-based rate, you must provide the 
shipper an

[[Page 108]]

explanation in writing of the formula used to calculate the conversion 
to weight. You must specify the final charges will be based on actual 
weight and services subject to the 110 percent rule at delivery.
    (f) You must determine charges for any accessorial services such as 
elevators, long carries, etc., before preparing the order for service 
and the bill of lading for binding or non-binding estimates. If you fail 
to ask the shipper about such charges and fail to determine such charges 
before preparing the order for service and the bill of lading, you must 
deliver the goods and bill the shipper after 30 days for the additional 
charges.
    (g) You must include as a part of your estimate the liability 
election notice provided in the Surface Transportation Board's released 
rates order. Contact the STB for a copy of the Released Rates of Motor 
Carrier Shipments of Household Goods.
    (h) You and the individual shipper must sign the estimate of 
charges. You must provide a dated copy of the estimate of charges to the 
individual shipper at the time you sign the estimate.
    (i) Before loading a household goods shipment, and upon mutual 
agreement of both you and the individual shipper, you may amend an 
estimate of charges. You may not amend the estimate after loading the 
shipment.

[68 FR 35091, June 11, 2003, as amended at 72 FR 36772, July 5, 2007; 77 
FR 25373, Apr. 30, 2012]



Sec.375.403  How must I provide a binding estimate?

    (a) You may provide a guaranteed binding estimate of the total 
shipment charges to the individual shipper, so long as it is provided 
for in your tariff. The individual shipper must pay the amount for the 
services included in your estimate. You must comply with the following 
11 requirements:
    (1) You must base the binding estimate on the physical survey unless 
one of the exceptions provided in Sec.375.401(a)(1) and (2) applies.
    (2) You must provide the binding estimate in writing to the 
individual shipper or other person responsible for payment of the 
freight charges.
    (3) You must retain a copy of each binding estimate as an attachment 
to be made an integral part of the bill of lading contract.
    (4) You must clearly indicate upon each binding estimate's face that 
the estimate is binding upon you and the individual shipper. Each 
binding estimate must also clearly indicate on its face that the charges 
shown apply only to those services specifically identified in the 
estimate.
    (5) You must clearly describe binding-estimate shipments and all 
services you are providing.
    (6) If it appears an individual shipper has tendered additional 
household goods or requires additional services not identified in the 
binding estimate, you are not required to honor the estimate. If an 
agreement cannot be reached as to the price or service requirements for 
the additional goods or services, you are not required to service the 
shipment. However, if you do service the shipment, before loading the 
shipment you must do one of the following three things:
    (i) Reaffirm your binding estimate.
    (ii) Negotiate a revised written binding estimate accurately 
listing, in detail, the additional household goods or services.
    (iii) Agree with the individual shipper, in writing, that both of 
you will consider the original binding estimate as a non-binding 
estimate subject to Sec.375.405.
    (7) Once you load a shipment, failure to execute a new binding 
estimate or a non-binding estimate signifies you have reaffirmed the 
original binding estimate. You may not collect more than the amount of 
the original binding estimate, except as provided in paragraphs (a)(8) 
and (9) of this section.
    (8) If you believe additional services are necessary to properly 
service a shipment after the bill of lading has been issued, you must 
inform the individual shipper what the additional services are before 
performing those services. You must allow the shipper at least one hour 
to determine whether he or she wants the additional services performed. 
If the individual shipper agrees to pay for the additional services, you 
must execute a written attachment to be made an integral part

[[Page 109]]

of the bill of lading contract and have the individual shipper sign the 
written attachment. This may be done through fax transmissions; e-mail; 
overnight courier; or certified mail, return receipt requested. You must 
bill the individual shipper for the additional services after 30 days 
from delivery. If the individual shipper does not agree to pay the 
additional services, the carrier should perform only those additional 
services as are required to complete the delivery, and bill the 
individual shipper for the additional services after 30 days from 
delivery, except that you may collect at delivery charges for 
impracticable operations that do not exceed 15 percent of all other 
charges due at delivery.
    (9) If the individual shipper requests additional services after the 
bill of lading has been issued, you must inform the individual shipper 
of the additional charges involved. You may require full payment at 
destination for these additional services and for 100 percent of the 
original binding estimate. If applicable, you also may require payment 
at delivery of charges for impracticable operations (as defined in your 
carrier tariff) not to exceed 15 percent of all other charges due at 
delivery. You must bill and collect from the individual shipper any 
applicable charges not collected at delivery in accordance with subpart 
H of this part.
    (10) Failure to relinquish possession of a shipment upon the 
individual shipper's offer to pay the binding estimate amount (or, in 
the case of a partial delivery, a prorated percentage of the binding 
estimate as set forth in paragraph (a)(11) of this section) plus charges 
for any additional services requested by the shipper after the bill of 
lading has been issued and charges, if applicable, for impracticable 
operations (subject to a maximum amount as set forth in paragraph 9 of 
this section), constitutes a failure to transport a shipment with 
``reasonable dispatch'' and subjects you to cargo delay claims pursuant 
to part 370 of this chapter.
    (11) If you make only a partial delivery of the shipment, you may 
not demand upon delivery full payment of the binding estimate. You may 
demand only a prorated percentage of the binding estimate. The prorated 
percentage must be the percentage of the weight of that portion of the 
shipment delivered relative to the total weight of the shipment. For 
example, if you deliver only 2,500 pounds of a shipment weighing 5,000 
pounds, you may demand payment at destination for only 50 percent of the 
binding estimate.
    (b) In accordance with Sec.375.401(a), you may impose a charge for 
providing a written binding estimate. If you do not provide a binding 
estimate to an individual shipper, you must provide a non-binding 
estimate in accordance with Sec.375.405.
    (c) You must retain a copy of the binding estimate for each move you 
perform for at least one year from the date you made the estimate and 
keep it as an attachment to be made an integral part of the bill of 
lading contract.

[68 FR 35091, June 11, 2003, as amended at 69 FR 10575, Mar. 5, 2004; 69 
FR 17317, May 5, 2004; 72 FR 36773, July 5, 2007; 77 FR 36934, June 20, 
2012]



Sec.375.405  How must I provide a non-binding estimate?

    (a) If you do not provide a binding estimate to an individual 
shipper in accordance with Sec.375.403, you must provide a non-binding 
written estimate to the individual shipper.
    (b) If you provide a non-binding estimate to an individual shipper, 
you must provide your reasonably accurate estimate of the approximate 
costs the individual shipper should expect to pay for the transportation 
and services of the shipment. You must comply with the following ten 
requirements:
    (1) You must provide reasonably accurate non-binding estimates based 
upon both the estimated weight or volume of the shipment and services 
required and the physical survey of the household goods, if required. If 
you provide a shipper with an estimate based on volume that will later 
be converted to a weight-based rate, you must provide the shipper an 
explanation in writing of the formula used to calculate the conversion 
to weight.
    (2) You must explain to the individual shipper that final charges 
calculated for shipments moved on non-binding estimates will be those 
appearing in your tariffs applicable to the transportation. You must 
explain that

[[Page 110]]

these final charges may exceed the approximate costs appearing in your 
estimate.
    (3) You must furnish non-binding estimates without charge and in 
writing to the individual shipper or other person responsible for 
payment of the freight charges.
    (4) You must retain a copy of each non-binding estimate as an 
attachment to be made an integral part of the bill of lading contract.
    (5) You must clearly indicate on the face of a non-binding estimate 
that the estimate is not binding upon you and the charges shown are the 
approximate charges to be assessed for the service identified in the 
estimate. The estimate must clearly state that the shipper will not be 
required to pay more than 110 percent of the non-binding estimate at the 
time of delivery.
    (6) You must clearly describe on the face of a non-binding estimate 
the entire shipment and all services you are providing.
    (7) If it appears an individual shipper has tendered additional 
household goods or requires additional services not identified in the 
non-binding estimate, you are not required to honor the estimate. If an 
agreement cannot be reached as to the price or service requirements for 
the additional goods or services, you are not required to service the 
shipment. However, if you do service the shipment, before loading the 
shipment, you must do one of the following two things:
    (i) Reaffirm your non-binding estimate.
    (ii) Negotiate a revised written non-binding estimate accurately 
listing, in detail, the additional household goods or services.
    (8) Once you load a shipment, failure to execute a new non-binding 
estimate signifies you have reaffirmed the original non-binding 
estimate. You may not collect more than 110 percent of the amount of the 
original non-binding estimate at destination, except as provided in 
paragraphs (b)(9) and (10) of this section.
    (9) If you believe additional services are necessary to properly 
service a shipment after the bill of lading has been issued, you must 
inform the individual shipper what the additional services are before 
performing those services. You must allow the shipper at least one hour 
to determine whether he or she wants the additional services performed. 
If the individual shipper agrees to pay for the additional services, you 
must execute a written attachment to be made an integral part of the 
bill of lading contract and have the individual shipper sign the written 
attachment. This may be done through fax transmissions; e-mail; 
overnight courier; or certified mail, return receipt requested. You must 
bill the individual shipper for the additional services after 30 days 
from delivery. If the individual shipper does not agree to pay the 
additional services, the carrier should perform only those additional 
services as are required to complete the delivery, and bill the 
individual shipper for the additional services after 30 days from 
delivery, except that you may collect at delivery charges for 
impracticable operations that do not exceed 15 percent of all other 
charges due at delivery.
    (10) If the individual shipper requests additional services after 
the bill of lading has been issued, you must inform the individual 
shipper of the additional charges involved. You may require full payment 
at destination for these additional services and (unless you make only a 
partial delivery, in which case you must collect a prorated percentage 
of the original non-binding estimate as set forth in Sec.375.407(c) of 
this part) for up to 110 percent of the original non-binding estimate. 
If applicable, you also may require payment at delivery of charges for 
impracticable operations (as defined in your carrier tariff) not to 
exceed 15 percent of all other charges due at delivery. You must bill 
and collect from the individual shipper any applicable charges not 
collected at delivery in accordance with subpart H of this part.
    (c) If you furnish a non-binding estimate, you must enter the 
estimated charges upon the order for service and upon the bill of 
lading.
    (d) You must retain a copy of the non-binding estimate for each move 
you perform for at least one year from the date you made the estimate 
and keep it as an attachment to be made an

[[Page 111]]

integral part of the bill of lading contract.

[68 FR 35091, June 11, 2003, as amended at 69 FR 10576, Mar. 5, 2004; 72 
FR 36773, July 5, 2007; 77 FR 36935, June 20, 2012]



Sec.375.407  Under what circumstances must I relinquish possession of a
collect-on-delivery shipment transported under a non-binding estimate?

    (a) If an individual shipper pays you up to 110 percent of the non-
binding estimate on a collect-on-delivery shipment (or, in the case of a 
partial delivery, a prorated percentage of the non-binding estimate as 
set forth in paragraph (c) of this section), you must relinquish 
possession of the shipment at the time of delivery. If there are either 
charges for any additional services requested by the shipper after the 
bill of lading has been issued and/or charges, if applicable, for 
impracticable operations (subject to a maximum amount as set forth in 
paragraph (d) of this section), and the shipper also pays you for such 
charges, you must relinquish possession of the shipment at the time of 
delivery. You must accept the form of payment agreed to at the time of 
estimate, unless the shipper agrees in writing to a change in the form 
of payment.
    (b) Failure to relinquish possession of a shipment after the 
individual shipper offers to pay you up to 110 percent of the 
approximate costs of a non-binding estimate plus any additional charges 
described in paragraph (a) of this section constitutes a failure to 
transport a shipment with ``reasonable dispatch'' and subjects you to 
cargo delay claims pursuant to part 370 of this chapter.
    (c) If you make only a partial delivery of the shipment, you may not 
demand full payment of the non-binding estimate. You may demand at 
delivery only a prorated percentage of the non-binding estimate (or a 
prorated percentage of an amount up to 110 percent of the non-binding 
estimate). The prorated percentage must be the percentage of the weight 
of that portion of the shipment delivered relative to the total weight 
of the shipment. For example, if you deliver only 2,500 pounds of a 
shipment weighing 5,000 pounds, you may demand payment of 50 percent of 
not more than 110 percent of the non-binding estimate.
    (d) You may not demand payment of charges for impracticable 
operations, as defined in your tariff, of more than 15 percent of all 
other charges due at delivery. You must bill and collect from the 
individual shipper charges for impracticable operations not collected at 
delivery in accordance with subpart H of this part.

[72 FR 36774, July 5, 2007]



Sec.375.409  May household goods brokers provide estimates?

    (a) Subject to the limitations in Sec.371.113(a) of this 
subchapter, household goods brokers may provide estimates to individual 
shippers provided there is a written agreement between the broker and 
you, the motor carrier, adopting the broker's estimate as your own 
estimate. If you, the motor carrier, make such an agreement with a 
household goods broker, you must ensure compliance with all requirements 
of this part pertaining to estimates, including the requirement that you 
must relinquish possession of the shipment if the shipper pays you no 
more than 110 percent of a non-binding estimate at the time of delivery.
    (b) Your written agreement with the household goods broker(s) must 
include the items required in Sec.371.115(a) of this subchapter.

[75 FR 72998, Nov. 29, 2010]



            Subpart E_Pick Up of Shipments of Household Goods

                             Before Loading



Sec.375.501  Must I write up an order for service?

    (a) Before you receive a shipment of household goods you will move 
for an individual shipper, you must prepare an order for service. The 
order for service must contain the information described in the 
following 15 items:
    (1) Your name and address and the FMCSA U.S. DOT number assigned to 
the mover who is responsible for performing the service.
    (2) The individual shipper's name, address, and, if available, 
telephone number(s).

[[Page 112]]

    (3) The name, address, and telephone number of the delivering 
mover's office or agent located at or nearest to the destination of the 
shipment.
    (4) A telephone number where the individual shipper/consignee may 
contact you or your designated agent.
    (5) One of the following three entries must be on the order for 
service:
    (i) The agreed pickup date and agreed delivery date of the move.
    (ii) The agreed period(s) of the entire move.
    (iii) If you are transporting the shipment on a guaranteed service 
basis, the guaranteed dates or periods for pickup, transportation, and 
delivery. You must enter any penalty or per diem requirements upon the 
agreement under this item.
    (6) The names and addresses of any other motor carriers, when known, 
who will participate in interline transportation of the shipment.
    (7) The form of payment you and your agents will honor at delivery. 
The payment information must be the same that was entered on the 
estimate.
    (8) The terms and conditions for payment of the total charges, 
including notice of any minimum charges.
    (9) The maximum amount you will demand at the time of delivery to 
obtain possession of the shipment, when you transport on a collect-on-
delivery basis.
    (10) A statement of the declared value of the shipment, which is the 
maximum amount of your liability to the individual shipper under your 
Full Value Protection for the replacement value of any household goods 
that are lost, damaged, destroyed, or otherwise not delivered to the 
final destination. If the individual shipper waives, in writing, your 
Full Value Protection liability, you must include a copy of the waiver; 
the Surface Transportation Board's required released rates valuation 
statement; and the charges, if any, for optional valuation coverage 
(other than Full Value Protection). The released rates may be increased 
annually by the motor carrier based on the U.S. Department of Commerce's 
Cost of Living Adjustment.
    (11) A complete description of any special or accessorial services 
ordered and minimum weight or volume charges applicable to the shipment, 
subject to the following two conditions:
    (i) If you provide service for individual shippers on rates based 
upon the transportation of a minimum weight or volume, you must indicate 
on the order for service the minimum weight- or volume-based rates, and 
the minimum charges applicable to the shipment.
    (ii) If you do not indicate the minimum rates and charges, your 
tariff must provide you will compute the final charges relating to such 
a shipment based upon the actual weight or volume of the shipment.
    (12) Any identification or registration number you assign to the 
shipment.
    (13) For non-binding estimates, your reasonably accurate estimate of 
the amount of the charges, the method of payment of total charges, and 
the maximum amount (no more than 110 percent of the non-binding 
estimate) you will demand at the time of delivery to relinquish 
possession of the shipment.
    (14) For binding estimates, the amount of charges you will demand 
based upon the binding estimate and the terms of payment under this 
estimate.
    (15) Whether the individual shipper requests notification of the 
charges before delivery. The individual shipper must provide you with 
the fax number(s) or address(es) where you will transmit the 
notifications by fax transmission; e-mail; overnight courier; or 
certified mail, return receipt requested.
    (b) You, your agent, or your driver must inform the individual 
shipper if you reasonably expect a special or accessorial service is 
necessary to safely transport a shipment. You must refuse to accept the 
shipment when you reasonably expect a special or accessorial service is 
necessary to safely transport a shipment and the individual shipper 
refuses to purchase the special or accessorial service. You must make a 
written note if the shipper refuses any special or accessorial services 
that you reasonably expect to be necessary.
    (c) You and the individual shipper must sign the order for service. 
You must provide a dated copy of the order for service to the individual 
shipper at the time you sign the order.

[[Page 113]]

    (d)(1) You may provide the individual shipper with blank or 
incomplete estimates, orders for service, bills of lading, or any other 
blank or incomplete documents pertaining to the move.
    (2) You may require the individual shipper to sign an incomplete 
document at origin provided it contains all relevant shipping 
information except the actual shipment weight and any other information 
necessary to determine the final charges for all services performed.
    (e) You must provide the individual shipper the opportunity to 
rescind the order for service without any penalty for a three-day period 
after the shipper signs the order for service, if the shipper scheduled 
the shipment to be loaded more than three days after signing the order.
    (f) Before loading the shipment, and upon mutual agreement of both 
you and the individual shipper, you may amend an order for service.
    (g) You must retain a copy of the order for service for each move 
you perform for at least one year from the date you made the order for 
service and keep it as an attachment to be made an integral part of the 
bill of lading contract.
    (h) You have the option of placing the valuation statement on either 
the order for service or the bill of lading, provided the order for 
service or bill of lading states the appropriate valuation selected by 
the shipper.

[68 FR 35091, June 11, 2003, as amended at 69 FR 10576, Mar. 5, 2004; 72 
FR 36774, July 5, 2007]



Sec.375.503  Must I write up an inventory?

    (a) You must prepare a written, itemized inventory for each shipment 
of household goods you transport for an individual shipper. The 
inventory must identify every carton and every uncartoned item that is 
included in the shipment. When you prepare the inventory, an 
identification number that corresponds to the inventory must be placed 
on each article that is included in the shipment.
    (b) You must prepare the inventory before or at the time of loading 
in the vehicle for transportation in a manner that provides the 
individual shipper with the opportunity to observe and verify the 
accuracy of the inventory if he or she so requests.
    (c) You must furnish a complete copy of the inventory to the 
individual shipper before or at the time of loading the shipment. A copy 
of the inventory, signed by both you and the individual shipper, must be 
provided to the shipper, together with a copy of the bill of lading, 
before or at the time you load the shipment.
    (d) Upon delivery, you must provide the individual shipper with the 
opportunity to observe and verify that the same articles are being 
delivered and the condition of those articles. You must also provide the 
individual shipper the opportunity to note in writing any missing 
articles and the condition of any damaged or destroyed articles. In 
addition, you must also provide the shipper with a copy of all such 
notations.
    (e) You must retain inventories for each move you perform for at 
least one year from the date you made the inventory and keep it as an 
attachment to be made an integral part of the bill of lading contract.

[68 FR 35091, June 11, 2003, as amended at 69 FR 10576, Mar. 5, 2004]



Sec.375.505  Must I write up a bill of lading?

    (a) You must issue a bill of lading. The bill of lading must contain 
the terms and conditions of the contract. A bill of lading may be 
combined with an order for service to include all the items required by 
Sec.375.501 of this subpart. You must furnish a partially complete 
copy of the bill of lading to the individual shipper before the vehicle 
leaves the residence at origin. The partially complete bill of lading 
must contain all relevant shipment information, except the actual 
shipment weight and any other information necessary to determine the 
final charges for all services performed.
    (b) On a bill of lading, you must include the following 14 items:
    (1) Your name and address, or the name and address of the motor 
carrier issuing the bill of lading.
    (2) The names and addresses of any other motor carriers, when known, 
who

[[Page 114]]

will participate in transportation of the shipment.
    (3) The name, address, and telephone number of your office (or the 
office of your agent) where the individual shipper can contact you in 
relation to the transportation of the shipment.
    (4) The form of payment you and your agents will honor at delivery. 
The payment information must be the same that was entered on the 
estimate and order for service.
    (5) When you transport on a collect-on-delivery basis, the name, 
address, and if furnished, the telephone number, facsimile number, or e-
mail address of a person to notify about the charges. The notification 
may also be made by overnight courier or certified mail, return receipt 
requested.
    (6) For non-guaranteed service, the agreed date or period of time 
for pickup of the shipment and the agreed date or period of time for the 
delivery of the shipment. The agreed dates or periods for pickup and 
delivery entered upon the bill of lading must conform to the agreed 
dates or periods of time for pickup and delivery entered upon the order 
for service or a proper amendment to the order for service.
    (7) For guaranteed service, subject to tariff provisions, the dates 
for pickup and delivery, and any penalty or per diem entitlements due 
the individual shipper under the agreement.
    (8) The actual date of pickup.
    (9) The company or carrier identification number of the vehicle(s) 
upon which you load the individual shipper's shipment.
    (10) The terms and conditions for payment of the total charges, 
including notice of any minimum charges.
    (11) The maximum amount you will demand at the time of delivery to 
obtain possession of the shipment, when you transport under a collect-
on-delivery basis.
    (b)(12) The valuation statement provided in the Surface 
Transportation Board's released rates order requires individual shippers 
either to choose Full Value Protection for your liability or waive the 
Full Value Protection in favor of the STB's released rates. The released 
rates may be increased annually by the motor carrier based on the U.S. 
Department of Commerce's Cost of Living Adjustment. Contact the STB for 
a copy of the Released Rates of Motor Carrier Shipments of Household 
Goods. If the individual shipper waives your Full Value Protection in 
writing on the STB's valuation statement, you must include the charges, 
if any, for optional valuation coverage (other than Full Value 
Protection).
    (13) Evidence of any insurance coverage sold to or procured for the 
individual shipper from an independent insurer, including the amount of 
the premium for such insurance.
    (14) Each attachment to the bill of lading. Each attachment is an 
integral part of the bill of lading contract. If not provided elsewhere 
to the shipper, the following three items must be added as an attachment 
to the bill of lading.
    (i) The binding or non-binding estimate.
    (ii) The order for service.
    (iii) The inventory.
    (c) A copy of the bill of lading must accompany a shipment at all 
times while in your (or your agent's) possession. Before the vehicle 
leaves the residence of origin, the bill of lading must be in the 
possession of the driver responsible for the shipment.
    (d) You must retain bills of lading for each move you perform for at 
least one year from the date you created the bill of lading.

[68 FR 35091, June 11, 2003, as amended at 69 FR 10576, Mar. 5, 2004; 72 
FR 36774, July 5, 2007; 77 FR 25373, Apr. 30, 2012]

                          Weighing the Shipment



Sec.375.507  Must I determine the weight of a shipment?

    (a) When you transport household goods on a non-binding estimate 
dependent upon the shipment weight, you must determine the weight of 
each shipment transported before the assessment of any charges.
    (b) You must weigh the shipment upon a certified scale.
    (c) You must provide a written explanation of volume to weight 
conversions, when you provide an estimate by volume and convert the 
volume to weight.

[[Page 115]]



Sec.375.509  How must I determine the weight of a shipment?

    (a) You must weigh the shipment by using one of the following two 
methods:
    (1) First method--origin weigh. You determine the difference between 
the tare weight of the vehicle before loading at the origin of the 
shipment and the gross weight of the same vehicle after loading the 
shipment.
    (2) Second method--back weigh. You determine the difference between 
the gross weight of the vehicle with the shipment loaded and the tare 
weight of the same vehicle after you unload the shipment.
    (b) The following three conditions must exist for both the tare and 
gross weighings:
    (1) The vehicle must have installed or loaded all pads, dollies, 
hand trucks, ramps, and other equipment required in the transportation 
of the shipment.
    (2) The driver and other persons must be off the vehicle at the time 
of either weighing.
    (3) The fuel tanks on the vehicle must be full at the time of each 
weighing, or, in the alternative, when you use the first method--origin 
weigh, in paragraph (a)(1) of this section, where the tare weighing is 
the first weighing performed, you must refrain from adding fuel between 
the two weighings.
    (c) You may detach the trailer of a tractor-trailer vehicle 
combination from the tractor and have the trailer weighed separately at 
each weighing provided the length of the scale platform is adequate to 
accommodate and support the entire trailer at one time.
    (d) You must use the net weight of shipments transported in 
containers. You must calculate the difference between the tare weight of 
the container (including all pads, blocking and bracing used in the 
transportation of the shipment) and the gross weight of the container 
with the shipment loaded in the container.



Sec.375.511  May I use an alternative method for shipments weighing
3,000 pounds or less?

    For shipments weighing 3,000 pounds or less (1,362 kilograms or 
less), you may weigh the shipment upon a platform or warehouse certified 
scale before loading for transportation or after unloading.



Sec.375.513  Must I give the individual shipper an opportunity to
observe the weighing?

    You must give the individual shipper or any other person responsible 
for the payment of the freight charges the right to observe all 
weighings of the shipment. You must advise the individual shipper, or 
any other person entitled to observe the weighings, where and when each 
weighing will occur. You must give the person who will observe the 
weighings a reasonable opportunity to be present to observe the 
weighings.



Sec.375.515  May an individual shipper waive his/her right to
observe each weighing?

    (a) If an individual shipper elects not to observe a weighing, the 
shipper is presumed to have waived that right.
    (b) If an individual shipper elects not to observe a reweighing, the 
shipper must waive that right in writing. The individual shipper may 
send the waiver notification via fax transmission; e-mail; overnight 
courier; or certified mail, return receipt requested.
    (c) Waiver of the right to observe a weighing or re-weighing does 
not affect any other rights of the individual shipper under this part or 
otherwise.

[68 FR 35091, June 11, 2003, as amended at 69 FR 10576, Mar. 5, 2004]



Sec.375.517  May an individual shipper demand re-weighing?

    After you inform the individual shipper of the billing weight and 
total charges and before actually beginning to unload a shipment weighed 
at origin (first method under Sec.375.509(a)(1)), the individual 
shipper may demand a re-weigh. You must base your freight bill charges 
upon the re-weigh weight.



Sec.375.519  Must I obtain weight tickets?

    (a) You must obtain weight tickets whenever we require you to weigh 
the shipment in accordance with this subpart. You must obtain a separate 
weight ticket for each weighing. The weigh master must sign each weight 
ticket. Each weight ticket must contain the following six items:

[[Page 116]]

    (1) The complete name and location of the scale.
    (2) The date of each weighing.
    (3) The identification of the weight entries as being the tare, 
gross, or net weights.
    (4) The company or carrier identification of the vehicle.
    (5) The last name of the individual shipper as it appears on the 
bill of lading.
    (6) The carrier's shipment registration or bill of lading number.
    (b) When both weighings are performed on the same scale, one weight 
ticket may be used to record both weighings.
    (c) As part of the file on the shipment, you must retain the 
original weight ticket or tickets relating to the determination of the 
weight of a shipment.
    (d) All freight bills you present to an individual shipper must 
include true copies of all weight tickets obtained in the determination 
of the shipment weight in order to collect any shipment charges 
dependent upon the weight transported.



Sec.375.521  What must I do if an individual shipper wants to know
the actual weight or charges for a shipment before I tender delivery?

    (a) If an individual shipper of a shipment being transported on a 
collect-on-delivery basis specifically requests notification of the 
actual weight or volume and charges on the shipment, you must comply 
with this request. This requirement is conditioned upon the individual 
shipper's supplying you with an address or telephone number where the 
individual shipper will receive the communication. You must make your 
notification by telephone; in person; fax transmissions; e-mail; 
overnight courier; or certified mail, return receipt requested.
    (b) The individual shipper must receive your notification at least 
one full 24-hour day before any tender of the shipment for delivery, 
excluding Saturdays, Sundays and Federal holidays.
    (c) You may disregard the 24-hour notification requirement on 
shipments in any one of the following three circumstances:
    (1) The shipment will be back weighed (i.e., weighed at 
destination).
    (2) Pickup and delivery encompass two consecutive weekdays, if the 
individual shipper agrees.
    (3) The shipment is moving under a non-binding estimate and the 
maximum payment required at time of delivery is 110 percent of the 
estimated charges, but only if the individual shipper agrees to waive 
the 24-hour notification requirement.

[68 FR 35091, June 11, 2003, as amended at 69 FR 10576, Mar. 5, 2004]



                  Subpart F_Transportation of Shipments



Sec.375.601  Must I transport the shipment in a timely manner?

    Yes. Transportation in a timely manner is also known as ``reasonable 
dispatch service.'' You must provide reasonable dispatch service to all 
individual shippers, except for transportation on the basis of 
guaranteed pickup and delivery dates.



Sec.375.603  When must I tender a shipment for delivery?

    You must tender a shipment for delivery for an individual shipper on 
the agreed delivery date or within the period specified on the bill of 
lading. Upon the request or concurrence of the individual shipper, you 
may waive this requirement.



Sec.375.605  How must I notify an individual shipper of any service delays?

    (a) When you are unable to perform either the pickup or delivery of 
a shipment on the dates or during the periods specified in the order for 
service and as soon as the delay becomes apparent to you, you must 
notify the individual shipper of the delay, at your expense, in one of 
the following six ways:
    (1) By telephone.
    (2) In person.
    (3) Fax transmissions.
    (4) E-mail.
    (5) Overnight courier.
    (6) Certified mail, return receipt requested.
    (b) You must advise the individual shipper of the dates or periods 
you expect to be able to pick up and/or deliver the shipment. You must 
consider the needs of the individual shipper in your

[[Page 117]]

advisement. You also must do the following four things:
    (1) You must prepare a written record of the date, time, and manner 
of notification.
    (2) You must prepare a written record of your amended date or period 
for pick-up or delivery.
    (3) You must retain these records as a part of your file on the 
shipment. The retention period is one year from the date of 
notification.
    (4) You must furnish a copy of the notice to the individual shipper 
by first class mail or in person if the individual shipper requests a 
copy of the notice.

[68 FR 35091, June 11, 2003, as amended at 69 FR 10576, Mar. 5, 2004]



Sec.375.607  What must I do if I am able to tender a shipment for
final delivery more than 24 hours before a specified date?

    (a) You may ask the individual shipper to accept an early delivery 
date. If the individual shipper does not concur with your request or the 
individual shipper does not request an early delivery date, you may, at 
your discretion, place a shipment in storage under your own account and 
at your own expense in a warehouse located near the destination of the 
shipment. If you place the shipment in storage, you must comply with 
paragraph (b) of this section. You may comply with paragraph (c) of this 
section, at your discretion.
    (b) You must immediately notify the individual shipper of the name 
and address of the warehouse where you place the shipment. You must make 
and keep a record of your notification as a part of your shipment 
records. You have responsibility for the shipment under the terms and 
conditions of the bill of lading. You are responsible for the charges 
for redelivery, handling, and storage until you make final delivery.
    (c) You may limit your responsibility under paragraph (b) of this 
section up to the agreed delivery date or the first day of the period of 
time of delivery as specified in the bill of lading.



Sec.375.609  What must I do for shippers who store household
goods in transit?

    (a) If you are holding goods for storage-in-transit (SIT) and the 
period of time is about to expire, you must comply with this section.
    (b) You must notify the individual shipper, in writing of the 
following four items:
    (1) The date of conversion to permanent storage.
    (2) The existence of a nine-month period after the date of 
conversion to permanent storage when the individual shipper may file 
claims against you for loss or damage occurring to the goods in transit 
or during the storage-in-transit period.
    (3) The fact your liability is ending.
    (4) The fact the individual shipper's property will be subject to 
the rules, regulations, and charges of the warehouseman.
    (c) You must make this notification at least 10 days before the 
expiration date of either one of the following two periods:
    (1) The specified period of time when the goods are to be held in 
storage.
    (2) The maximum period of time provided in your tariff for storage-
in-transit.
    (d) You must notify the individual shipper by facsimile 
transmission; e-mail; overnight courier; or certified mail, return 
receipt requested.
    (e) If you are holding household goods in storage-in-transit for a 
period of time less than 10 days, you must give notification to the 
individual shipper of the information specified in paragraph (b) of this 
section one day before the expiration date of the specified time when 
the goods are to be held in such storage.
    (f) You must maintain a record of notifications as part of the 
records of the shipment.
    (g) Your failure or refusal to notify the individual shipper will 
automatically effect a continuance of your carrier liability according 
to the applicable tariff provisions with respect to storage-in-transit, 
until the end of the day following the date when you actually gave 
notice.
    (h) When you place household goods in permanent storage, you must 
place

[[Page 118]]

the household goods in the name of the individual shipper and provide 
contact information for the shipper in the form of a telephone number, 
mailing address and/or email address.

[68 FR 35091, June 11, 2003, as amended at 69 FR 10577, Mar. 5, 2004; 77 
FR 36935, June 20, 2012]



                     Subpart G_Delivery of Shipments



Sec.375.701  May I provide for a release of liability on my delivery receipt?

    (a) Your delivery receipt or shipping document must not contain any 
language purporting to release or discharge you or your agents from 
liability.
    (b) The delivery receipt may include a statement the property was 
received in apparent good condition except as noted on the shipping 
documents.



Sec.375.703  What is the maximum collect-on-delivery amount I may
demand at the time of delivery?

    (a) On a binding estimate, the maximum amount is the exact estimate 
of the charges, plus charges for any additional services requested by 
the shipper after the bill of lading has been issued and charges, if 
applicable, for impracticable operations as defined in your carrier 
tariff. The maximum amount of charges for impracticable operations you 
may collect on delivery is an amount equal to 15 percent of all other 
charges due at delivery.
    (b) On a non-binding estimate, the maximum amount is 110 percent of 
the non-binding estimate of the charges, plus charges for any additional 
services requested by the shipper after the bill of lading has been 
issued and charges, if applicable, for impracticable operations as 
defined in your carrier tariff. The maximum amount of charges for 
impracticable operations you may collect on delivery is an amount equal 
to 15 percent of all other charges due at delivery.

[72 FR 36774, July 5, 2007]



Sec.375.705  If a shipment is transported on more than one vehicle,
what charges may I collect at delivery?

    (a) At your discretion, you may do one of the following three 
things:
    (1) You may defer the collection of all charges until you deliver 
the entire shipment.
    (2) If you have determined the charges for the entire shipment, you 
may collect charges for the portion of the shipment tendered for 
delivery. You must determine the percentage of the charges for the 
entire shipment represented by the portion of the shipment tendered for 
delivery.
    (3) If you cannot reasonably calculate the charges for the entire 
shipment, you must determine the charges for the portion of the shipment 
being delivered. You must collect this amount. The total charges you 
assess for the transportation of the separate portions of the shipment 
must not be more than the charges due for the entire shipment.
    (b) In the event of the loss or destruction of any part of a 
shipment transported on more than one vehicle, you must collect the 
charges as provided in Sec.375.707.



Sec.375.707  If a shipment is partially lost or destroyed, what
charges may I collect at delivery?

    (a) (1) If a shipment is partially lost or destroyed, you may 
collect at delivery:
    (i) A prorated percentage of the binding estimate or a prorated 
percentage of up to 110 percent of the non-binding estimate. The 
prorated percentage is equal to the percentage of the weight of that 
portion of the shipment delivered relative to the total weight of the 
shipment. For example, if you deliver only 2,500 pounds of a shipment 
weighing 5,000 pounds, you may demand at destination, as applicable, 
only 50 percent of a binding estimate or 50 percent of not more than 110 
percent of a non-binding estimate;
    (ii) Charges for any additional services requested by the shipper 
after the bill of lading has been issued; and
    (iii) Charges for impracticable operations, if applicable, except 
that such charges must not exceed 15 percent of all other charges due at 
delivery.
    (iv) Any specific valuation charge due.
    (2) You must bill and collect from the individual shipper any 
remaining

[[Page 119]]

charges not collected at delivery in accordance with subpart H of this 
part.
    (b) You must determine, at your own expense, the proportion of the 
shipment, based on actual or constructive weight, not lost or destroyed 
in transit.
    (c) You may disregard paragraph (a)(1) of this section if loss or 
destruction was due to an act or omission of the individual shipper.
    (d) The individual shipper's rights are in addition to, and not in 
lieu of, any other rights the individual shipper may have with respect 
to a shipment of household goods you or your agent(s) partially lost or 
destroyed in transit. This applies whether or not the individual shipper 
exercises any rights to obtain a refund of the portion of your published 
freight charges corresponding to the portion of the lost or destroyed 
shipment (including any charges for accessorial or terminal services) at 
the time you dispose of claims for loss, damage, or injury to articles 
in the shipment under part 370 of this chapter.

[72 FR 36775, July 5, 2007]



Sec.375.709  If a shipment is totally lost or destroyed, what charges
may I collect at delivery?

    (a) You are forbidden from collecting, or requiring an individual 
shipper to pay, any freight charges (including any charges for 
accessorial or terminal services) when a household goods shipment is 
totally lost or destroyed in transit. The following two conditions also 
apply:
    (1) You must collect any specific valuation charge due.
    (2) You may disregard paragraph (a) of this section if loss or 
destruction was due to an act or omission of the individual shipper.
    (b) The individual shipper's rights are in addition to, and not in 
lieu of, any other rights the individual shipper may have with respect 
to a shipment of household goods you or your agent(s) totally lost or 
destroyed in transit. This applies whether or not the individual shipper 
exercises its rights provided in paragraph (a) of this section.



                     Subpart H_Collection of Charges



Sec.375.801  What types of charges apply to subpart H?

    This subpart applies to all shipments of household goods that:
    (a) Entail a balance due freight or expense bill, or
    (b) Are transported on an extension of credit basis.

[69 FR 10577, Mar. 5, 2004]



Sec.375.803  How must I present my freight or expense bill?

    You must present your freight or expense bill in accordance with 
Sec.375.807 of this subpart.

[69 FR 10577, Mar. 5, 2004]



Sec.375.805  If I am forced to relinquish a collect-on-delivery
shipment before the payment of ALL charges, how do I collect
the balance?

    On ``collect-on-delivery'' shipments, you must present your freight 
bill for all transportation charges within 15 days as required by Sec.
375.807.



Sec.375.807  What actions may I take to collect the charges upon
my freight bill?

    (a) You must present a freight bill within 15 days (excluding 
Saturdays, Sundays, and Federal holidays) of the date of delivery of a 
shipment at its destination.
    (b) The credit period must be seven days (including Saturdays, 
Sundays, and Federal holidays).
    (c) You must provide in your tariffs the following four things:
    (1) You must automatically extend the credit period to a total of 30 
calendar days for any shipper who has not paid your freight bill within 
the 7-day period. However, for charges for impracticable operations that 
are not collected at delivery, you may not extend the credit period 
beyond 30 days after you present your freight bill.
    (2) You will assess a service charge to each individual shipper 
equal to one percent of the amount of the freight bill, subject to a $20 
minimum charge, for the extension of the credit period. You will assess 
the service charge for each 30-day extension the charges go unpaid.

[[Page 120]]

    (3) You must deny credit to any shipper who fails to pay a duly-
presented freight bill within the 30-day period. You may grant credit to 
the individual shipper when the individual shipper satisfies he/she will 
promptly pay all future freight bills duly presented.
    (4) You must ensure all payments of freight bills are strictly in 
accordance with the rules and regulations of this part for the 
settlement of your rates and charges.

[68 FR 35091, June 11, 2003, as amended at 72 FR 36775, July 5, 2007]



                           Subpart I_Penalties



Sec.375.901  What penalties do we impose for violations of this part?

    The penalty provisions of 49 U.S.C. Chapter 149, Civil and Criminal 
Penalties apply to this part. These penalties do not overlap. 
Notwithstanding these civil penalties, nothing in this section shall 
deprive any holder of a receipt or a bill of lading any remedy or right 
of action under existing law.



 Sec. Appendix A to Part 375--Your Rights and Responsibilities When You 
                                  Move

OMB No. 2126-0025

           Furnished by Your Mover, as Required by Federal Law

    Authority: 49 U.S.C. 13301, 13704, 13707, and 14104; 49 CFR 1.87.

                   What Is Included in This Pamphlet?

In this pamphlet, you will find a discussion of each of these topics:
Why Was I Given This Pamphlet?
What Are the Most Important Points I Should Remember From This Pamphlet?
What If I Have More Questions?

                     Subpart A--General Requirements

Who must follow the regulations?
What definitions are used in this Pamphlet?

          Subpart B--Before Requesting Services From Any Mover

What is my mover's normal liability for loss or damage when my mover 
accepts goods from me?
What actions by me limit or reduce my mover's normal liability?
What are dangerous or hazardous materials that may limit or reduce my 
mover's normal liability?
May my mover have agents?
What items must be in my mover's advertisements?
How must my mover handle complaints and inquiries?
Do I have the right to inspect my mover's tariffs (schedules of charges) 
applicable to my move?
Must my mover have an arbitration program?
Must my mover inform me about my rights and responsibilities under 
Federal Law?
What other information must my mover provide to me?
How must my mover collect charges?
May my mover collect charges upon delivery?
May my mover extend credit to me?
May my mover accept charge or credit cards for my payments?

                   Subpart C--Service Options Provided

What service options may my mover provide?
If my mover sells liability insurance coverage, what must my mover do?

                      Subpart D--estimating charges

Must my mover estimate the transportation and accessorial charges for my 
move?
How must my mover estimate charges under the regulations?
What payment arrangements must my mover have in place to secure delivery 
of my household goods shipment?

           Subpart E--Pickup of My Shipment of Household Goods

Must my mover write up an order for service?
Must my mover write up an inventory of the shipment?
Must my mover write up a bill of lading?
Should I reach an agreement with my mover about pickup and delivery 
times?
Must my mover determine the weight of my shipment?
How must my mover determine the weight of my shipment?
What must my mover do if I want to know the actual weight or charges for 
my shipment before delivery?

                Subpart F--Transportation of My Shipment

Must my mover transport the shipment in a timely manner?
What must my mover do if it is able to deliver my shipment more than 24 
hours before I am able to accept delivery?
What must my mover do for me when I store household goods in transit?

[[Page 121]]



                   Subpart G--Delivery of My Shipment

May my mover ask me to sign a delivery receipt releasing it from 
liability?
What is the maximum collect-on-delivery amount my mover may demand I pay 
at the time of delivery?
If my shipment is transported on more than one vehicle, what charges may 
my mover collect at delivery?
If my shipment is partially or totally lost or destroyed, what charges 
may my mover collect at delivery?
How must my mover calculate the charges applicable to the shipment as 
delivered?

                    Subpart H--Collection of Charges

Does this subpart apply to most shipments?
How must my mover present its freight or expense bill to me?
If I forced my mover to relinquish a collect-on-delivery shipment before 
the payment of ALL charges, how must my mover collect the balance?
What actions may my mover take to collect from me the charges in its 
freight bill?
Do I have a right to file a claim to recover money for property my mover 
lost or damaged?

               Subpart I--Resolving Disputes With My Mover

What may I do to resolve disputes with my mover?

                     Why Was I Given This Pamphlet?

    The Federal Motor Carrier Safety Administration's (FMCSA) 
regulations protect consumers on interstate moves and define the rights 
and responsibilities of consumers and household goods carriers.
    The household goods carrier (mover) gave you this booklet to provide 
information about your rights and responsibilities as an individual 
shipper of household goods. Your primary responsibility is to select a 
reputable household goods carrier, ensure that you understand the terms 
and conditions of the contract, and understand and pursue the remedies 
that are available to you in case problems arise. You should talk to 
your mover if you have further questions. The mover will also furnish 
you with additional written information describing its procedure for 
handling your questions and complaints. The additional written 
information will include a telephone number you can call to obtain 
additional information about your move.

What Are the Most Important Points I Should Remember From This Pamphlet?

    1. Movers must give written estimates.
    2. Movers may give binding estimates.
    3. Non-binding estimates are not always accurate; actual charges may 
exceed the estimate.
    4. If your mover provides you (or someone representing you) with any 
partially complete document for your signature, you should verify the 
document is as complete as possible before signing it. Make sure the 
document contains all relevant shipping information, except the actual 
shipment weight and any other information necessary to determine the 
final charges for all services performed.
    5. You may request from your mover the availability of guaranteed 
pickup and delivery dates.
    6. Be sure you understand the mover's responsibility for loss or 
damage, and request an explanation of the difference between valuation 
and actual insurance.
    7. You have the right to be present each time your shipment is 
weighed.
    8. You may request a reweigh of your shipment.
    9. If you agree to move under a non-binding estimate, you should 
confirm with your mover--in writing--the method of payment at delivery 
as cash, certified check, cashier's check, money order, or credit card.
    10. Movers must offer a dispute settlement program as an alternative 
means of settling loss or damage claims. Ask your mover for details.
    11. You should ask the person you speak to whether he or she works 
for the actual mover or a household goods broker. A household goods 
broker must not represent itself as a mover. The broker is responsible 
only for arranging the transportation. It does not own the trucks used 
to transport the shipment and is required to find an authorized mover to 
provide the transportation. You should know that a household goods 
broker generally has no authority to provide you with an estimate for 
the move, unless the broker has a written agreement with the household 
goods carrier. If a household goods broker provides you with an estimate 
without a written agreement with the carrier, the estimate may not be 
binding and you may instead be required to pay the actual charges 
assessed by the mover. A household goods broker is not responsible for 
loss or damage.
    12. You may request complaint information about movers from the 
Federal Motor Carrier Safety Administration under the Freedom of 
Information Act. You may be assessed a fee to obtain this information. 
See 49 CFR part 7 for the schedule of fees.
    13. You should seek estimates from at least three different movers. 
You should not disclose any information to the different movers about 
their competitors, as it may affect the accuracy of their estimates.

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                     What if I Have More Questions?

    If this pamphlet does not answer all of your questions about your 
move, do not hesitate to ask for additional information from your 
mover's representative who handled the arrangements for your move, the 
driver who transports your shipment, or the mover's main office.

                     Subpart A--General Requirements

    The primary responsibility for your protection lies with you in 
selecting a reputable household goods carrier, ensuring you understand 
the terms and conditions of your contract with your mover, and 
understanding and pursuing the remedies that are available to you in 
case problems arise.

                    Who Must Follow the Regulations?

    The regulations inform motor carriers engaged in the interstate 
transportation of household goods (household goods motor carriers or 
movers) what standards they must follow when offering services to you. 
You, an individual shipper, are not directly subject to the regulations. 
However, your mover may be required by the regulations to demand that 
you pay on time. The regulations apply only to a mover that both 
transports your household goods by motor vehicle in interstate 
commerce--that is, when you are moving from one State to another--and 
provides certain types of additional services. The regulations do not 
apply when your interstate move takes place within a single commercial 
zone. A commercial zone is roughly equivalent to the local metropolitan 
area of a city or town. For example, a move between Brooklyn, NY, and 
Hackensack, NJ, would be considered within the New York City commercial 
zone and would not be subject to these regulations. Commercial zones are 
defined in 49 CFR part 372.

               What Definitions Are Used in This Pamphlet?

    Accessorial (Additional) Services--These are services such as 
packing, appliance servicing, unpacking, or piano stair carries that you 
request be performed (or that are necessary because of landlord 
requirements or other special circumstances). Charges for these services 
may be in addition to the line-haul charges.
    Advanced Charges--These are charges for services performed by 
someone other than the mover. A professional, craftsman, or other third 
party may perform these services at your request. The mover pays for 
these services and adds the charges to your bill of lading charges.
    Advertisement--This is any communication to the public in connection 
with an offer or sale of any interstate household goods transportation 
service. This will include written or electronic database listings of 
your mover's name, address, and telephone number in an online database. 
This excludes listings of your mover's name, address, and telephone 
number in a telephone directory or similar publication. However, Yellow 
Pages advertising is included within the definition.
    Agent--A local moving company authorized to act on behalf of a 
larger, national company.
    Appliance Service by Third Party--The preparation of major 
electrical appliances to make them safe for shipment. Charges for these 
services may be in addition to the line-haul charges.
    Bill of Lading--The receipt for your goods and the contract for 
their transportation.
    Carrier--The mover transporting your household goods.
    Collect on Delivery (COD)--This means payment is required at the 
time of delivery at the destination residence (or warehouse).
    Certified Scale--Any scale designed for weighing motor vehicles, 
including trailers or semi-trailers not attached to a tractor, and 
certified by an authorized scale inspection and licensing authority. A 
certified scale may also be a platform or warehouse type scale that is 
properly inspected and certified.
    Estimate, Binding--This is a written agreement made in advance with 
your mover. It guarantees the total cost of the move based upon the 
quantities and services shown on the estimate.
    Estimate, Non-Binding--This is what your mover believes the cost 
will be, based upon the estimated weight of the shipment and the 
accessorial services requested. A non-binding estimate is not binding on 
the mover. The final charges will be based upon the actual weight of 
your shipment, the services provided, and the tariff provisions in 
effect.
    Expedited Service--This is an agreement with the mover to perform 
transportation by a set date in exchange for charges based upon a higher 
minimum weight.
    Flight Charge--A charge for carrying items up or down flights of 
stairs. Charges for these services may be in addition to the line-haul 
charges.
    Guaranteed Pickup and Delivery Service--An additional level of 
service featuring guaranteed dates of service. Your mover will provide 
reimbursement to you for delays. This premium service is often subject 
to minimum weight requirements.
    High-Value Article--These are items included in a shipment valued at 
more than $100 per pound ($220 per kilogram).
    Household Goods, as used in connection with transportation, means 
the personal effects or property used, or to be used, in a dwelling, 
when part of the equipment or supplies of the dwelling. Transportation 
of the household goods must be arranged and paid for by you or by 
another individual on your

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behalf. This may include items moving from a factory or store when you 
purchase them to use in your dwelling. You must request that these items 
be transported, and you (or another individual on your behalf) must pay 
the transportation charges to the mover.
    Household Goods Motor Carrier means a motor carrier that, in the 
ordinary course of its business of providing transportation of household 
goods, offers some or all of the following additional services: (1) 
Binding and non-binding estimates, (2) Inventory, (3) Protective packing 
and unpacking of individual items at personal residences, and (4) 
Loading and unloading at personal residences. The term does not include 
a motor carrier when the motor carrier provides transportation of 
household goods in containers or trailers that are entirely loaded and 
unloaded by an individual other than an employee or agent of the motor 
carrier.
    Individual Shipper--Any person who--
    1. Is the shipper, consignor, or consignee of a household goods 
shipment;
    2. Is identified as the shipper, consignor, or consignee on the face 
of the bill of lading;
    3. Owns the goods being transported; and
    4. Pays his or her own tariff transportation charges.
    Impracticable Operations generally refer to services required when 
operating conditions make it physically impossible for the motor carrier 
to perform pickup or delivery with its normally assigned road-haul 
equipment, so that the carrier must use smaller equipment and/or 
additional labor to complete pickup or delivery of the shipment. A mover 
may require payment of additional charges for impracticable operations 
even if you do not request these services. The specific services 
considered to be impracticable operations by your mover are defined in 
your mover's tariff.
    Inventory--The detailed descriptive list of your household goods 
showing the number and condition of each item.
    Line-Haul Charges--The charges for the vehicle transportation 
portion of your move. These charges, if separately stated, apply in 
addition to the accessorial service charges.
    Long Carry--A charge for carrying articles excessive distances 
between the mover's vehicle and your residence. Charges for these 
services may be in addition to the line-haul charges.
    May--An option. You or your mover may do something, but it is not a 
requirement.
    Mover--A household goods motor carrier and its household goods 
agents.
    Must--A legal obligation. You or your mover must do something.
    Order for Service--The document authorizing the mover to transport 
your household goods.
    Order (Bill of Lading) Number--The number used to identify and track 
your shipment.
    Peak Season Rates--Higher line-haul charges applicable during the 
summer months.
    Pickup and Delivery Charges--Separate transportation charges 
applicable to transporting your shipment between the storage-in-transit 
warehouse and your residence.
    Reasonable Dispatch--The performance of transportation on the dates, 
or during the period of time, agreed upon by you and your mover and 
shown on the Order for Service/Bill of Lading. For example, if your 
mover deliberately withholds any shipment from delivery after you offer 
to pay the binding estimate or up to 110 percent of a non-binding 
estimate, plus any charges for additional services you requested that 
were not included in the estimate and/or permissible charges for 
impracticable operations, your mover has not transported the goods with 
reasonable dispatch. The term ''reasonable dispatch`` excludes 
transportation provided under your mover's tariff provisions requiring 
guaranteed service dates. Your mover will have the defense of force 
majeure, i.e., that the contract cannot be performed owing to causes 
that are outside the control of the parties and could not be avoided by 
exercise of due care.
    Should--A recommendation. We recommend you or your mover do 
something, but it is not a requirement.
    Shuttle Service--The use of a smaller vehicle to provide service to 
residences not accessible to the mover's normal line-haul vehicles.
    Storage-In-Transit (SIT)--The temporary warehouse storage of your 
shipment pending further transportation, with or without notification to 
you. If you (or someone representing you) cannot accept delivery on the 
agreed-upon date or within the agreed-upon time period (for example, 
because your home is not quite ready to occupy), your mover may place 
your shipment into SIT without notifying you. In those circumstances, 
you will be responsible for the added charges for SIT service, as well 
as the warehouse handling and final delivery charges. However, your 
mover also may place your shipment into SIT if your mover was able to 
make delivery before the agreed-upon date (or before the first day of 
the agreed-upon delivery period) but you did not concur with early 
delivery. In those circumstances, your mover must notify you immediately 
of the SIT, and your mover is fully responsible for redelivery charges, 
handling charges, and storage charges.
    Surface Transportation Board--An agency within the U.S. Department 
of Transportation that regulates household goods carrier tariffs, among 
other responsibilities. The Surface Transportation Board's address is 
395 E Street, SW., Washington, DC 20423-0001. Tele. 202-245-0245.

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    Tariff--An issuance (in whole or in part) containing rates, rules, 
regulations, classifications, or other provisions. The Surface 
Transportation Board requires that a tariff contain three specific 
items. First, an accurate description of the services the mover offers 
to the public. Second, the specific applicable rates (or the basis for 
calculating the specific applicable rates) and service terms for 
services offered to the public. Third, the mover's tariff must be 
arranged in a way that allows you to determine the exact rate(s) and 
service terms applicable to your shipment.
    Valuation--The degree of worth of the shipment. The valuation charge 
compensates the mover for assuming a greater degree of liability than is 
provided for in its base transportation charges.
    Warehouse Handling--A charge may be applicable each time SIT service 
is provided. Charges for these services may be in addition to the line-
haul charges. This charge compensates the mover for the physical 
placement and removal of items within the warehouse.
    We, Us, and Our--The Federal Motor Carrier Safety Administration 
(FMCSA).
    You and Your--You are an individual shipper of household goods. You 
are a consignor or consignee of a household goods shipment and your 
mover identifies you as such in the bill of lading contract. You own the 
goods being transported and pay the transportation charges to the mover.
    Where may other terms used in this pamphlet be defined? You may find 
other terms used in this pamphlet defined in 49 U.S.C. 13102. The 
statute controls the definitions in this pamphlet. If terms are used in 
this pamphlet and the terms are defined neither here nor in 49 U.S.C. 
13102, the terms will have the ordinary practical meaning of such terms.

          Subpart B--Before Requesting Services From Any Mover

  What Is My Mover's Normal Liability for Loss or Damage When My Mover 
                         Accepts Goods From Me?

    In general, your mover is legally liable for loss or damage that 
occurs during performance of any transportation of household goods and 
of all related services identified on your mover's lawful bill of 
lading.
    Your mover is liable for loss of, or damage to, any household goods 
to the extent provided in the current Surface Transportation Board's 
Released Rates Order. You may obtain a copy of the current Released 
Rates Order by contacting the Surface Transportation Board at the 
address provided under the definition of the Surface Transportation 
Board. The rate may be increased annually by your mover based on the 
U.S. Department of Commerce's Cost of Living Adjustment. Your mover may 
have additional liability if your mover sells liability insurance to 
you.
    All moving companies are required to assume liability for the value 
of the goods transported. However, there are different levels of 
liability, and you should be aware of the amount of protection provided 
and the charges for each option.
    Basically, most movers offer two different levels of liability under 
the terms of their tariffs and the Surface Transportation Board's 
Released Rates Orders. These orders govern the moving industry. The 
levels of liability are as follows:
    (1) FULL VALUE PROTECTION (FVP). This is the most comprehensive 
option available for the protection of your goods. Unless you waive 
full-value protection in writing and agree to Release Value Protection 
as described below, your shipment will be transported under your mover's 
full (replacement) value level of liability. If any article is lost, 
destroyed, or damaged while in your mover's custody, your mover will, at 
its option, either: repair the article to the extent necessary to 
restore it to the same condition as when it was received by your mover, 
or pay you for the cost of such repairs; replace the article with an 
article of like kind; or pay you for the cost of a replacement article 
at the current market replacement value, regardless of the age of the 
lost or damaged article. Your mover will charge you for this level of 
protection, or you may select the Alternative Level of Liability 
described below.
    The cost for FVP is based on the value that you place on your 
shipment. For example, the valuation charge for a shipment valued at 
$25,000 would be about $250.00. However, the exact cost for full-value 
protection may vary by mover and may be further subject to various 
deductible levels of liability that could reduce your cost. Ask your 
mover for the details and cost of its specific plan.
    Under the FVP level of liability, movers are permitted to limit 
their liability for loss of, or damage to, articles of extraordinary 
value, unless you specifically list on the shipping documents such 
articles for which you want liability coverage. An article of 
extraordinary value is any item whose value exceeds $100 per pound (for 
example, jewelry, silverware, china, furs, antiques, oriental rugs and 
computer software). Ask your mover for a complete explanation of this 
limitation before your move. It is your responsibility to study this 
provision carefully and to make the necessary declaration.
    (2) RELEASED VALUE of 60 Cents Per Pound Per Article. This is the 
most economical protection option available; however, this no-cost 
option provides only minimal protection. Under this option, the mover 
assumes liability for no more than 60 cents per pound per article. Loss 
or damage claims are settled based on the weight of the article 
multiplied by 60 cents per pound. For example, if

[[Page 125]]

a 10-pound stereo component valued at $1,000 were lost or destroyed, the 
mover would be liable for no more than $6.00 (10 pounds x 60 cents per 
pound). Obviously, you should think carefully before agreeing to such an 
arrangement. There is no extra charge for this minimal protection, but 
you must sign a specific statement on the bill of lading agreeing to it. 
If you do not select this Alternative Level of Liability, your shipment 
will be transported at the Full (Replacement) Value level of liability 
and you will be assessed the applicable valuation charge.
    These two levels of liability are not insurance agreements governed 
by State insurance laws but instead are contractual tariff levels of 
liability authorized under Released Rates Orders of the Surface 
Transportation Board of the U.S. Department of Transportation.
    In addition to these options, some movers may also offer to sell, or 
procure for you, separate liability insurance from a third-party 
insurance company when you release your shipment for transportation at 
the minimum released value (60 cents per pound [$1.32 per kilogram] per 
article). This is not valuation coverage governed by Federal law but 
optional insurance regulated under State law. If you purchase this 
separate coverage and your mover is responsible for loss or damage, the 
mover is liable only for an amount not exceeding 60 cents per pound 
($1.32 per kilogram) per article, and the balance of the loss is 
recoverable from the insurance company up to the amount of insurance 
purchased. The mover's representative can advise you of the availability 
of such liability insurance, and the cost.
    If you purchase liability insurance from or through your mover, the 
mover is required to issue a policy or other written record of the 
purchase and to provide you with a copy of the policy or other document 
at the time of purchase. If the mover fails to comply with this 
requirement, the mover becomes fully liable for any claim for loss or 
damage attributed to its negligence.

     What Actions by Me Limit or Reduce My Mover's Normal Liability?

    Your actions may limit or reduce your mover's normal liability under 
the following three circumstances:
    (1) You include perishable, dangerous, or hazardous materials in 
your household goods without your mover's knowledge.
    (2) You choose the alternative level of liability (60 cents per 
pound per article) but ship household goods valued at more than 60 cents 
per pound ($1.32 per kilogram) per article.
    (3) You fail to notify your mover in writing of articles valued at 
more than $100 per pound ($220 per kilogram). (If you do notify your 
mover, you will be entitled to full recovery up to the declared value of 
the article or articles, not to exceed the declared value of the entire 
shipment.)

 What Are Dangerous or Hazardous Materials That May Limit or Reduce My 
                        Mover's Normal Liability?

    Federal law forbids you to ship hazardous materials in your 
household goods boxes or luggage without informing your mover. A 
violation can result in 5 years' imprisonment and penalties of $250,000 
or more (49 U.S.C. 5124). You could also lose or damage your household 
goods by fire, explosion, or contamination.
    If you offer hazardous materials to your mover, you are considered a 
hazardous materials shipper and must comply with the hazardous materials 
requirements in 49 CFR parts 171, 172, and 173, including but not 
limited to package labeling and marking, shipping papers, and emergency 
response information. Your mover must comply with 49 CFR parts 171, 172, 
173, and 177 as a hazardous materials carrier.
    Hazardous materials include explosives, compressed gases, flammable 
liquids and solids, oxidizers, poisons, corrosives, and radioactive 
materials. Examples: Nail polish remover, paints, paint thinners, 
lighter fluid, gasoline, fireworks, oxygen bottles, propane cylinders, 
automotive repair and maintenance chemicals, and radio-pharmaceuticals.
    There are special exceptions for small quantities (up to 70 ounces 
total) of medicinal and toilet articles carried in your household goods 
and certain smoking materials carried on your person. For further 
information, contact your mover.

                        May My Mover Have Agents?

    Yes, your mover may have agents. If your mover has agents, your 
mover must have written agreements with its prime agents. Your mover and 
its retained prime agent must sign their agreements. Copies of your 
mover's prime agent agreements must be in your mover's files for a 
period of at least 24 months following the date of termination of each 
agreement.

            What Items Must Be in My Mover's Advertisements?

    Your mover must publish and use only truthful, straightforward, and 
honest advertisements. Your mover must include certain information in 
all advertisements for all services (including any accessorial services 
incidental to or part of interstate transportation). Your mover must 
require each of its agents to include the same information in its 
advertisements. The information must include the following two pieces of 
information about your mover:
    (1) Name or trade name of the mover under whose U.S. DOT number the 
advertised service will originate.

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    (2) U.S. DOT number assigned by FMCSA authorizing your mover to 
operate. Your mover must display the information as: U.S. DOT No. 
(assigned number).
    You should compare the name or trade name of the mover and its U.S. 
DOT number to the name and U.S. DOT number on the sides of the truck(s) 
that arrive at your residence. The names and numbers should be 
identical. If the names and numbers are not identical, you should ask 
your mover immediately why they are not. You should not allow the mover 
to load your household goods on its truck(s) until you obtain a 
satisfactory response from the mover's local agent. The discrepancies 
may warn of problems you will have later in your business dealings with 
this mover.

           How Must My Mover Handle Complaints and Inquiries?

    All movers are expected to respond promptly to complaints or 
inquiries from you, the customer. Should you have a complaint or 
question about your move, you should first attempt to obtain a 
satisfactory response from the mover's local agent, the sales 
representative who handled the arrangements for your move, or the driver 
assigned to your shipment.
    If for any reason you are unable to obtain a satisfactory response 
from one of these persons, you should then contact the mover's principal 
office. When you make such a call, be sure to have available your copies 
of all documents relating to your move. Particularly important is the 
number assigned to your shipment by your mover.
    Interstate movers are also required to offer neutral arbitration as 
a means of resolving consumer disputes involving loss of or damage to 
your household goods shipment and disputes regarding charges that your 
mover billed in addition to those collected at delivery. Your mover is 
required to provide you with information regarding its arbitration 
program. You have the right to pursue court action under 49 U.S.C. 14706 
to seek judicial redress directly rather than participate in your 
mover's arbitration program.
    All interstate moving companies are required to maintain a complaint 
and inquiry procedure to assist their customers. At the time you make 
the arrangements for your move, you should ask the mover's 
representative for a description of the mover's procedure, the telephone 
number to be used to contact the mover, and whether the mover will pay 
for such telephone calls. Your mover's procedure must include the 
following four things:
    (1) A communications system allowing you to communicate with your 
mover's principal place of business by telephone.
    (2) A telephone number.
    (3) A clear and concise statement about who must pay for complaint 
and inquiry telephone calls.
    (4) A written or electronic record system for recording all 
inquiries and complaints received from you by any means of 
communication.
    Your mover must give you a clear and concise written description of 
its procedure. You may want to be certain that the system is in place.

Do I Have the Right to Inspect My Mover's Tariffs (Schedules of Charges) 
                         Applicable to My Move?

    Federal law requires your mover to advise you of your right to 
inspect your mover's tariffs (its schedules of rates or charges) 
governing your shipment. Movers' tariffs are made a part of the contract 
of carriage (bill of lading) between you and the mover. You may inspect 
the tariff at the mover's facility, or, upon request, the mover will 
furnish you a free copy of any tariff provision containing the mover's 
rates, rules, or charges governing your shipment.
    Tariffs may include provisions limiting the mover's liability. This 
is generally described in a section on declaring value on the bill of 
lading. A second tariff provision may set the periods for filing claims. 
This is generally described in Section 6 on the reverse side of a bill 
of lading. A third tariff provision may reserve your mover's right to 
assess additional charges for additional services performed. For non-
binding estimates, another tariff provision may base charges upon the 
exact weight of the goods transported. Your mover's tariff may contain 
other provisions that apply to your move. Ask your mover what they might 
be, and request a copy.

               Must My Mover Have an Arbitration Program?

    Your mover must have an arbitration program for your use in 
resolving disputes concerning loss of or damage to your household goods 
and disputes regarding charges that were billed to you in addition to 
those collected at delivery of your shipment. You have the right not to 
participate in the arbitration program. You may pursue court action 
under 49 U.S.C. 14706 to seek judicial remedies directly. Your mover 
must establish and maintain an arbitration program with the following 11 
minimum elements:
    (1) The arbitration program offered to you must prevent your mover 
from having any special advantage because you live or work in a place 
distant from the mover's principal or other place of business.
    (2) Before your household goods are tendered for transport, your 
mover must provide notice to you of the availability of neutral 
arbitration, including the following three things:

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    (a) A summary of the arbitration procedure.
    (b) Any applicable costs.
    (c) A disclosure of the legal effects of electing to use 
arbitration.
    (3) Upon your request, your mover must provide information and forms 
it considers necessary for initiating an action to resolve a dispute 
under arbitration.
    (4) Each person authorized to arbitrate must be independent of the 
parties to the dispute and capable of resolving such disputes fairly and 
expeditiously. Your mover must ensure the arbitrator is authorized and 
able to obtain from you or your mover any material or relevant 
information to carry out a fair and expeditious decision-making process.
    (5) You must not be required to pay more than one-half of the 
arbitration's cost. The arbitrator may determine the percentage of 
payment of the costs for each party in the arbitration decision, but 
must not make you pay more than half.
    (6) Your mover must not require you to agree to use arbitration 
before a dispute arises.
    (7) You and your mover will be bound by arbitration for claims of 
$10,000 or less if you request arbitration.
    (8) You and your mover will be bound by arbitration for claims of 
more than $10,000 only if you request arbitration and your mover agrees 
to it.
    (9) If you and your mover both agree, the arbitrator may provide for 
an oral presentation of a dispute by a party or representative of a 
party.
    (10) The arbitrator must render a decision within 60 days of receipt 
of written notification of the dispute, and a decision by an arbitrator 
may include any remedies appropriate under the circumstances.
    (11) The 60-day period may be extended for a reasonable period if 
either you or your mover fails to provide information in a timely 
manner. Your mover must produce and distribute a concise, easy-to-read, 
accurate summary of its arbitration program.

   Must My Mover Inform Me About My Rights and Responsibilities Under 
                              Federal Law?

    Yes, your mover must inform you about your rights and 
responsibilities under Federal law. Your mover must produce and 
distribute this document. It should follow the general order and contain 
the text of appendix A to 49 CFR part 375.

            What Other Information Must My Mover Provide Me?

    At the time your mover provides a written estimate, it must provide 
you with a copy of the U.S. Department of Transportation publication 
FMCSA-ESA-03-005 entitled ``Ready to Move?'' (or its successor 
publication). Before your mover executes an order for service for a 
shipment of household goods, your mover must furnish you with the 
following four documents:
    1. The contents of Appendix A, ''Your Rights and Responsibilities 
When You Move''--this booklet.
    2. A concise, easy-to-read, and accurate summary of your mover's 
arbitration program.
    3. A notice of availability of the applicable sections of your 
mover's tariff for the estimate of charges, including an explanation 
that you may examine the tariff sections or have copies sent to you upon 
request.
    4. A concise, easy-to-read, accurate summary of your mover's 
customer complaint and inquiry handling procedures. Included in this 
summary must be the following two items:
    (a) The main telephone number you may use to communicate with your 
mover.
    (b) A clear and concise statement concerning who must pay for 
telephone calls.
    Your mover may, at its discretion, provide additional information to 
you.

                   How Must My Mover Collect Charges?

    Your mover must issue you an honest, truthful freight or expense 
bill for each shipment transported. Your mover's freight or expense bill 
must contain the following 17 items:
    (1) Name of the consignor.
    (2) Name of the consignees.
    (3) Date of the shipment.
    (4) Origin point.
    (5) Destination points.
    (6) Number of packages.
    (7) Description of the freight.
    (8) Weight of the freight (if your shipment is moved under a non-
binding estimate).
    (9) Exact rate(s) assessed.
    (10) Disclosure of the actual rates, charges, and allowances for the 
transportation service, when your mover electronically presents or 
transmits freight or expense bills to you. These rates must be in 
accordance with the mover's applicable tariff.
    (11) An indication of whether adjustments may apply to the bill.
    (12) Total charges due and acceptable methods of payment.
    (13) The nature and amount of any special service charges.
    (14) The points where special services were rendered.
    (15) Route of movement and name of each mover participating in the 
transportation.
    (16) Transfer points where shipments moved.
    (17) Address where you must pay or address of bill issuer's 
principal place of business.
    Your mover must present its freight or expense bill to you within 15 
days of the date of delivery of a shipment at its destination.

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The computation of time excludes Saturdays, Sundays, and Federal 
holidays. If your mover lacks sufficient information to compute its 
charges, your mover must present its freight bill for payment within 15 
days of the date when sufficient information does become available.

               May My Mover Collect Charges Upon Delivery?

    Yes. Your mover must specify the form of payment acceptable at 
delivery when the mover prepares an estimate and order for service. The 
mover and its agents must honor the form of payment at delivery, except 
when you mutually agree to a change in writing. The mover must also 
specify the same form of payment when it prepares your bill of lading, 
unless you agree to a change. See also ``May my mover accept charge or 
credit cards for my payments?''
    You must be prepared to pay 10 percent more than the estimated 
amount, if your goods are moving under a non-binding estimate. Every 
collect-on-delivery shipper must have available 110 percent of the 
estimate at the time of delivery. In addition, your mover may also 
collect at the time of delivery the charges for any additional services 
you requested after the contract with your mover was executed (charges 
therefore not included in the estimate) and any charges for 
impracticable operations needed to accomplish delivery, as defined by 
the carrier's tariff. Charges collected at the time of delivery for 
impracticable operations must not exceed 15 percent of all other charges 
due at the time of delivery. You must pay all remaining charges for 
impracticable operations within 30 days after you receive the mover's 
freight bill.

                    May My Mover Extend Credit to Me?

    Extending credit to you is not the same as accepting your charge or 
credit card(s) as payment. Your mover may extend credit to you in the 
amount of the tariff charges. If your mover extends credit to you, your 
mover becomes like a bank offering you a line of credit, whose size and 
interest rate are determined by your ability to pay its tariff charges 
within the credit period. Your mover must ensure you will pay its tariff 
charges within the credit period. Your mover may relinquish possession 
of freight before you pay its tariff charges, at its discretion.
    The credit period must begin on the day following presentation of 
your mover's freight bill to you. Under Federal regulation, the standard 
credit period is 7 days, excluding Saturdays, Sundays, and Federal 
holidays. Your mover must also extend the credit period to a total of 30 
calendar days if the freight bill is not paid within the 7-day period. A 
service charge equal to one percent of the amount of the freight bill, 
subject to a $20 minimum, will be assessed for this extension and for 
each additional 30-day period the charges go unpaid.
    Your failure to pay within the credit period will require your mover 
to determine whether you will comply with the Federal household goods 
transportation credit regulations in good faith in the future before 
extending credit again.

       May My Mover Accept Charge or Credit Cards for My Payments?

    Your mover may allow you to use a charge or credit card for payment 
of the freight charges. Your mover may accept charge or credit cards 
whenever you ship with it under an agreement and tariff requiring 
payment by cash or cash equivalents. Cash equivalents are a certified 
check, money order, or cashier's check (a check that a financial 
institution--bank, credit union, savings and loan--draws upon itself and 
that is signed by an officer of the financial institution).
    If your mover allows you to pay for a freight or expense bill by 
charge or credit card, your mover deems such a payment to be equivalent 
to payment by cash, certified check, or cashier's check. It must note in 
writing on the order for service and the bill of lading whether you may 
pay for the transportation and related services using a charge or credit 
card. You should ask your mover at the time the estimate is written 
whether it will accept charge or credit cards at delivery.
    The mover must specify what charge or credit cards it will accept, 
such as American Express\TM\, Discover\TM\, MasterCard \TM\, or 
Visa\TM\. If your mover agrees to accept payment by charge or credit 
card, you must arrange with your mover for the delivery only at a time 
when your mover can obtain authorization for your credit card 
transaction. If you cause a charge or credit card issuer to reverse a 
transaction, your mover may consider your action tantamount to forcing 
your mover to provide an involuntary extension of its credit.

                   Subpart C--Service Options Provided

               What Service Options May My Mover Provide?

    Your mover may provide any service options it chooses. It is 
customary for movers to offer several price and service options.
    The total cost of your move may increase if you want additional or 
special services. Before you agree to have your shipment moved under a 
bill of lading providing special service, you should have a clear 
understanding with your mover of what the additional cost will be. You 
should always consider whether other movers might provide the services 
you need without requiring you to pay the additional charges.

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    One service option is a space reservation. If you agree to have your 
shipment transported under a space reservation agreement, you will pay 
for a minimum number of cubic feet of space in the moving van regardless 
of how much space in the van your shipment actually occupies.
    A second option is expedited service. This aids you if you must have 
your shipments transported on or between specific dates when the mover 
could not ordinarily agree to do so in its normal operations.
    A third customary service option is exclusive use of a vehicle. If 
for any reason you desire or require that your shipment be moved by 
itself on the mover's truck or trailer, most movers will provide such 
service.
    Another service option is guaranteed service on or between agreed 
dates. You enter into an agreement with the mover where the mover 
provides for your shipment to be picked up, transported to destination, 
and delivered on specific guaranteed dates. If the mover fails to 
provide the service as agreed, you are entitled to be compensated at a 
predetermined amount or a daily rate (per diem) regardless of the 
expense you might actually have incurred as a result of the mover's 
failure to perform.
    Before requesting or agreeing to any of these price and service 
options, be sure to ask the mover's representatives about the final 
costs you will pay.

             Transport of Shipments on Two or More Vehicles

    Although all movers try to move each shipment on one truck, it 
becomes necessary, at times, to divide a shipment among two or more 
trucks. This may occur if your mover has underestimated the cubic feet 
(meters) of space required for your shipment and it will not all fit on 
the first truck. Your mover will pick up the remainder, or ``leave 
behind,'' on a second truck at a later time, and this part of your 
shipment may arrive at the destination later than the first truck. When 
this occurs, your transportation charges will be determined as if the 
entire shipment had moved on one truck.
    If it is important for you to avoid this inconvenience of a ``leave 
behind,'' be sure your estimate includes an accurate calculation of the 
cubic feet (meters) required for your shipment. Ask your estimator to 
use a ``Table of Measurements'' form in making this calculation. 
Consider asking for a binding estimate. A binding estimate is more 
likely to be conservative with regard to cubic feet (meters) than a non-
binding estimate. If the mover offers space reservation service, 
consider purchasing this service for the necessary amount of space plus 
some margin for error. In any case, you would be prudent to 
``prioritize'' your goods in advance of the move so the driver will load 
the more essential items on the first truck if some are left behind.

 If My Mover Sells Liability Insurance Coverage, What Must My Mover Do?

    If your mover provides the service of selling additional liability 
insurance, your mover must follow certain regulations.
    Your mover, its employees, or its agents may sell, offer to sell, or 
procure additional liability insurance coverage for you for loss of or 
damage to your shipment if you release the shipment for transportation 
at a value not exceeding 60 cents per pound ($1.32 per kilogram) per 
article.
    Your mover may offer, sell, or procure any type of insurance policy 
covering loss or damage in excess of its specified liability.
    Your mover must issue you a policy or other appropriate evidence of 
the insurance you purchased. Your mover must provide a copy of the 
policy or other appropriate evidence to you at the time your mover sells 
or procures the insurance. Your mover must issue policies written in 
plain English.
    Your mover must clearly specify the nature and extent of coverage 
under the policy. Your mover's failure to issue you a policy, or other 
appropriate evidence of insurance you purchased, will subject your mover 
to full liability for any claims to recover loss or damage attributed to 
it.
    Your mover's tariff must provide for liability insurance coverage. 
The tariff must also provide for the base transportation charge, 
including its assumption of full liability for the value of the 
shipment. This would offer you a degree of protection in the event your 
mover fails to issue you a policy or other appropriate evidence of 
insurance at the time of purchase.

                      Subpart D--Estimating Charges

Must My Mover Estimate the Transportation and Accessorial Charges for My 
                                  Move?

    We require your mover to prepare a written estimate on every 
shipment transported for you. You are entitled to a copy of the written 
estimate when your mover prepares it. Your mover must provide you a 
written estimate of all charges, including transportation, accessorial, 
and advance charges. Your mover's ``rate quote'' is not an estimate. You 
and your mover must sign the estimate of charges. Your mover must 
provide you with a dated copy of the estimate of charges at the time you 
sign the estimate.
    If the location you are moving from is within a 50-mile radius of 
your mover's (or its agent's) place of business, the estimate that your 
mover provides you must be based on a physical survey of your goods. You 
have the right to waive the requirement for a

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physical survey if you choose, but your waiver must be in the form of a 
written agreement signed by you before your shipment is loaded.
    You should be aware that if you receive an estimate from a household 
goods broker, the mover may not be required to accept the estimate. Be 
sure to obtain a written estimate from a mover who tells you orally that 
it will accept the broker's estimate.
    Your mover must specify the form of payment the mover and its 
delivering agent will honor at delivery. Payment forms may include but 
are not limited to cash, certified check, money order, cashier's check, 
a specific charge card such as American Express\TM\, a specific credit 
card such as Visa\TM\, and your mover's own credit.
    Before loading your household goods, and upon mutual agreement 
between you and your mover, your mover may amend an estimate of charges. 
Your mover may not amend the estimate after loading the shipment.
    A binding estimate is a written agreement made in advance with your 
mover, indicating you and the mover are bound by the charges. It 
guarantees the total cost of the move based upon the quantities and 
services shown on your mover's estimate.
    A non-binding estimate is what your mover believes the total cost 
will be for the move, based upon the estimated weight of the shipment 
and the accessorial services requested. A non-binding estimate is not 
binding on your mover. Your mover will base the final charges upon the 
actual weight of your shipment, the services provided, and its tariff 
provisions in effect. You must be prepared to pay 10 percent more than 
the estimated amount at delivery.
    You must also be prepared to pay at delivery the charges for any 
additional services you requested after the contract was executed 
(charges therefore not included in the estimate) and any charges for 
impracticable operations. Impracticable operations are defined in your 
mover's tariff. You should ask to see the mover's tariff to determine 
what services constitute impracticable operations. Charges for 
impracticable operations due at delivery must not exceed 15 percent of 
all other charges due at delivery.

        How Must My Mover Estimate Charges Under the Regulations?

                            Binding Estimates

    Your mover may charge you for providing a binding estimate. The 
binding estimate must clearly describe the shipment and all services 
provided.
    When you receive a binding estimate, you cannot be required to pay 
any more than the estimated amount at delivery. If you have requested 
the mover provide more services than those included in the estimate, 
your mover will collect the charges for those services when your 
shipment is delivered. However, charges for impracticable operations due 
at delivery must not exceed 15 percent of all other charges due at 
delivery.
    A binding estimate must be in writing, and a copy must be made 
available to you before you move.
    If you agree to a binding estimate, you are responsible for paying 
the charges due by cash, certified check, money order, or cashier's 
check. The charges are due your mover at the time of delivery unless 
your mover agrees, before you move, to extend credit or to accept 
payment by a specific charge card such as American Express\TM\ or a 
specific credit card such as Visa\TM\. If you are unable to pay at the 
time the shipment is delivered, the mover may place your shipment in 
storage at your expense until you pay the charges.
    Other requirements of binding estimates include the following eight 
elements:
    (1) Your mover must retain a copy of each binding estimate as an 
attachment to the bill of lading.
    (2) Your mover must clearly indicate upon each binding estimate's 
face that the estimate is binding upon you and your mover. Each binding 
estimate must also clearly indicate on its face that the charges shown 
are the charges to be assessed for only those services specifically 
identified in the estimate.
    (3) Your mover must clearly describe binding estimate shipments and 
all services to be provided.
    (4) If, before loading your shipment, your mover believes you are 
tendering additional household goods or are requiring additional 
services not identified in the binding estimate, and you and your mover 
cannot reach an agreement, your mover may refuse to service the 
shipment. If your mover agrees to service the shipment, your mover must 
do one of the following three things:
    (a) Reaffirm the binding estimate.
    (b) Negotiate a revised written binding estimate listing the 
additional household goods or services.
    (c) Add an attachment to the contract, in writing, stating you both 
will consider the original binding estimate as a non-binding estimate. 
Before you agree to this option, read the information about non-binding 
estimates in the next section of this pamphlet. Accepting a non-binding 
estimate may seriously affect how much you may pay for the entire move.
    (5) Once your mover loads your shipment, your mover's failure to 
execute a new binding estimate or to agree with you to treat the 
original estimate as a non-binding estimate signifies it has reaffirmed 
the original binding estimate. Your mover may not collect more than the 
amount of the original binding estimate, except as provided in the next 
two paragraphs.

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    (6) If you request additional services after the bill of lading is 
executed, your mover will collect the charges for these additional 
services when your shipment is delivered.
    (7) If your mover must perform impracticable operations, as defined 
in its tariff, to accomplish the delivery of your shipment, your mover 
will collect the charges for these services when your shipment is 
delivered. However, charges for impracticable operations collected at 
delivery must not exceed 15 percent of all other charges due at 
delivery. Any remaining impracticable operations charges must be paid 
within 30 days after you receive the mover's freight bill.
    (8) Failure of your mover to relinquish possession of a shipment 
upon your offer to pay the binding estimate amount plus the cost of any 
additional services you requested after the bill of lading was executed 
and any charges for impracticable operations (not to exceed 15 percent 
of all other charges due at delivery) constitutes your mover's failure 
to transport a shipment with ``reasonable dispatch'' and subjects your 
mover to cargo delay claims pursuant to 49 CFR part 370.

                          Non-Binding Estimates

    Your mover is not permitted to charge you for giving a non-binding 
estimate.
    A non-binding estimate is not a bid or contract. Your mover provides 
it to you to give you a general idea of the cost of the move, but it 
does not bind your mover to the estimated cost. You should expect the 
final cost to be more than the estimate. The actual cost will be in 
accordance with your mover's tariffs. Federal law requires your mover to 
collect the charges shown in its tariffs, regardless of what your mover 
writes in its non-binding estimates. That is why it is important to ask 
for copies of the applicable portions of the mover's tariffs before 
deciding on a mover. The charges contained in movers' tariffs are 
essentially the same for shipments of equal weight moving equal 
distances. Even if you obtain different non-binding estimates from 
different movers, you must pay only the amount specified in your mover's 
tariff. Therefore, a non-binding estimate may differ substantially from 
the amount that you ultimately will pay.
    You must be prepared to pay 10 percent more than the estimated 
amount at the time of delivery. Every collect-on-delivery shipper must 
have available 110 percent of the estimate at the time of delivery. If 
you order additional services from your mover after the mover issues the 
bill of lading, the mover will collect the charges for those additional 
services when your shipment is delivered.
    Non-binding estimates must be in writing and clearly describe the 
shipment and all services provided. Any time a mover provides such an 
estimate, the amount of the charges estimated must be on the order for 
service and bill of lading related to your shipment. When you are given 
a non-binding estimate, do not sign or accept the order for service or 
bill of lading unless the mover enters the amount estimated on each form 
it prepares.
    Other requirements of non-binding estimates include the following 10 
elements:
    (1) Your mover must provide reasonably accurate non-binding 
estimates based upon the estimated weight of the shipment and services 
required.
    (2) Your mover must explain to you that all charges on shipments 
moved under non-binding estimates will be those appearing in your 
mover's tariffs applicable to the transportation. If your mover provides 
a non-binding estimate of approximate costs, your mover is not bound by 
such an estimate.
    (3) Your mover must furnish non-binding estimates without charge and 
in writing to you.
    (4) Your mover must retain a copy of each non-binding estimate as an 
attachment to the bill of lading.
    (5) Your mover must clearly indicate on the face of a non-binding 
estimate that the estimate is not binding upon your mover and the 
charges shown are the approximate charges to be assessed for the 
services identified in the estimate.
    (6) Your mover must clearly describe on the face of a non-binding 
estimate the entire shipment and all services to be provided.
    (7) If, before loading your shipment, your mover believes you are 
tendering additional household goods or requiring additional services 
not identified in the non-binding estimate, and you and your mover 
cannot reach an agreement, your mover may refuse to service the 
shipment. If your mover agrees to service the shipment, your mover must 
do one of the following two things:
    (a) Reaffirm the non-binding estimate.
    (b) Negotiate a revised written non-binding estimate listing the 
additional household goods or services.
    (8) Once your mover loads your shipment, your mover's failure to 
execute a new estimate signifies it has reaffirmed the original non-
binding estimate. Your mover may not collect more than 110 percent of 
the amount of this estimate at destination for the services and 
quantities shown on the estimate.
    (9) If you request additional services after the bill of lading is 
executed, your mover will collect the charges for these additional 
services when your shipment is delivered.
    (10) If your mover must perform impracticable operations, as defined 
in its tariff, to accomplish the delivery of your shipment, your mover 
will collect the charges for these services when your shipment is 
delivered. However, charges for impracticable operations collected at 
delivery must not exceed 15 percent of all other charges due at 
delivery. Any remaining impracticable operations

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charges must be paid within 30 days after you receive the mover's 
freight bill.
    If your mover furnishes a non-binding estimate, your mover must 
enter the estimated charges upon the order for service and the bill of 
lading. Your mover must retain a record of all estimates of charges for 
each move performed for at least one year from the date your mover made 
the estimate.

What Payment Arrangements Must My Mover Have in Place To Secure Delivery 
                     of My Household Goods Shipment?

    If your total bill is 110 percent or less of the non-binding 
estimate, the mover can require payment in full upon delivery. If the 
bill exceeds 110 percent of the non-binding estimate, your mover must 
relinquish possession of the shipment at the time of delivery upon 
payment of 110 percent of the estimated amount, and defer billing for 
the remaining charges for at least 30 days.
    There are two exceptions to this requirement. Your mover may demand 
at the time of delivery payment of the charges for any additional 
services you requested after the bill of lading was executed (charges 
therefore not included in the estimate). Your mover may also require you 
to pay charges for impracticable operations at the time of delivery, 
provided these do not exceed 15 percent of all other charges due at 
delivery. Impracticable operations charges that exceed 15 percent of all 
other charges due at delivery are due within 30 days after you receive 
the mover's freight bill. Your mover should have specified its 
acceptable form of payment on the estimate, order for service, and bill 
of lading.
    Your mover's failure to relinquish possession of a shipment after 
you offer to pay 110 percent of the estimated charges, plus the charges 
for any additional services you requested after the bill of lading was 
executed (charges therefore not included in the estimate) and any 
charges for impracticable operations (not to exceed 15 percent of all 
other charges due at delivery), constitutes its failure to transport the 
shipment with ``reasonable dispatch'' and subjects your mover to your 
cargo delay claims under 49 CFR part 370.

           Subpart E--Pickup of My Shipment of Household Goods

              Must My Mover Write Up an Order for Service?

    We require your mover to prepare an order for service on every 
shipment transported for you. You are entitled to a copy of the order 
for service when your mover prepares it.
    The order for service is not a contract. Should you cancel or delay 
your move or decide not to use the mover, you should promptly cancel the 
order.
    If you or your mover change any agreed-upon dates for pickup or 
delivery of your shipment, or agree to any change in the non-binding 
estimate, your mover may prepare a written change to the order for 
service. The written change must be attached to the order for service.
    The order for service must contain the following 15 elements:
    (1) Your mover's name and address and the U.S. DOT number assigned 
to your mover.
    (2) Your name, address and, if available, telephone number(s).
    (3) The name, address, and telephone number of the delivering 
mover's office or agent at or nearest to the destination of your 
shipment.
    (4) A telephone number where you may contact your mover or its 
designated agent.
    (5) One of the following three dates and times:
    (i) The agreed-upon pickup date and agreed delivery date of your 
move.
    (ii) The agreed-upon period(s) of the entire move.
    (iii) If your mover is transporting the shipment on a guaranteed 
service basis, the guaranteed dates or periods of time for pickup, 
transportation, and delivery. Your mover must enter any penalty or per 
diem requirements upon the agreement under this item.
    (6) The names and addresses of any other motor carriers, when known, 
that will participate in interline transportation of the shipment.
    (7) The form of payment your mover will honor at delivery. The 
payment information must be the same as was entered on the estimate.
    (8) The terms and conditions for payment of the total charges, 
including notice of any minimum charges.
    (9) The maximum amount your mover will demand, based on the mover's 
estimate, for you to obtain possession of the shipment at the time of 
delivery, when the household goods are transported on a collect-on-
delivery basis.
    (10) If not provided in the Bill of Lading, the Surface 
Transportation Board's required released rates valuation statement, and 
the charges, if any, for optional valuation coverage. The STB's required 
released rates may be increased annually by your mover based on the U.S. 
Department of Commerce's Cost of Living Adjustment.
    (11) A complete description of any special or accessorial services 
ordered and minimum weight or volume charges applicable to the shipment.
    (12) Any identification or registration number your mover assigns to 
the shipment.
    (13) For non-binding estimated charges, your mover's reasonably 
accurate estimate of the amount of the charges, the method of payment of 
total charges, and the maximum

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amount (110 percent of the non-binding estimate) your mover will demand 
at the time of delivery for you to obtain possession of the shipment.
    (14) For binding estimated charges, the amount of charges your mover 
will demand based upon the binding estimate and the terms of payment 
under the estimate.
    (15) An indication of whether you request notification of the 
charges before delivery. You must provide your mover with the telephone 
number(s) or address(es) where your mover will transmit such 
communications.
    You and your mover must sign the order for service. Your mover must 
provide a dated copy of the order for service to you at the time your 
mover signs the order. Your mover must provide you the opportunity to 
rescind the order for service without any penalty for a 3-day period 
after you sign the order for service, if you scheduled the shipment to 
be loaded more than 3 days after you sign the order.
    Your mover should provide you with documents that are as complete as 
possible, and with all charges clearly identified. However, as a 
practical matter, your mover usually cannot give you a complete bill of 
lading before transporting your goods. This is both because the shipment 
cannot be weighed until it is in transit and because other charges for 
service, such as unpacking, storage-in-transit, and various destination 
charges, cannot be determined until the shipment reaches its 
destination.
    Therefore, your mover can require you to sign a partially complete 
bill of lading if it contains all relevant information except the actual 
shipment weight and any other information necessary to determine the 
final charges for all services provided. Signing the bill of lading 
allows you to choose the valuation option, request special services, 
and/or acknowledge the terms and conditions of released valuation.
    Your mover also may provide you, strictly for informational 
purposes, with blank or incomplete documents pertaining to the move. 
Before loading your shipment, and upon mutual agreement between you and 
your mover, your mover may amend an order for service. Your mover must 
retain records of an order for service it transported for at least one 
year from the date your mover wrote the order.
    Your mover must inform you, before or at the time of loading, if the 
mover reasonably expects a special or accessorial service is necessary 
to transport a shipment safely. Your mover must refuse to accept the 
shipment when your mover reasonably expects a special or accessorial 
service is necessary to transport a shipment safely but you refuse to 
purchase the special or accessorial service. Your mover must make a 
written note if you refuse any special or accessorial services that your 
mover reasonably expects to be necessary.

          Must My Mover Write Up an Inventory of the Shipment?

    Yes. Your mover must prepare an inventory of your shipment before or 
at the time of loading. If your mover's driver fails to prepare an 
inventory, you should write a detailed inventory of your shipment 
listing any damage or unusual wear to any items. The purpose is to make 
a record of the existence and condition of each item.
    After completing the inventory, you should sign each page and ask 
the mover's driver to sign each page. Before you sign it, it is 
important you make sure that the inventory lists every item in the 
shipment and that the entries regarding the condition of each item are 
correct. You have the right to note any disagreement. If an item is 
missing or damaged when your mover delivers the shipment, your 
subsequent ability to dispute the items lost or damaged may depend upon 
your notations.
    You should retain a copy of the inventory. Your mover may keep the 
original if the driver prepared it. If your mover's driver completed an 
inventory, the mover must attach the complete inventory to the bill of 
lading as an integral part of the bill of lading.

                Must My Mover Write Up a Bill of Lading?

    The bill of lading is the contract between you and the mover. The 
mover is required by law to prepare a bill of lading for every shipment 
it transports. The information on a bill of lading is required to be the 
same information shown on the order for service. The driver who loads 
your shipment must give you a copy of the bill of lading before or at 
the time of loading your furniture and other household goods.
    It is your responsibility to read the bill of lading before you 
accept it. It is your responsibility to understand the bill of lading 
before you sign it. If you do not agree with something on the bill of 
lading, do not sign it until you are satisfied it is correct.
    The bill of lading requires the mover to provide the service you 
have requested. You must pay the charges set forth in the bill of 
lading. The bill of lading is an important document. Do not lose or 
misplace your copy. Have it available until your shipment is delivered, 
all charges are paid, and all claims, if any, are settled.
    A bill of lading must include the following 14 elements:
    (1) Your mover's name and address, or the name and address of the 
motor carrier issuing the bill of lading.

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    (2) The names and addresses of any other motor carriers, when known, 
who will participate in the transportation of the shipment.
    (3) The name, address, and telephone number of the office of the 
motor carrier you must contact in relation to the transportation of the 
shipment.
    (4) The form of payment your mover will honor at delivery. The 
payment information must be the same that was entered on the estimate 
and order for service.
    (5) When your mover transports your shipment under a collect-on-
delivery basis, your name, address, and telephone number where the mover 
will notify you about the charges.
    (6) For non-guaranteed service, the agreed-upon date or period of 
time for pickup of the shipment and the agreed-upon date or period of 
time for the delivery of the shipment. The agreed-upon dates or periods 
for pickup and delivery entered upon the bill of lading must conform to 
the agreed-upon dates or periods of time for pickup and delivery entered 
upon the order for service or a proper amendment to the order for 
service.
    (7) For guaranteed service, the dates for pickup and delivery and 
any penalty or per diem entitlements due you under the agreement.
    (8) The actual date of pickup.
    (9) The identification number(s) of the vehicle(s) in which your 
mover loads your shipment.
    (10) The terms and conditions for payment of the total charges 
including notice of any minimum charges.
    (11) The maximum amount your mover, based on the estimate, will 
demand from you at the time of delivery for you to obtain possession of 
your shipment, when your mover transports under a collect-on-delivery 
basis.
    (12) If not provided for in the Order for Service, the Surface 
Transportation Board's required released rates valuation statement, and 
the charges, if any, for optional valuation coverage. The Board's 
required released rates may be increased annually by your mover based on 
the U.S. Department of Commerce's Cost of Living Adjustment.
    (13) Evidence of any insurance coverage sold to or procured for you 
from an independent insurer, including the amount of the premium for 
such insurance.
    (14) Each attachment to the bill of lading. Each attachment is an 
integral part of the bill of lading contract. If not provided to you 
elsewhere by the mover, the following three items must be added as 
attachments:
    (i) The binding or non-binding estimate.
    (ii) The order for service.
    (iii) The inventory.
    A copy of the bill of lading must accompany your shipment at all 
times while it is in the possession of your mover or its agent(s). When 
your mover loads the shipment on a vehicle for transportation, the bill 
of lading must be in the possession of the driver responsible for the 
shipment. Your mover must retain bills of lading for shipments it 
transported for at least one year from the date your mover created the 
bill of lading.

  Should I Reach an Agreement With My Mover About Pickup and Delivery 
                                 Times?

    You and your mover should reach an agreement for pickup and delivery 
times. It is your responsibility to determine on what date, or between 
what dates, you need to have the shipment picked up and on what date, or 
between what dates, you require delivery. It is your mover's 
responsibility to tell you if it can provide service on or between those 
dates, or, if not, on what other dates it can provide the service.
    In the process of reaching an agreement with your mover, you may 
find it necessary to alter your moving and travel plans if no mover can 
provide service on the specific dates you desire.
    Do not agree to have your shipment picked up or delivered ''as soon 
as possible.'' The dates or periods you and your mover agree upon should 
be definite.
    Once an agreement is reached, your mover must enter those dates upon 
the order for service and the bill of lading.
    Once your goods are loaded, your mover is contractually bound to 
provide the service described in the bill of lading. Your mover's only 
defense for not providing the service on the dates called for is the 
defense of force majeure. This is a legal term. It means that when 
circumstances change, were not foreseen, and are beyond the control of 
your mover, preventing your mover from performing the service agreed to 
in the bill of lading, your mover is not responsible for damages 
resulting from its nonperformance.
    This may occur when you do not inform your mover of the exact 
delivery requirements. For example, because of restrictions trucks must 
follow at your new location, the mover may not be able to take its truck 
down the street of your residence and may need to shuttle the shipment 
using another type of vehicle.

           Must My Mover Determine the Weight of My Shipment?

    Generally, yes. If your mover transports your household goods on a 
non-binding estimate, your mover must determine the actual weight of the 
shipment in order to calculate its lawful tariff charge. If your mover 
provided a binding estimate and has loaded your shipment without 
claiming you have added additional items or services, the weight of the 
shipment will not affect the charges you will pay.
    Your mover must determine the weight of your shipment before 
requesting you to pay

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for any charges dependent upon your shipment's weight.
    Most movers have a minimum weight charge for transporting a 
shipment. Generally, the minimum is the charge for transporting a 
shipment of at least 3,000 pounds (1,362 kilograms).
    If your shipment appears to weigh less than the mover's minimum 
weight, your mover must advise you on the order for service of the 
minimum cost before transporting your shipment. Should your mover fail 
to advise you of the minimum charges and your shipment is less than the 
minimum weight, your mover must base your final charges upon the actual 
weight, not upon the minimum weight.

         How Must My Mover Determine the Weight of My Shipment?

    Your mover must weigh your shipment upon a certified scale.
    The weight of your shipment must be obtained by using one of two 
methods:
    Origin Weighing--Your mover may weigh your shipment in the city or 
area where it loads your shipment. If it elects this option, the driver 
must weigh the truck before coming to your residence. This is called the 
tare weight. At the time of this first weighing, the truck may already 
be partially loaded with another shipment(s). This will not affect the 
weight of your shipment. The truck should also contain the pads, 
dollies, hand trucks, ramps, and other equipment normally used in the 
transportation of household goods shipments.
    After loading, the driver will weigh the truck again to obtain the 
loaded weight, called the gross weight. The net weight of your shipment 
is then obtained by subtracting the tare weight before loading from the 
gross weight.
    Gross Weight less the Tare Weight Before Loading = Net Weight.
    Destination Weighing (Also called Back Weighing)--The mover is also 
permitted to determine the weight of your shipment at the destination 
after it delivers your load. Weighing your shipment at destination 
instead of at origin will not affect the accuracy of the shipment 
weight. The most important difference is that your mover will not 
determine the exact charges on your shipment before it is unloaded.
    Destination weighing is done in reverse of origin weighing. After 
arriving in the city or area where you are moving, the driver will weigh 
the truck. Your shipment will still be on the truck. Your mover will 
determine the gross weight before coming to your new residence to 
unload. After unloading your shipment, the driver will again weigh the 
truck to obtain the tare weight. The net weight of your shipment will 
then be obtained by subtracting the tare weight after delivery from the 
gross weight.
    Gross Weight less the Tare Weight After Delivery = Net Weight.
    At the time of both weighings, your mover's truck must have 
installed or loaded all pads, dollies, hand trucks, ramps, and other 
equipment required in the transportation of your shipment. The driver 
and other persons must be off the vehicle at the time of both weighings. 
The fuel tanks on the vehicle must be full at the time of each weighing; 
or, if the fuel tanks are not full, your mover must not add fuel between 
the two weighings when the tare weighing is the first weighing 
performed.
    Your mover may detach the trailer of a tractor-trailer vehicle 
combination from the tractor and have the trailer weighed separately at 
each weighing, provided the length of the scale platform is adequate to 
accommodate and support the entire trailer.
    Your mover may use an alternative method to weigh your shipment if 
it weighs 3,000 pounds (1,362 kilograms) or less. The only alternative 
method allowed is weighing the shipment upon a platform or warehouse 
certified scale before loading your shipment for transportation or after 
unloading.
    Your mover must use the net weight of shipments transported in large 
containers, such as ocean or railroad containers. Your mover will 
calculate the difference between the tare weight of the container 
(including all pads, blocking and bracing used in the transportation of 
your shipment) and the gross weight of the container with your shipment 
loaded in the container.
    You have the right, and your mover must inform you of your right, to 
observe all weighings of your shipment. Your mover must tell you where 
and when each weighing will occur. Your mover must give you a reasonable 
opportunity to be present to observe the weighings.
    You may waive your right to observe any weighing or reweighing. This 
does not affect any of your other rights under Federal law.
    Your mover may request that you waive your right to have a shipment 
weighed upon a certified scale. Your mover may want to weigh the 
shipment upon a trailer's on-board, non-certified scale. You should 
demand your right to have a certified scale used. The use of a non-
certified scale may cause you to pay a higher final bill for your move, 
if the non-certified scale does not accurately weigh your shipment. 
Remember that certified scales are inspected and approved for accuracy 
by a government inspection or licensing agency. Non-certified scales are 
not inspected and approved for accuracy by a government inspection or 
licensing agency.
    Your mover must obtain a separate weight ticket for each weighing. 
The weigh master must sign each weight ticket. Each weight ticket must 
contain the following six items:

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    (1) The complete name and location of the scale.
    (2) The date of each weighing.
    (3) Identification of the weight entries as being the tare, gross, 
or net weights.
    (4) The company or mover identification of the vehicle.
    (5) Your last name as it appears on the Bill of Lading.
    (6) Your mover's shipment registration or Bill of Lading number.
    Your mover must retain the original weight ticket or tickets 
relating to the determination of the weight of your shipment as part of 
its file on your shipment. When both weighings are performed on the same 
scale, one weight ticket may be used to record both weighings.
    Your mover must present all freight bills with true copies of all 
weight tickets. If your mover does not present its freight bill with all 
weight tickets, your mover is in violation of Federal law.
    Before the driver actually begins unloading your shipment weighed at 
origin and after your mover informs you of the billing weight and total 
charges, you have the right to demand a reweigh of your shipment. If you 
believe the weight is not accurate, you have the right to request your 
mover reweigh your shipment before unloading.
    You have the right, and your mover must inform you of your right, to 
observe all reweighings of your shipment. Your mover must tell you where 
and when each reweighing will occur. Your mover must give you a 
reasonable opportunity to be present to observe the reweighing. You may 
waive your right to observe any reweighing; however, you must waive that 
right in writing. You may send the written waiver via fax or e-mail, as 
well as by overnight courier or certified mail, return receipt 
requested. This does not affect any of your other rights under Federal 
law.
    Your mover is prohibited from charging you for the reweighing. If 
the weight of your shipment at the time of the reweigh is different from 
the weight determined at origin, your mover must recompute the charges 
based upon the reweigh weight.
    Before requesting a reweigh, you may find it to your advantage to 
estimate the weight of your shipment using the following three-step 
method:
    1. Count the number of items in your shipment. Usually there will be 
either 30 or 40 items listed on each page of the inventory. For example, 
if there are 30 items per page and your inventory consists of four 
complete pages and a fifth page with 15 items listed, the total number 
of items will be 135. If an automobile is listed on the inventory, do 
not include this item in the count of the total items.
    2. Subtract the weight of any automobile included in your shipment 
from the total weight of the shipment. If the automobile was not weighed 
separately, its weight can be found on its title or license receipt.
    3. Divide the number of items in your shipment into the weight. If 
the average weight resulting from this exercise ranges between 35 and 45 
pounds (16 and 20 kilograms) per article, it is unlikely a reweigh will 
prove beneficial to you. In fact, it could result in your paying higher 
charges.
    Experience has shown that the average shipment of household goods 
will weigh about 40 pounds (18 kilograms) per item. If a shipment 
contains a large number of heavy items, such as cartons of books, boxes 
of tools or heavier than average furniture, the average weight per item 
may be 45 pounds or more (20 kilograms or more).

What Must My Mover Do if I Want To Know the Actual Weight or Charges for 
                      My Shipment Before Delivery?

    If you request notification of the actual weight and charges of your 
shipment, your mover must comply with your request if it is moving your 
goods on a collect-on-delivery basis. This requirement is conditioned 
upon your supplying your mover with an address or telephone number where 
you will receive the communication. Your mover must make its 
notification by telephone; fax transmissions; e-mail; overnight courier; 
certified mail, return receipt requested; or in person.
    You must receive the mover's notification at least one full 24-hour 
day before its scheduled delivery, excluding Saturdays, Sundays, and 
Federal holidays.
    Your mover may disregard this 24-hour notification requirement on 
shipments subject to one of the following three things:
    (1) Back weigh (when your mover weighs your shipment at its 
destination).
    (2) Pickup and delivery encompassing two consecutive weekdays, if 
you agree.
    (3) Maximum payment amounts at time of delivery of 110 percent of 
the estimated charges, if you agree.

                Subpart F--Transportation of My Shipment

        Must My Mover Transport the Shipment in a Timely Manner?

    Yes, your mover must transport your household goods in a timely 
manner. This is also known as ''reasonable dispatch service.'' Your 
mover must provide reasonable dispatch service to you, except for 
transportation on the basis of guaranteed delivery dates.
    When your mover is unable to perform either the pickup or delivery 
of your shipment on the dates or during the periods of time specified in 
the order for service, your mover must notify you of the delay, at the 
mover's expense. As soon as the delay becomes apparent to your mover, it 
must give you notification it will be unable to provide the service

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specified in the terms of the order for service. Your mover may notify 
you of the delay in any of the following ways: By telephone; fax 
transmissions; e-mail; overnight courier; certified mail, return receipt 
requested; or in person.
    When your mover notifies you of a delay, it also must advise you of 
the dates or periods of time it may be able to pick up and/or deliver 
the shipment. Your mover must consider your needs in its advisement. 
Your mover must prepare a written record of the date, time, and manner 
of its notification.
    Your mover must prepare a written record of its amended date or 
period for delivery. Your mover must retain these records as a part of 
its file on your shipment. The retention period is one year from the 
date of notification. Your mover must furnish a copy of the notification 
to you either by first class mail or in person, if you request a copy of 
the notice.
    Your mover must tender your shipment for delivery on the agreed-upon 
delivery date or within the period specified on the bill of lading. Upon 
your request or concurrence, your mover may deliver your shipment on 
another day.
    The establishment of a delayed pickup or delivery date does not 
relieve your mover from liability for damages resulting from your 
mover's failure to provide service as agreed. However, when your mover 
notifies you of alternate delivery dates, it is your responsibility to 
be available to accept delivery on the dates specified. If you are not 
available and are not willing to accept delivery, your mover has the 
right to place your shipment in storage at your expense or hold the 
shipment on its truck and assess additional charges.
    If after the pickup of your shipment, you request your mover to 
change the delivery date, most movers will agree to do so provided your 
request will not result in unreasonable delay to its equipment or 
interfere with another customer's move. However, your mover is under no 
obligation to consent to amended delivery dates. Your mover has the 
right to place your shipment in storage at your expense if you are 
unwilling or unable to accept delivery on the date agreed to in the bill 
of lading.
    If your mover fails to pick up and deliver your shipment on the date 
entered on the bill of lading and you have expenses you otherwise would 
not have had, you may be able to recover those expenses from your mover. 
This is what is called an inconvenience or delay claim. Should your 
mover refuse to honor such a claim and you continue to believe you are 
entitled to be paid damages, you may take your mover to court under 49 
U.S.C. 14706. The Federal Motor Carrier Safety Administration (FMCSA) 
has no authority to order your mover to pay such claims.
    While we hope your mover delivers your shipment in a timely manner, 
you should consider the possibility your shipment may be delayed, and 
find out what payment you can expect if a mover delays service through 
its own fault, before you agree with the mover to transport your 
shipment.

What Must My Mover Do if It Is Able To Deliver My Shipment More Than 24 
               Hours Before I Am Able To Accept Delivery?

    At your mover's discretion, it may place your shipment in storage. 
This will be under its own account and at its own expense in a warehouse 
located in proximity to the destination of your shipment. Your mover may 
do this if you fail to request or concur with an early delivery date, 
and your mover is able to deliver your shipment more than 24 hours 
before your specified date or the first day of your specified period.
    If your mover exercises this option, your mover must immediately 
notify you of the name and address of the warehouse where your mover 
places your shipment. Your mover must make and keep a record of its 
notification as a part of its shipment records. Your mover has full 
responsibility for the shipment under the terms and conditions of the 
bill of lading. Your mover is responsible for the charges for 
redelivery, handling, and storage until it makes final delivery. Your 
mover may limit its responsibility to the agreed-upon delivery date or 
the first day of the period of delivery as specified in the bill of 
lading.

  What Must My Mover Do for Me When I Store Household Goods in Transit?

    If you request your mover to hold your household goods in storage-
in-transit and the storage period is about to expire, your mover must 
notify you, in writing, about the four following items:
    (1) The date when storage-in-transit will convert to permanent 
storage.
    (2) The existence of a 9-month period after the date of conversion 
to permanent storage, during which you may file claims against your 
mover for loss or damage occurring to your goods while in transit or 
during the storage-in-transit period.
    (3) The date your mover's liability will end.
    (4) Your property will be subject to the rules, regulations, and 
charges of the warehouseman.
    Your mover must make this notification at least 10 days before the 
expiration date of one of the following two periods of time:
    (1) The specified period of time when your mover is to hold your 
goods in storage.
    (2) The maximum period of time provided in its tariff for storage-
in-transit.

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    Your mover must notify you by facsimile transmission; overnight 
courier; e-mail; or certified mail, return receipt requested.
    If your mover holds your household goods in storage-in-transit for 
less than 10 days, your mover must notify you, one day before the 
storage-in-transit period expires, of the same information specified 
above.
    Your mover must maintain a record of all notifications to you as 
part of the records of your shipment. Under the applicable tariff 
provisions regarding storage-in-transit, your mover's failure or refusal 
to notify you will automatically extend your mover's liability until the 
end of the day following the date when your mover actually gives you 
notice.

                   Subpart G--Delivery of My Shipment

May My Mover Ask Me To Sign a Delivery Receipt Purporting To Release It 
                             From Liability?

    At the time of delivery, your mover will expect you to sign a 
receipt for your shipment. Normally, you will sign each page of your 
mover's copy of the inventory.
    Your mover's delivery receipt or shipping document must not contain 
any language purporting to release or discharge it or its agents from 
liability.
    Your mover may include a statement about your receipt of your 
property in apparent good condition, except as noted on the shipping 
documents.
    Do not sign the delivery receipt if it contains any language 
purporting to release or discharge your mover or its agents from 
liability. Strike out such language before signing, or refuse delivery 
if the driver or mover refuses to provide a proper delivery receipt.

What Is the Maximum Collect-on-Delivery Amount My Mover May Demand I Pay 
                        at the Time of Delivery?

    On a binding estimate, the maximum amount is the exact estimate of 
the charges, plus the charges for any additional services you requested 
after the bill of lading was executed (charges therefore not included in 
the estimate) and any charges for impracticable operations (not to 
exceed 15 percent of all other charges due at delivery). Your mover must 
specify on the estimate, order for service, and bill of lading the form 
of payment acceptable to it (for example, a certified check).
    On a non-binding estimate, the maximum amount is 110 percent of the 
approximate costs, plus the charges for any additional services you 
requested after the bill of lading was executed (charges therefore not 
included in the estimate) and any charges for impracticable operations 
(not to exceed 15 percent of all other charges due at delivery). Your 
mover must specify on the estimate, order for service, and bill of 
lading the form of payment acceptable to it (for example, cash).

If My Shipment Is Transported on More Than One Vehicle, What Charges May 
                      My Mover Collect at Delivery?

    Although all movers try to move each shipment on one truck, it 
becomes necessary at times to divide a shipment among two or more 
trucks. This frequently occurs when an automobile is included in the 
shipment and transported on a specially designed vehicle. When this 
occurs, your transportation charges are the same as if the entire 
shipment moved on one truck.
    If your shipment is divided for transportation on two or more 
trucks, the mover may require payment for each portion as it is 
delivered.
    Your mover may delay the collection of all the charges until the 
entire shipment is delivered, at its discretion, not yours. When you 
order your move, you should ask the mover about its policies in this 
regard.

If My Shipment Is Partially Lost or Destroyed, What Charges May My Mover 
                          Collect at Delivery?

    Movers customarily make every effort to avoid losing, damaging, or 
destroying any of your items while your shipment is in their possession 
for transportation. However, despite the precautions taken, articles are 
sometimes lost or destroyed during the move.
    In addition to any money you may recover from your mover to 
compensate for lost or destroyed articles, you also may recover the 
transportation charges represented by the portion of the shipment lost 
or destroyed. Your mover may apply this paragraph only to the 
transportation of household goods. Your mover may disregard this 
paragraph if loss or destruction was due to an act or omission by you. 
Your mover must require you to pay any specific valuation charge due.
    For example, if you pack a hazardous material (i.e., gasoline, 
aerosol cans, motor oil, etc.) and your shipment is partially lost or 
destroyed by fire in storage or in the mover's trailer, your mover may 
require you to pay for the full cost of transportation.
    If your shipment is partially lost or destroyed, your mover is 
permitted to collect at delivery only a prorated percentage based on the 
freight charges for the goods actually delivered, plus the charges for 
any additional services you requested after the bill of lading was 
executed and any charges for impracticable operations. Charges for 
impracticable operations collected at delivery must not exceed 15 
percent of the total charges your mover collects at delivery.
    Your mover is forbidden from collecting, or requiring you to pay, 
any freight charges

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(including any charges for accessorial or terminal services) when your 
household goods shipment is totally lost or destroyed in transit, unless 
the loss or destruction was due to an act or omission by you.

 How Must My Mover Calculate the Charges Applicable to the Shipment as 
                               Delivered?

    Your mover must multiply the percentage equal to the weight of the 
portion of the shipment delivered to the total weight of the shipment 
times the total charges applicable to the shipment tendered by you to 
obtain the total charges it must collect from you.
    If your mover's computed charges exceed the charges otherwise 
applicable to the shipment as delivered, the lesser of those charges 
must apply. This will apply only to the transportation of your household 
goods.
    Your mover must require you to pay any specific valuation charge 
due.
    Your mover may not refund the freight charges if the loss or 
destruction was due to an act or omission by you. For example, you fail 
to disclose to your mover that your shipment contains perishable live 
plants. Your mover may disregard its loss or destruction of your plants 
because you failed to inform your mover you were transporting live 
plants.
    Your mover must determine, at its own expense, the proportion of the 
shipment, based on actual or constructive weight, not lost or destroyed 
in transit.
    Your rights are in addition to, and not in lieu of, any other rights 
you may have with respect to your shipment of household goods your mover 
lost or destroyed, or partially lost or destroyed, in transit. This 
applies whether or not you have exercised your rights provided above.

                    Subpart H--Collection of Charges

               Does This Subpart Apply to Most Shipments?

    It applies to all shipments of household goods that involve a 
balance due freight or expense bill or are shipped on credit.

      How Must My Mover Present Its Freight or Expense Bill to Me?

    At the time of payment of transportation charges, your mover must 
give you a freight bill identifying the service provided and the charge 
for each service. It is customary for most movers to use a copy of the 
bill of lading as a freight bill; however, some movers use an entirely 
separate document for this purpose.
    Except in those instances where a shipment is moving on a binding 
estimate, the freight bill must specifically identify each service 
performed, the rate or charge per service performed, and the total 
charges for each service. If this information is not on the freight 
bill, do not accept or pay the freight bill.
    Movers' tariffs customarily specify that freight charges must be 
paid in cash, by certified check, or by cashier's check. When this 
requirement exists, the mover will not accept personal checks. At the 
time you order your move, you should ask your mover about the form of 
payment your mover requires.
    Some movers permit payment of freight charges by use of a charge or 
credit card. However, do not assume your nationally recognized charge, 
credit, or debit card will be acceptable for payment. Ask your mover at 
the time you request an estimate. Your mover must specify the form of 
payment it will accept at delivery.
    If you do not pay the transportation charges at the time of 
delivery, your mover has the right, under the bill of lading, to refuse 
to deliver your goods. The mover may place them in storage, at your 
expense, until the charges are paid. However, the mover must deliver 
your goods upon payment of 100 percent of a binding estimate, plus the 
charges for any additional services you requested after the bill of 
lading was executed (charges therefore not included in the estimate) and 
any charges for impracticable operations (not to exceed 15 percent of 
all other charges due at delivery).
    If, before payment of the transportation charges, you discover an 
error in the charges, you should attempt to correct the error with the 
driver or the mover's local agent, or by contacting the mover's main 
office. If an error is discovered after payment, you should write the 
mover (the address will be on the freight bill) explaining the error, 
and request a refund.
    Movers customarily check all shipment files and freight bills after 
a move has been completed to make sure the charges were accurate. If an 
overcharge is found, you should be notified and a refund should be made. 
If an undercharge occurred, you may be billed for the additional charges 
due.
    On ``to be prepaid'' shipments, your mover must present its freight 
bill for all transportation charges within 15 days of the date your 
mover received the shipment. This period excludes Saturdays, Sundays, 
and Federal holidays.
    On ``collect'' shipments, your mover must present its freight bill 
for all transportation charges on the date of delivery, or, at its 
discretion, within 15 days, calculated from the date the shipment was 
delivered at your destination. This period excludes Saturdays, Sundays, 
and Federal holidays. (Bills for additional charges based on the weight 
of the shipment will be presented 30 days after delivery; charges for 
impracticable operations not paid at delivery are due within 30 days of 
the invoice.) Your mover's freight bills and accompanying written 
notices must state the following five items:

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    (1) Penalties for late payment.
    (2) Credit time limits.
    (3) Service or finance charges.
    (4) Collection expense charges.
    (5) Discount terms.
    If your mover extends credit to you, freight bills or a separate 
written notice accompanying a freight bill or a group of freight bills 
presented at one time must state, ``You may be subject to tariff 
penalties for failure to timely pay freight charges,'' or a similar 
statement. Your mover must state on its freight bills or other notices 
when it expects payment and any applicable service charges, collection 
expense charges, and discount terms.
    When your mover lacks sufficient information to compute its tariff 
charges at the time of billing, your mover must present its freight bill 
for payment within 15 days following the day when sufficient information 
becomes available. This period excludes Saturdays, Sundays, and Federal 
holidays.
    Your mover must not extend additional credit to you if you fail to 
furnish sufficient information to your mover. Your mover must have 
sufficient information to render a freight bill within a reasonable time 
after shipment.
    When your mover presents freight bills by mail, it must deem the 
time of mailing to be the time of presentation of the bills. The term 
``freight bills,'' as used in this paragraph, includes both paper 
documents and billing by use of electronic media such as computer tapes, 
disks, or the Internet (e-mail).
    When you mail acceptable checks or drafts in payment of freight 
charges, your mover must deem the act of mailing the payment within the 
credit period to be the proper collection of the tariff charges within 
the credit period for the purposes of Federal law. In case of a dispute 
as to the date of mailing, your mover must accept the postmark as the 
date of mailing.

If I Forced My Mover To Relinquish a Collect-on-Delivery Shipment Before 
   the Payment of ALL Charges, How Must My Mover Collect the Balance?

    On ``collect-on-delivery'' shipments, your mover must present its 
freight bill for transportation charges within 15 days, calculated from 
the date the shipment was delivered at your destination. This period 
excludes Saturdays, Sundays, and Federal holidays. (Bills for additional 
charges based on the weight of the shipment will be presented 30 days 
after delivery; charges for impracticable operations not paid at 
delivery are due within 30 days of the invoice.)

  What Actions May My Mover Take To Collect From Me the Charges in Its 
                              Freight Bill?

    Your mover must present a freight bill within 15 days (excluding 
Saturdays, Sundays, and Federal holidays) of the date of delivery of a 
shipment at your destination. (Bills for additional charges based on the 
weight of the shipment will be presented 30 days after delivery; charges 
for impracticable operations not paid at delivery are due within 30 days 
of the invoice.)
    Your mover must provide in its tariffs the following three things:
    (1) A provision indicating its credit period is a total of 30 
calendar days.
    (2) A provision indicating you will be assessed a service charge by 
your mover equal to one percent of the amount of the freight bill, 
subject to a $20 minimum charge, for the extension of the credit period. 
The mover will assess the service charge for each 30-day extension that 
the charges go unpaid.
    (3) A provision that your mover must deny credit to you if you fail 
to pay a duly presented freight bill within the 30-day period. Your 
mover may grant credit to you, at its discretion, when you satisfy your 
mover's condition that you will pay all future freight bills duly 
presented. Your mover must ensure all your payments of freight bills are 
strictly in accordance with Federal rules and regulations for the 
settlement of its rates and charges.

Do I Have a Right To File a Claim To Recover Money for Property My Mover 
                            Lost or Damaged?

    Should your move result in the loss of or damage to any of your 
property, you have the right to file a claim with your mover to recover 
money for such loss or damage.
    You should file a claim as soon as possible. If you fail to file a 
claim within 9 months, your mover may not be required to accept your 
claim. If you institute a court action and win, you may be entitled to 
attorney's fees if you submitted your claim to the carrier within 120 
days after delivery or the scheduled date of delivery (whichever is 
later), and (1) the mover did not advise you during the claim settlement 
process of the availability of arbitration as a means for resolving the 
dispute; (2) a decision was not rendered through arbitration within the 
time required by law; or (3) you are instituting a court action to 
enforce an arbitration decision with which the mover has not complied.
    While the Federal Government maintains regulations governing the 
processing of loss and damage claims (49 CFR part 370), it cannot 
resolve those claims. If you cannot settle a claim with the mover, you 
may file a civil action to recover your claim in court under 49 U.S.C. 
14706. You may obtain the name

[[Page 141]]

and address of the mover's agent for service of legal process in your 
State by contacting the Federal Motor Carrier Safety Administration. You 
may also obtain the name of a process agent via the Internet. Go to 
http.//www.fmcsa.dot.gov then click on Licensing and Insurance (L&I) 
section.
    In addition, your mover must participate in an arbitration program. 
As described earlier in this pamphlet, an arbitration program gives you 
the opportunity to settle, through a neutral arbitrator, certain types 
of unresolved loss or damage claims and disputes regarding charges that 
were billed to you by your mover after your shipment was delivered. You 
may find submitting your claim to arbitration under such a program to be 
a less expensive and more convenient way to seek recovery of your claim. 
Your mover is required to provide you with information about its 
arbitration program before you move. If your mover fails to do so, ask 
the mover for details of its program.

               Subpart I--Resolving Disputes With My Mover

            What May I Do To Resolve Disputes With My Mover?

The Federal Motor Carrier Safety Administration Does Not Help You Settle 
                      Your Dispute With Your Mover

    Generally, you must resolve your own loss and damage disputes with 
your mover. You enter a contractual arrangement with your mover. You are 
bound by each of the following three things:
    (1) The terms and conditions you negotiated before your move.
    (2) The terms and conditions you accepted when you signed the bill 
of lading.
    (3) The terms and conditions you accepted when you signed for 
delivery of your goods.
    You have the right to take your mover to court. We require your 
mover to offer you arbitration to settle your disputes with it.

[72 FR 36775, July 5, 2007, as amended at 77 FR 59824, Oct. 1, 2012]



PART 376_LEASE AND INTERCHANGE OF VEHICLES--Table of Contents



             Subpart A_General Applicability and Definitions

Sec.
376.1 Applicability.
376.2 Definitions.

                      Subpart B_Leasing Regulations

376.11 General leasing requirements.
376.12 Written lease requirements.

            Subpart C_Exemptions for the Leasing Regulations

376.21 General exemptions.
376.22 Exemption for private carrier leasing and leasing between 
          authorized carriers.
376.26 Exemption for leases between authorized carriers and their 
          agents.

                    Subpart D_Interchange Regulations

376.31 Interchange of equipment.

                 Subpart E_Private Carriers and Shippers

376.42 Lease of equipment by regulated carriers.

    Authority: 49 U.S.C. 13301 and 14102; and 49 CFR 1.87.

    Source: 44 FR 4681, Jan. 23, 1979, unless otherwise noted. 
Redesignated at 61 FR 54707, Oct. 21, 1996.

    Editorial Note: Nomenclature changes to part 376 appear at 66 FR 
49871, Oct. 1, 2001.



             Subpart A_General Applicability and Definitions



Sec.376.1  Applicability.

    The regulations in this part apply to the following actions by motor 
carriers registered with the Secretary to transport property:
    (a) The leasing of equipment with which to perform transportation 
regulated by the Secretary.
    (b) The leasing of equipment to motor private carrier or shippers.
    (c) The interchange of equipment between motor common carriers in 
the performance of transportation regulated by the Secretary.

[44 FR 4681, Jan. 23, 1979. Redesignated at 61 FR 54707, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



Sec.376.2  Definitions.

    (a) Authorized carrier. A person or persons authorized to engage in 
the transportation of property as a motor carrier under the provisions 
of 49 U.S.C. 13901 and 13902.
    (b) Equipment. A motor vehicle, straight truck, tractor, 
semitrailer, full trailer, any combination of these and any other type 
of equipment used by authorized carriers in the transportation of 
property for hire.
    (c) Interchange. The receipt of equipment by one motor common 
carrier of

[[Page 142]]

property from another such carrier, at a point which both carriers are 
authorized to serve, with which to continue a through movement.
    (d) Owner. A person (1) to whom title to equipment has been issued, 
or (2) who, without title, has the right to exclusive use of equipment, 
or (3) who has lawful possession of equipment registered and licensed in 
any State in the name of that person.
    (e) Lease. A contract or arrangement in which the owner grants the 
use of equipment, with or without driver, for a specified period to an 
authorized carrier for use in the regulated transportation of property, 
in exchange for compensation.
    (f) Lessor. In a lease, the party granting the use of equipment, 
with or without driver, to another.
    (g) Lessee. In a lease, the party acquiring the use of equipment 
with or without driver, from another.
    (h) Sublease. A written contract in which the lessee grants the use 
of leased equipment, with or without driver, to another.
    (i) Addendum. A supplement to an existing lease which is not 
effective until signed by the lessor and lessee.
    (j) Private carrier. A person, other than a motor carrier, 
transporting property by motor vehicle in interstate or foreign commerce 
when (1) the person is the owner, lessee, or bailee of the property 
being transported; and (2) the property is being transported for sale, 
lease, rent, or bailment, or to further a commercial enterprise.
    (k) Shipper. A person who sends or receives property which is 
transported in interstate or foreign commerce.
    (l) Escrow fund. Money deposited by the lessor with either a third 
party or the lessee to guarantee performance, to repay advances, to 
cover repair expenses, to handle claims, to handle license and State 
permit costs, and for any other purposes mutually agreed upon by the 
lessor and lessee.
    (m) Detention. The holding by a consignor or consignee of a trailer, 
with or without power unit and driver, beyond the free time allocated 
for the shipment, under circumstances not attributable to the 
performance of the carrier.

[44 FR 4681, Jan. 23, 1979, as amended at 49 FR 47850, Dec. 7, 1984; 62 
FR 15424, Apr. 1, 1997]



                      Subpart B_Leasing Regulations



Sec.376.11  General leasing requirements.

    Other than through the interchange of equipment as set forth in 
Sec.376.31, and under the exemptions set forth in subpart C of these 
regulations, the authorized carrier may perform authorized 
transportation in equipment it does not own only under the following 
conditions:
    (a) Lease. There shall be a written lease granting the use of the 
equipment and meeting the requirements contained in Sec.376.12.
    (b) Receipts for equipment. Receipts, specifically identifying the 
equipment to be leased and stating the date and time of day possession 
is transferred, shall be given as follows:
    (1) When possession of the equipment is taken by the authorized 
carrier, it shall give the owner of the equipment a receipt. The receipt 
identified in this section may be transmitted by mail, telegraph, or 
other similar means of communication.
    (2) When possession of the equipment by the authorized carrier ends, 
a receipt shall be given in accordance with the terms of the lease 
agreement if the lease agreement requires a receipt.
    (3) Authorized representatives of the carrier and the owner may take 
possession of leased equipment and give and receive the receipts 
required under this subsection.
    (c) Identification of equipment. The authorized carrier acquiring 
the use of equipment under this section shall identify the equipment as 
being in its service as follows:
    (1) During the period of the lease, the carrier shall identify the 
equipment in accordance with the FMCSA's requirements in 49 CFR part 390 
of this chapter (Identification of Vehicles).
    (2) Unless a copy of the lease is carried on the equipment, the 
authorized carrier shall keep a statement with the equipment during the 
period of the lease certifying that the equipment is being operated by 
it. The statement

[[Page 143]]

shall also specify the name of the owner, the date and length of the 
lease, any restrictions in the lease relative to the commodities to be 
transported, and the address at which the original lease is kept by the 
authorized carrier. This statement shall be prepared by the authorized 
carrier or its authorized representative.
    (d) Records of equipment. The authorized carrier using equipment 
leased under this section shall keep records of the equipment as 
follows:
    (1) The authorized carrier shall prepare and keep documents covering 
each trip for which the equipment is used in its service. These 
documents shall contain the name and address of the owner of the 
equipment, the point of origin, the time and date of departure, and the 
point of final destination. Also, the authorized carrier shall carry 
papers with the leased equipment during its operation containing this 
information and identifying the lading and clearly indicating that the 
transportation is under its responsibility. These papers shall be 
preserved by the authorized carrier as part of its transportation 
records. Leases which contain the information required by the provisions 
in this paragraph may be used and retained instead of such documents or 
papers. As to lease agreements negotiated under a master lease, this 
provision is complied with by having a copy of a master lease in the 
unit of equipment in question and where the balance of documentation 
called for by this paragraph is included in the freight documents 
prepared for the specific movement.
    (2) [Reserved]

[44 FR 4681, Jan. 23, 1979, as amended at 49 FR 47269, Dec. 3, 1984; 49 
FR 47850, Dec. 7, 1984; 50 FR 24649, June 12, 1985; 51 FR 37406, Oct. 
22, 1986; 62 FR 15424, Apr. 1, 1997; 78 FR 58479, Sept. 24, 2013]



Sec.376.12  Written lease requirements.

    Except as provided in the exemptions set forth in subpart C of this 
part, the written lease required under Sec.376.11(a) shall contain the 
following provisions. The required lease provisions shall be adhered to 
and performed by the authorized carrier.
    (a) Parties. The lease shall be made between the authorized carrier 
and the owner of the equipment. The lease shall be signed by these 
parties or by their authorized representatives.
    (b) Duration to be specific. The lease shall specify the time and 
date or the circumstances on which the lease begins and ends. These 
times or circumstances shall coincide with the times for the giving of 
receipts required by Sec.376.11(b).
    (c) Exclusive possession and responsibilities. (1) The lease shall 
provide that the authorized carrier lessee shall have exclusive 
possession, control, and use of the equipment for the duration of the 
lease. The lease shall further provide that the authorized carrier 
lessee shall assume complete responsibility for the operation of the 
equipment for the duration of the lease.
    (2) Provision may be made in the lease for considering the 
authorized carrier lessee as the owner of the equipment for the purpose 
of subleasing it under these regulations to other authorized carriers 
during the lease.
    (3) When an authorized carrier of household goods leases equipment 
for the transportation of household goods, as defined by the Secretary, 
the parties may provide in the lease that the provisions required by 
paragraph (c)(1) of this section apply only during the time the 
equipment is operated by or for the authorized carrier lessee.
    (4) Nothing in the provisions required by paragraph (c)(1) of this 
section is intended to affect whether the lessor or driver provided by 
the lessor is an independent contractor or an employee of the authorized 
carrier lessee. An independent contractor relationship may exist when a 
carrier lessee complies with 49 U.S.C. 14102 and attendant 
administrative requirements.
    (d) Compensation to be specified. The amount to be paid by the 
authorized carrier for equipment and driver's services shall be clearly 
stated on the face of the lease or in an addendum which is attached to 
the lease. Such lease or addendum shall be delivered to the lessor prior 
to the commencement of any trip in the service of the authorized 
carrier. An authorized representative of the lessor may accept these 
documents. The amount to be paid may be expressed as a percentage of 
gross revenue, a flat rate per mile, a variable

[[Page 144]]

rate depending on the direction traveled or the type of commodity 
transported, or by any other method of compensation mutually agreed upon 
by the parties to the lease. The compensation stated on the lease or in 
the attached addendum may apply to equipment and driver's services 
either separately or as a combined amount.
    (e) Items specified in lease. The lease shall clearly specify which 
party is responsible for removing identification devices from the 
equipment upon the termination of the lease and when and how these 
devices, other than those painted directly on the equipment, will be 
returned to the carrier. The lease shall clearly specify the manner in 
which a receipt will be given to the authorized carrier by the equipment 
owner when the latter retakes possession of the equipment upon 
termination of the lease agreement, if a receipt is required at all by 
the lease. The lease shall clearly specify the responsibility of each 
party with respect to the cost of fuel, fuel taxes, empty mileage, 
permits of all types, tolls, ferries, detention and accessorial 
services, base plates and licenses, and any unused portions of such 
items. The lease shall clearly specify who is responsible for loading 
and unloading the property onto and from the motor vehicle, and the 
compensation, if any, to be paid for this service. Except when the 
violation results from the acts or omissions of the lessor, the 
authorized carrier lessee shall assume the risks and costs of fines for 
overweight and oversize trailers when the trailers are pre-loaded, 
sealed, or the load is containerized, or when the trailer or lading is 
otherwise outside of the lessor's control, and for improperly permitted 
overdimension and overweight loads and shall reimburse the lessor for 
any fines paid by the lessor. If the authorized carrier is authorized to 
receive a refund or a credit for base plates purchased by the lessor 
from, and issued in the name of, the authorized carrier, or if the base 
plates are authorized to be sold by the authorized carrier to another 
lessor the authorized carrier shall refund to the initial lessor on 
whose behalf the base plate was first obtained a prorated share of the 
amount received.
    (f) Payment period. The lease shall specify that payment to the 
lessor shall be made within 15 days after submission of the necessary 
delivery documents and other paperwork concerning a trip in the service 
of the authorized carrier. The paperwork required before the lessor can 
receive payment is limited to log books required by the Department of 
Transportation and those documents necessary for the authorized carrier 
to secure payment from the shipper. In addition, the lease may provide 
that, upon termination of the lease agreement, as a condition precedent 
to payment, the lessor shall remove all identification devices of the 
authorized carrier and, except in the case of identification painted 
directly on equipment, return them to the carrier. If the identification 
device has been lost or stolen, a letter certifying its removal will 
satisfy this requirement. Until this requirement is complied with, the 
carrier may withhold final payment. The authorized carrier may require 
the submission of additional documents by the lessor but not as a 
prerequisite to payment. Payment to the lessor shall not be made 
contingent upon submission of a bill of lading to which no exceptions 
have been taken. The authorized carrier shall not set time limits for 
the submission by the lessor of required delivery documents and other 
paperwork.
    (g) Copies of freight bill or other form of freight documentation. 
When a lessor's revenue is based on a percentage of the gross revenue 
for a shipment, the lease must specify that the authorized carrier will 
give the lessor, before or at the time of settlement, a copy of the 
rated freight bill or a computer-generated document containing the same 
information, or, in the case of contract carriers, any other form of 
documentation actually used for a shipment containing the same 
information that would appear on a rated freight bill. When a computer-
generated document is provided, the lease will permit lessor to view, 
during normal business hours, a copy of any actual document underlying 
the computer-generated document. Regardless of the method of 
compensation, the lease must permit lessor to examine copies of the 
carrier's tariff or, in the case of contract

[[Page 145]]

carriers, other documents from which rates and charges are computed, 
provided that where rates and charges are computed from a contract of a 
contract carrier, only those portions of the contract containing the 
same information that would appear on a rated freight bill need be 
disclosed. The authorized carrier may delete the names of shippers and 
consignees shown on the freight bill or other form of documentation.
    (h) Charge-back items. The lease shall clearly specify all items 
that may be initially paid for by the authorized carrier, but ultimately 
deducted from the lessor's compensation at the time of payment or 
settlement, together with a recitation as to how the amount of each item 
is to be computed. The lessor shall be afforded copies of those 
documents which are necessary to determine the validity of the charge.
    (i) Products, equipment, or services from authorized carrier. The 
lease shall specify that the lessor is not required to purchase or rent 
any products, equipment, or services from the authorized carrier as a 
condition of entering into the lease arrangement. The lease shall 
specify the terms of any agreement in which the lessor is a party to an 
equipment purchase or rental contract which gives the authorized carrier 
the right to make deductions from the lessor's compensation for purchase 
or rental payments.
    (j) Insurance. (1) The lease shall clearly specify the legal 
obligation of the authorized carrier to maintain insurance coverage for 
the protection of the public pursuant to FMCSA regulations under 49 
U.S.C. 13906. The lease shall further specify who is responsible for 
providing any other insurance coverage for the operation of the leased 
equipment, such as bobtail insurance. If the authorized carrier will 
make a charge back to the lessor for any of this insurance, the lease 
shall specify the amount which will be charged-back to the lessor.
    (2) If the lessor purchases any insurance coverage for the operation 
of the leased equipment from or through the authorized carrier, the 
lease shall specify that the authorized carrier will provide the lessor 
with a copy of each policy upon the request of the lessor. Also, where 
the lessor purchases such insurance in this manner, the lease shall 
specify that the authorized carrier will provide the lessor with a 
certificate of insurance for each such policy. Each certificate of 
insurance shall include the name of the insurer, the policy number, the 
effective dates of the policy, the amounts and types of coverage, the 
cost to the lessor for each type of coverage, and the deductible amount 
for each type of coverage for which the lessor may be liable.
    (3) The lease shall clearly specify the conditions under which 
deductions for cargo or property damage may be made from the lessor's 
settlements. The lease shall further specify that the authorized carrier 
must provide the lessor with a written explanation and itemization of 
any deductions for cargo or property damage made from any compensation 
of money owed to the lessor. The written explanation and itemization 
must be delivered to the lessor before any deductions are made.
    (k) Escrow funds. If escrow funds are required, the lease shall 
specify:
    (1) The amount of any escrow fund or performance bond required to be 
paid by the lessor to the authorized carrier or to a third party.
    (2) The specific items to which the escrow fund can be applied.
    (3) That while the escrow fund is under the control of the 
authorized carrier, the authorized carrier shall provide an accounting 
to the lessor of any transactions involving such fund. The carrier shall 
perform this accounting in one of the following ways:
    (i) By clearly indicating in individual settlement sheets the amount 
and description of any deduction or addition made to the escrow fund; or
    (ii) By providing a separate accounting to the lessor of any 
transactions involving the escrow fund. This separate accounting shall 
be done on a monthly basis.
    (4) The right of the lessor to demand to have an accounting for 
transactions involving the escrow fund at any time.
    (5) That while the escrow fund is under the control of the carrier, 
the carrier shall pay interest on the escrow fund on at least a 
quarterly basis. For purposes of calculating the balance of the escrow 
fund on which interest must

[[Page 146]]

be paid, the carrier may deduct a sum equal to the average advance made 
to the individual lessor during the period of time for which interest is 
paid. The interest rate shall be established on the date the interest 
period begins and shall be at least equal to the average yield or 
equivalent coupon issue yield on 91-day, 13-week Treasury bills as 
established in the weekly auction by the Department of Treasury.
    (6) The conditions the lessor must fulfill in order to have the 
escrow fund returned. At the time of the return of the escrow fund, the 
authorized carrier may deduct monies for those obligations incurred by 
the lessor which have been previously specified in the lease, and shall 
provide a final accounting to the lessor of all such final deductions 
made to the escrow fund. The lease shall further specify that in no 
event shall the escrow fund be returned later than 45 days from the date 
of termination.
    (l) Copies of the lease. An original and two copies of each lease 
shall be signed by the parties. The authorized carrier shall keep the 
original and shall place a copy of the lease on the equipment during the 
period of the lease unless a statement as provided for in Sec.
376.11(c)(2) is carried on the equipment instead. The owner of the 
equipment shall keep the other copy of the lease.
    (m) This paragraph applies to owners who are not agents but whose 
equipment is used by an agent of an authorized carrier in providing 
transportation on behalf of that authorized carrier. In this situation, 
the authorized carrier is obligated to ensure that these owners receive 
all the rights and benefits due an owner under the leasing regulations, 
especially those set forth in paragraphs (d)-(k) of this section. This 
is true regardless of whether the lease for the equipment is directly 
between the authorized carrier and its agent rather than directly 
between the authorized carrier and each of these owners. The lease 
between an authorized carrier and its agent shall specify this 
obligation.

[44 FR 4681, Jan. 23, 1979, as amended at 45 FR 13092, Feb. 28, 1980; 47 
FR 28398, June 30, 1982; 47 FR 51140, Nov. 12, 1982; 47 FR 54083, Dec. 
1, 1982; 49 FR 47851, Dec. 7, 1984; 51 FR 37406, 37407, Oct. 22, 1986; 
52 FR 2412, Jan. 22, 1987; 57 FR 32905, July 24, 1992; 62 FR 15424, Apr. 
1, 1997]



            Subpart C_Exemptions for the Leasing Regulations



Sec.376.21  General exemptions.

    Except for Sec.376.11(c) which requires the identification of 
equipment, the leasing regulations in this part shall not apply to:
    (a) Equipment used in substituted motor-for-rail transportation of 
railroad freight moving between points that are railroad stations and on 
railroad billing.
    (b) Equipment used in transportation performed exclusively within 
any commercial zone as defined by the Secretary.
    (c) Equipment leased without drivers from a person who is 
principally engaged in such a business.
    (d) Any type of trailer not drawn by a power unit leased from the 
same lessor.

[44 FR 4681, Jan. 23, 1979. Redesignated at 61 FR 54707, Oct. 21, 1996, 
as amended at 62 FR 15424, Apr. 1, 1997]



Sec.376.22  Exemption for private carrier leasing and leasing between
authorized carriers.

    Regardless of the leasing regulations set forth in this part, an 
authorized carrier may lease equipment to or from another authorized 
carrier, or a private carrier may lease equipment to an authorized 
carrier under the following conditions:
    (a) The identification of equipment requirements in Sec.376.11(c) 
must be complied with;
    (b) The lessor must own the equipment or hold it under a lease;
    (c) There must be a written agreement between the authorized 
carriers or between the private carrier and authorized carrier, as the 
case may be, concerning the equipment as follows:
    (1) It must be signed by the parties or their authorized 
representatives.

[[Page 147]]

    (2) It must provide that control and responsibility for the 
operation of the equipment shall be that of the lessee from the time 
possession is taken by the lessee and the receipt required under Sec.
376.11(b) is given to the lessor until:
    (i) Possession of the equipment is returned to the lessor and the 
receipt required under Sec.376.11(b) is received by the authorized 
carrier; or
    (ii) In the event that the agreement is between authorized carriers, 
possession of the equipment is returned to the lessor or given to 
another authorized carrier in an interchange of equipment.
    (3) A copy of the agreement must be carried in the equipment while 
it is in the possession of the lessee.
    (4) Nothing in this section shall prohibit the use, by authorized 
carriers, private carriers, and all other entities conducting lease 
operations pursuant to this section, of a master lease if a copy of that 
master lease is carried in the equipment while it is in the possession 
of the lessee, and if the master lease complies with the provisions of 
this section and receipts are exchanged in accordance with Sec.
376.11(b), and if records of the equipment are prepared and maintained 
in accordance with Sec.376.11(d).
    (d) Authorized and private carriers under common ownership and 
control may lease equipment to each other under this section without 
complying with the requirements of paragraph (a) of this section 
pertaining to identification of equipment, and the requirements of 
paragraphs (c)(2) and (c)(4) of this section pertaining to equipment 
receipts. The leasing of equipment between such carriers will be subject 
to all other requirements of this section.

[49 FR 9570, Mar. 14, 1984, as amended at 49 FR 47269, Dec. 3, 1984; 49 
FR 47851, Dec. 7, 1984; 62 FR 15424, Apr. 1, 1997; 63 FR 40838, July 31, 
1998]



Sec.376.26  Exemption for leases between authorized carriers and their agents.

    The leasing regulations set forth in Sec.376.12(e) through (l) do 
not apply to leases between authorized carriers and their agents.

[47 FR 28398, June 30, 1982, as amended at 62 FR 15424, Apr. 1, 1997]



                    Subpart D_Interchange Regulations



Sec.376.31  Interchange of equipment.

    Authorized common carriers may interchange equipment under the 
following conditions:
    (a) Interchange agreement. There shall be a written contract, lease, 
or other arrangement providing for the interchange and specifically 
describing the equipment to be interchanged. This written agreement 
shall set forth the specific points of interchange, how the equipment is 
to be used, and the compensation for such use. The interchange agreement 
shall be signed by the parties or by their authorized representatives.
    (b) Operating authority. The carriers participating in the 
interchange shall be registered with the Secretary to provide the 
transportation of the commodities at the point where the physical 
exchange occurs.
    (c) Through bills of lading. The traffic transported in interchange 
service must move on through bills of lading issued by the originating 
carrier. The rates charged and the revenues collected must be accounted 
for in the same manner as if there had been no interchange. Charges for 
the use of the interchanged equipment shall be kept separate from 
divisions of the joint rates or the proportions of such rates accruing 
to the carriers by the application of local or proportional rates.
    (d) Identification of equipment. The authorized common carrier 
receiving the equipment shall identify equipment operated by it in 
interchange service as follows:
    (1) The authorized common carrier shall identify power units in 
accordance with the FMCSA's requirements in 49 CFR part 390 of this 
chapter (Identification of Vehicles). Before giving up possession of the 
equipment, the carrier shall remove all identification showing it as the 
operating carrier.
    (2) Unless a copy of the interchange agreement is carried on the 
equipment,

[[Page 148]]

the authorized common carrier shall carry a statement with each vehicle 
during interchange service certifying that it is operating the 
equipment. The statement shall also identify the equipment by company or 
State registration number and shall show the specific point of 
interchange, the date and time it assumes responsibility for the 
equipment, and the use to be made of the equipment. This statement shall 
be signed by the parties to the interchange agreement or their 
authorized representatives. The requirements of this paragraph shall not 
apply where the equipment to be operated in interchange service consists 
only of trailers or semitrailers.
    (3) Authorized carriers under common ownership and control may 
interchange equipment with each other without complying with the 
requirements of paragraph (d)(1) of this section pertaining to removal 
of identification from equipment.
    (e) Connecting carriers considered as owner--An authorized carrier 
receiving equipment in connection with a through movement shall be 
considered to the owner of the equipment for the purpose of leasing the 
equipment to other authorized carriers in furtherance of the movement to 
destination or the return of the equipment after the movement is 
completed.

[44 FR 4681, Jan. 23, 1979. Redesignated at 61 FR 54707, Oct. 21, 1996, 
as amended at 62 FR 15424, Apr. 1, 1997; 63 FR 40838, July 31, 1998]



                 Subpart E_Private Carriers and Shippers



Sec.376.42  Lease of equipment by regulated carriers.

    Authorized carriers may lease equipment and drivers from private 
carriers, for periods of less than 30 days, in the manner set forth in 
Sec.376.22.

[49 FR 9570, Mar. 14, 1984, as amended at 51 FR 37034, Oct. 17, 1986; 62 
FR 15424, Apr. 1, 1997]



PART 377_PAYMENT OF TRANSPORTATION CHARGES--Table of Contents



                 Subpart A_Handling of C.O.D. Shipments

Sec.
377.101 Applicability.
377.103 Tariff requirements.
377.105 Collection and remittance.

  Subpart B_Extension of Credit to Shippers by Motor Common Carriers, 
      Water Common Carriers, and Household Goods Freight Forwarders

377.201 Scope.
377.203 Extension of credit to shippers.
377.205 Presentation of freight bills.
377.207 Effect of mailing freight bills or payments.
377.209 Additional charges.
377.211 Computation of time.
377.213-377.215 [Reserved]
377.217 Interline settlement of revenues.

    Authority: 49 U.S.C. 13101, 13301, 13701, 13702, 13706, 13707, and 
14101; and 49 CFR 1.87.

    Editorial Note: Nomenclature changes to part 377 appear at 66 FR 
49871, Oct. 1, 2001.



                 Subpart A_Handling of C.O.D. Shipments

    Source: 32 FR 20050, Dec. 20, 1967, unless otherwise noted. 
Redesignated at 61 FR 54708, Oct. 21, 1996.



Sec.377.101  Applicability.

    The rules and regulations in this part apply to the transportation 
by motor vehicle of c.o.d. shipments by all common carriers of property 
subject to 49 U.S.C. 13702, except such transportation which is 
auxiliary to or supplemental of transportation by railroad and performed 
on railroad bills of lading, and except such transportation which is 
performed for freight forwarders and on freight forwarder bills of 
lading.

[32 FR 20050, Dec. 20, 1967. Redesignated at 61 FR 54708, Oct. 21, 1996, 
as amended at 62 FR 15424, Apr. 1, 1997]



Sec.377.103  Tariff requirements.

    No common carrier of property subject to the provisions of 49 U.S.C. 
13702, except as otherwise provided in Sec.377.101, shall render any 
c.o.d. service unless such carrier has published, posted and filed 
tariffs which contain the rates, charges and rules governing such 
service, which rules shall conform to the regulations in this part.

[32 FR 20050, Dec. 20, 1967. Redesignated at 61 FR 54708, Oct. 21, 1996, 
as amended at 62 FR 15424, Apr. 1, 1997]

[[Page 149]]



Sec.377.105  Collection and remittance.

    Every common carrier of property subject to 49 U.S.C. 13702, except 
as otherwise provided in Sec.377.101, which chooses to provide c.o.d. 
service may publish and maintain, or cause to be published and 
maintained for its account, a tariff or tariffs which set forth 
nondiscriminatory rules governing c.o.d. service and the collection and 
remittance of c.o.d. funds. Alternatively, any carrier that provides 
c.o.d. service, but does not wish to publish and maintain, or cause to 
be published and maintained, its own nondiscriminatory tariff, may adopt 
a rule requiring remittance of each c.o.d. collection directly to the 
consignor or other person designated by the consignor as payee within 
fifteen (15) days after delivery of the c.o.d. shipment to the 
consignee.

[52 FR 45966, Dec. 3, 1987, as amended at 62 FR 15424, Apr. 1, 1997]



  Subpart B_Extension of Credit to Shippers by Motor Common Carriers, 
      Water Common Carriers, and Household Goods Freight Forwarders

    Source: 50 FR 2290, Jan. 16, 1985, unless otherwise noted. 
Redesignated at 61 FR 54709, Oct. 21, 1996.



Sec.377.201  Scope.

    (a) General. These regulations apply to the extension of credit in 
the transportation of property under Federal Motor Carrier Safety 
Administration regulation by motor carriers and household goods freight 
forwarders, except as otherwise provided.
    (b) Exceptions. These regulations do not apply to--
    (1) Contract carriage operations.
    (2) Transportation for--
    (i) The United States or any department, bureau, or agency thereof,
    (ii) Any State, or political subdivision thereof,
    (iii) The District of Columbia.
    (3) Property transportation incidental to passenger operations.

[50 FR 2290, Jan. 16, 1985, as amended at 51 FR 44297, Dec. 9, 1986; 62 
FR 15424, Apr. 1, 1997]



Sec.377.203  Extension of credit to shippers.

    (a) Authorization to extend credit. (1) A carrier that meets the 
requirements in paragraph (a)(2) of this section may--
    (i) Relinquish possession of freight in advance of the payment of 
the tariff charges, and
    (ii) Extend credit in the amount of such charges to those who 
undertake to pay them (such persons are called shippers in this part).
    (2) For such authorization, the carrier shall take reasonable 
actions to assure payment of the tariff charges within the credit 
periods specified--
    (i) In this part, or
    (ii) In tariff provisions published pursuant to the regulations in 
paragraph (d) of this section.
    (b) When the credit period begins. The credit period shall begin on 
the day following presentation of the freight bill.
    (c) Length of credit period. Unless a different credit period has 
been established by tariff publication pursuant to paragraph (d) of this 
section, the credit period is 15 days. It includes Saturdays, Sundays, 
and legal holidays.
    (d) Carriers may establish different credit periods in tariff rules. 
Carriers may publish tariff rules establishing credit periods different 
from those in paragraph (c) of this section. Such credit periods shall 
not be longer than 30 calendar days.
    (e) Service charges. (1) Service charges shall not apply when credit 
is extended and payments are made within the standard credit period. The 
term standard credit period, as used in the preceding sentence, means--
    (i) The credit period prescribed in paragraph (c) of this section, 
or
    (ii) A substitute credit period published in a tariff rule pursuant 
to the authorization in paragraph (d) of this section.
    (2) Carriers may, by tariff rule, extend credit for an additional 
time period, subject if they wish to a service charge for that 
additional time. The combined length of the carrier's standard credit 
period (as defined in paragraph (e)(1) of this section) and its 
additional credit period shall not exceed the 30-day maximum credit 
period prescribed in paragraph (d) of this section. When such a tariff 
rule is in effect,

[[Page 150]]

shippers may elect to postpone payment until the end of the extended 
credit period if, in consideration therefor, they include any published 
service charges when making their payment.
    (3) Carriers may, by tariff rule, establish service charges for 
payments made after the expiration of an authorized credit period. Such 
a rule shall--
    (i) Institute such charges on the day following the last day of an 
authorized credit period, and
    (ii) Notify shippers--
    (A) That its only purpose is to prevent a shipper who does not pay 
on time from having free use of funds due to the carrier,
    (B) That it does not sanction payment delays, and
    (C) That failure to pay within the authorized credit period will, 
despite this provision for such charges, continue to require the 
carrier, before again extending credit, to determine in good faith 
whether the shipper will comply with the credit regulations in the 
future.
    (4) Tariff rules that establish charges pursuant to paragraph (e) 
(2) or (3) of this section may establish minimum charges.
    (f) Discounts. Carriers may, by tariff rule, authorize discounts for 
early freight bill payments when credit is extended.
    (g)(1) Collection expense charges. Carriers may, by tariff rule, 
assess reasonable and certain liquidated damages for all costs incurred 
in the collection of overdue freight charges. Carriers may use one of 
two methods in their tariffs:
    (i) The first method is to assess liquidated damages as a separate 
additional charge to the unpaid freight bill. In doing so, the tariff 
rule shall disclose the exact amount of the charges by stating either a 
dollar or specified percentage amount (or a combination of both) of the 
unpaid freight bill. The tariff shall further specify the time period 
(which shall at least allow for the authorized credit period) within 
which the shipper must pay to avoid such liquidated damages.
    (ii) The second method is to require payment of the full, 
nondiscounted rate instead of the discounted rate otherwise applicable. 
The difference between the discount and the full rate constitutes a 
carrier's liquidated damages for its collection effort. Under this 
method the tariff shall identify the discount rates that are subject to 
the condition precedent and which require the shipper to make payment by 
a date certain. The date certain may not be set to occur by the carrier 
until at least after the expiration of the carrier's authorized credit 
period.
    (2) The damages, the timing of their applicability, and the 
conditions, if any, as provided by the tariff-rule methods allowed under 
paragraphs (g)(1) (i) and (ii) of this section also:
    (i) Shall be clearly described in the tariff rule;
    (ii) Shall be applied without unlawful prejudice and/or unjust 
discrimination between similarly situated shippers and/or consignees;
    (iii) Shall be applied only to the nonpayment of original, separate 
and independent freight bills and shall not apply to aggregate balance-
due claims sought for collection on past shipments by a bankruptcy 
trustee, or any other person or agent;
    (iv) Shall not apply to instances of clear clerical or ministerial 
error such as non-receipt of a carrier's freight bill, or shipper's 
payment check lost in the mail, or carrier mailing of the freight bill 
to the wrong address;
    (v) Shall not apply in any way to a charge for a transportation 
service if the carrier's bill of lading independently provides that the 
shipper is liable for fees incurred by the carrier in the collection of 
freight charges on that same transportation service;
    (vi) shall be applied only after the authorized credit period, and 
when the carrier has issued a revised freight bill or notice of 
imposition of collection expense charges for late payment within 90 days 
after expiration of the authorized credit period.
    (3) As an alternative to the tariff-rule methods allowed under 
paragraphs (g)(1) (i) and (ii) of this section, a carrier may, wholly 
outside of its tariff, assess collection charges though contract terms 
in a bill of lading. By using the carrier and its bill of lading, the 
shipper accepts the bill of lading terms.
    (h) Discrimination prohibited. Tariff rules published pursuant to 
paragraphs

[[Page 151]]

(d), (e), and (f) of this section shall not result in unreasonable 
discrimination among shippers.

[50 FR 2290, Jan. 16, 1985, as amended at 53 FR 6991, Mar. 4, 1988; 54 
FR 30748, July 24, 1989]



Sec.377.205  Presentation of freight bills.

    (a) ``To be prepaid'' shipments. (1) On ``to be prepaid'' shipments, 
the carrier shall present its freight bill for all transportation 
charges within the time period prescribed in paragraph (a)(2) of this 
section, except--
    (i) As noted in paragraph (d) of this section, or
    (ii) As otherwise excepted in this part.
    (2) The time period for a carrier to present its freight bill for 
all transportation charges shall be 7 days, measured from the date the 
carrier received the shipment. This time period does not include 
Saturdays, Sundays, or legal holidays.
    (b) ``Collect'' shipments. (1) On ``collect'' shipments, the carrier 
shall present its freight bill for all transportation charges within the 
time period prescribed in paragraph (b)(2) and of this section, except--
    (i) As noted in paragraph (d) of this section, or
    (ii) As otherwise excepted in this part.
    (2) The time period for a carrier to present its freight bill for 
all transportation charges shall be 7 days, measured from the date the 
shipment was delivered at its destination. This time period does not 
include Saturdays, Sundays, or legal holidays.
    (c) Bills or accompanying written notices shall state penalties for 
late payment, credit time limits and service charge and/or collection 
expense charge and discount terms. When credit is extended, freight 
bills or a separate written notice accompanying a freight bill or a 
group of freight bills presented at one time shall state that ``failure 
timely to pay freight charges may be subject to tariff penalties'' (or a 
statement of similar import). The bills or other notice shall also state 
the time by which payment must be made and any applicable service charge 
and/or collection expense charge and discount terms.
    (d) When the carrier lacks sufficient information to compute tariff 
charges. (1) When information sufficient to enable the carrier to 
compute the tariff charges is not then available to the carrier at its 
billing point, the carrier shall present its freight bill for payment 
within 7 days following the day upon which sufficient information 
becomes available at the billing point. This time period does not 
include Saturdays, Sundays, or legal holidays.
    (2) A carrier shall not extend further credit to any shipper which 
fails to furnish sufficient information to allow the carrier to render a 
freight bill within a reasonable time after the shipment is tendered to 
the origin carrier.
    (3) As used in this paragraph, the term ``shipper'' includes, but is 
not limited to, freight forwarders, and shippers' associations and 
shippers' agents.

[50 FR 2290, Jan. 16, 1985, as amended at 54 FR 30748, July 24, 1989; 62 
FR 15424, Apr. 1, 1997]



Sec.377.207  Effect of mailing freight bills or payments.

    (a) Presentation of freight bills by mail. When carriers present 
freight bills by mail, the time of mailing shall be deemed to be the 
time of presentation of the bills. The term freight bills, as used in 
this paragraph, includes both paper documents and billing by use of 
electronic media such as computer tapes or disks, when the mails are 
used to transmit them.
    (b) Payment by mail. Wnen shippers mail acceptable checks, drafts, 
or money orders in payment of freight charges, the act of mailing them 
within the credit period shall be deemed to be the collection of the 
tariff charges within the credit period for the purposes of the 
regulations in this part.
    (c) Disputes as to date of mailing. In case of dispute as to the 
date of mailing, the postmark shall be accepted as such date.



Sec.377.209  Additional charges.

    When a carrier--
    (a) Has collected the amount of tariff charges represented in a 
freight bill presented by it as the total amount of such charges, and

[[Page 152]]

    (b) Thereafter presents to the shipper another freight bill for 
additional charges--

the carrier may extend credit in the amount of such additional charges 
for a period of 30 calendar days from the date of the presentation of 
the freight bill for the additional charges.



Sec.377.211  Computation of time.

    Time periods involving calendar days shall be calculated pursuant to 
49 CFR 386.32(a).

[50 FR 2290, Jan. 16, 1985. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15424, Apr. 1, 1997]



Sec. Sec.377.213-377.215  [Reserved]



Sec.377.217  Interline settlement of revenues.

    Nothing in this part shall be interpreted as affecting the interline 
settlement of revenues from traffic which is transported over through 
routes composed of lines of common carriers subject to the Secretary's 
jurisdiction under 49 U.S.C. subtitle IV, part B.

[50 FR 2290, Jan. 16, 1985. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15424, Apr. 1, 1997]



PART 378_PROCEDURES GOVERNING THE PROCESSING, INVESTIGATION, AND 
DISPOSITION OF OVERCHARGE, DUPLICATE PAYMENT, OR OVERCOLLECTION
CLAIMS--Table of Contents



Sec.
378.1 Applicability.
378.2 Definitions.
378.3 Filing and processing claims.
378.4 Documentation of claims.
378.5 Investigation of claims.
378.6 Claim records.
378.7 Acknowledgment of claims.
378.8 Disposition of claims.
378.9 Disposition of unidentified payments, overcharges, duplicate 
          payments, and overcollections not supported by claims.

    Authority: 49 U.S.C. 13321, 14101, 14704 and 14705; and 49 CFR 1.87.

    Source: 43 FR 41040, Sept. 14, 1978, unless otherwise noted. 
Redesignated at 61 FR 54707, Oct. 21, 1996.



Sec.378.1  Applicability.

    The regulations set forth in this part govern the processing of 
claims for overcharge, duplicate payment, or overcollection for the 
transportation of property in interstate or foreign commerce by motor 
common carriers and household goods freight forwarders subject to 49 
U.S.C. subtitle IV, part B.

[43 FR 41040, Sept. 14, 1978, as amended at 51 FR 44297, Dec. 9, 1986; 
62 FR 15424, Apr. 1, 1997]



Sec.378.2  Definitions.

    (a) Carrier means a motor common carrier or household goods freight 
forwarder subject to 49 U.S.C. subtitle IV, part B.
    (b) Overcharge means an overcharge as defined in 49 U.S.C. 14704(b). 
It also includes duplicate payments as defined in paragraph (c) of this 
section and overcollections as defined in paragraph (d) of this section 
when a dispute exists between the parties concerning such charges.
    (c) Duplicate payment means two or more payments for transporting 
the same shipment. Where one or more payment is not in the exact amount 
of the applicable tariff rates and charges, refunds shall be made on the 
basis of the excess amount over the applicable tariff rates and charges.
    (d) Overcollection means the receipt by a household goods carrier of 
a payment in excess of the transportation and/or accessorial charges 
applicable to a particular shipment of household goods, as defined in 
part 375 of this chapter, under tariffs lawfully on file with the United 
States Department of Transportation's Surface Transportation Board.
    (e) Unidentified payment means a payment which a carrier has 
received but which the carrier is unable to match with its open accounts 
receivable or otherwise identify as being due for the performance of 
transportation services.
    (f) Claimant means any shipper or receiver, or its authorized agent, 
filing a request with a carrier for the refund of

[[Page 153]]

an overcharge, duplicate payment, or overcollection.

[43 FR 41040, Sept. 14, 1978, as amended at 44 FR 66832, Nov. 21, 1979; 
51 FR 34989, Oct. 1, 1986; 51 FR 44297, Dec. 9, 1986; 62 FR 15424, Apr. 
1, 1997]



Sec.378.3  Filing and processing claims.

    (a) A claim for overcharge, duplicate payment, or overcollection 
shall not be paid unless filed in writing or electronically communicated 
(when agreed to by the carrier and shipper or receiver involved) with 
the carrier that collected the transportation charges. The collecting 
carrier shall be the carrier to process all such claims. When a claim is 
filed with another carrier that participated in the transportation, that 
carrier shall transmit the claim to the collecting carrier within 15 
days after receipt of the claim. If the collecting carrier is unable to 
dispose of the claim for any reason, the claim may be filed with or 
transferred to any participating carrier for final disposition.
    (b) A single claim may include more than one shipment provided the 
claim on each shipment involves:
    (1) The same tariff issue or authority or circumstances,
    (2) Single line service by the same carrier, or
    (3) Service by the same interline carriers.

[43 FR 41040, Sept. 14, 1978, as amended at 47 FR 12804, Mar. 25, 1982]



Sec.378.4  Documentation of claims.

    (a) Claims for overcharge, duplicate payment, or overcollection 
shall be accompanied by sufficient information to allow the carriers to 
conduct an investigation and pay or decline the claim within the time 
limitations set forth in Sec.378.8. Claims shall include the name of 
the claimant, its file number, if any, and the amount of the refund 
sought to be recovered, if known.
    (b) Except when the original freight bill is not a paper document 
but is electronically transmitted, claims for overcharge shall be 
accompanied by the original freight bill. Additional information may 
include, but is not limited to, the following:
    (1) The rate, classification, or commodity description or weight 
claimed to have been applicable.
    (2) Complete tariff authority for the rate, classification, or 
commodity description claimed.
    (3) Freight bill payment information.
    (4) Other documents or data which is believed by claimant to 
substantiate the basis for its claim.
    (c) Claims for duplicate payment and overcollection shall be 
accompanied by the original freight bill(s) for which charges were paid 
(except when the original freight bill is not a paper document but is 
electronically transmitted) and by freight bill payment information.
    (d) Regardless of the provisions of paragraphs (a), (b), and (c) of 
this section, the failure to provide sufficient information and 
documentation to allow a carrier to conduct an investigation and pay or 
decline the claim within the allowable time limitation shall not 
constitute grounds for disallowance of the claim. Rather, the carrier 
shall comply with Sec.378.5(c) to obtain the additional information 
required.
    (e) A carrier shall accept copies instead of the orginal documents 
required to be submitted in this section where the carrier is furnished 
with an agreement entered into by the claimant which indemnifies the 
carrier for subsequent duplicate claims which might be filed and 
supported by the original documents.

[43 FR 41040, Sept. 14, 1978, as amended at 44 FR 4679, Jan. 23, 1979; 
47 FR 12804, Mar. 25, 1982; 62 FR 15424, Apr. 1, 1997]



Sec.378.5  Investigation of claims.

    (a) Upon receipt of a claim, whether written or otherwise, the 
processing carrier shall promptly initiate an investigation and 
establish a file, as required by Sec.378.6.
    (b) If a carrier discovers an overcharge, duplicate payment, or 
overcollection which has not been the subject of a claim, it shall 
promptly initiate an investigation and comply with the provisions in 
Sec.378.9.
    (c) In the event the carrier processing the claim requires 
information or documents in addition to that submitted with the claim, 
the carrier shall

[[Page 154]]

promptly notify the claimant and request the information required. This 
includes notifying the claimant that a written or electronically 
transmitted claim must be filed before the carrier becomes subject to 
the time limits for settling such a claim under Sec.378.8.

[43 FR 41040, Sept. 14, 1978, as amended at 47 FR 12804, Mar. 25, 1982; 
62 FR 15424, 15425, Apr. 1, 1997]



Sec.378.6  Claim records.

    At the time a claim is received the carrier shall create a separate 
file and assign it a successive claim file number and note that number 
on all documents filed in support of the claim and all records and 
correspondence with respect to the claim, including the written or 
electronic acknowledgment of receipt required under Sec.378.7. If 
pertinent to the disposition of the claim, the carrier shall also note 
that number on the shipping order and delivery receipt, if any, covering 
the shipment involved.

[47 FR 12804, Mar. 25, 1982, as amended at 62 FR 15425, Apr. 1, 1997]



Sec.378.7  Acknowledgment of claims.

    Upon receipt of a written or electronically transmitted claim, the 
carrier shall acknowledge its receipt in writing or electronically to 
the claimant within 30 days after the date of receipt except when the 
carrier shall have paid or declined in writing or electronically within 
that period. The carrier shall include the date of receipt in its 
written or electronic claim which shall be placed in the file for that 
claim.

[47 FR 12804, Mar. 25, 1982]



Sec.378.8  Disposition of claims.

    The processing carrier shall pay, decline to pay, or settle each 
written or electronically communicated claim within 60 days after its 
receipt by that carrier, except where the claimant and the carrier agree 
in writing or electronically to a specific extension based upon 
extenuating circumstances. If the carrier declines to pay a claim or 
makes settlement in an amount different from that sought, the carrier 
shall notify the claimant in writing or electronically, of the reason(s) 
for its action, citing tariff authority or other pertinent information 
developed as a result of its investigation.

[47 FR 12804, Mar. 25, 1982]



Sec.378.9  Disposition of unidentified payments, overcharges,
duplicate payments, and overcollections not supported by claims.

    (a)(1) Carriers shall establish procedures for identifying and 
properly applying all unidentified payments. If a carrier does not have 
sufficient information with which properly to apply such a payment, the 
carrier shall notify the payor of the unidentified payment within 60 
days of receipt of the payment and request information which will enable 
it to identify the payment. If the carrier does not receive the 
information requested within 90 days from the date of the notice, the 
carrier may treat the unidentified payment as a payment in fact of 
freight charges owing to it. Following the 90-day period, the regular 
claims procedure under this part shall be applicable.
    (2) Notice shall be in writing and clearly indicate that it is a 
final notice and not a bill. Notice shall include: The check number, 
amount, and date; the payor's name; and any additional basic information 
the carrier is able to provide. The final notice also must inform payor 
that: (i) Applicable regulations allow the carrier to conditionally 
retain the payment as revenue in the absence of a timely response by the 
payor; and (ii) following the 90-day period the regular claims procedure 
shall be applicable.
    (3) Upon a carrier's receipt of information from the payor, the 
carrier shall, within 14 days: (i) Make a complete refund of such funds 
to the payor; or (ii) notify the payor that the information supplied is 
not sufficient to identify the unapplied payment and request additional 
information; or (iii) notify the payor of the carrier's determination 
that such payment was applicable to particular freight charges lawfully 
due the carrier. Where no refund is made by the carrier, the carrier 
shall advise the payor of its right to file a formal claim for refund 
with the carrier in accordance with the regular claims procedure under 
this part.

[[Page 155]]

    (b) When a carrier which participates in a transportation movement, 
but did not collect the transporation charges, finds that an overpayment 
has been made, that carrier shall immediately notify the collecting 
carrier. When the collecting carrier (when single or joint line haul) 
discovers or is notified by such a participating carrier that an 
overcharge, duplicate payment, or overcollection exists for any 
tranportation charge which has not been the subject of a claim, the 
carrier shall create a file as if a claim had been submitted and shall 
record in the file the date it discovered or was notified of the 
overpayment. The carrier that collected the charges shall then refund 
the amount of the overpayment to the person who paid the transportation 
charges or to the person that made duplicate payment within 30 days from 
the date of such discovery or notification.

[43 FR 41040, Sept. 14, 1978, as amended at 44 FR 66832, Nov. 21, 1979]



PART 379_PRESERVATION OF RECORDS--Table of Contents



Sec.
379.1 Applicability.
379.3 Records required to be retained.
379.5 Protection and storage of records.
379.7 Preservation of records.
379.9 Companies going out of business.
379.11 Waiver of requirements of the regulations in this part.
379.13 Disposition and retention of records.

Appendix A to Part 379--Schedule of Records and Periods of Retention

    Authority: 49 U.S.C. 13301, 14122 and 14123; and 49 CFR 1.87.

    Source: 62 FR 32044, June 12, 1997, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 379 appear at 66 FR 
49871, Oct. 1, 2001.



Sec.379.1  Applicability.

    (a) The preservation of record rules contained in this part shall 
apply to the following:
    (1) Motor carriers and brokers;
    (2) Water carriers; and
    (3) Household goods freight forwarders.
    (b) This part applies also to the preservation of accounts, records 
and memoranda of traffic associations, weighing and inspection bureaus, 
and other joint activities maintained by or on behalf of companies 
listed in paragraph (a) of this section.



Sec.379.3  Records required to be retained.

    Companies subject to this part shall retain records for the minimum 
retention periods provided in appendix A to this part. After the 
required retention periods, the records may be destroyed at the 
discretion of each company's management. It shall be the obligation of 
the subject company to maintain records that adequately support 
financial and operational data required by the Secretary. The company 
may request a ruling from the Secretary on the retention of any record. 
The provisions of this part shall not be construed as excusing 
compliance with the lawful requirements of any other governmental body 
prescribing longer retention periods for any category of records.



Sec.379.5  Protection and storage of records.

    (a) The company shall protect records subject to this part from 
fires, floods, and other hazards, and safeguard the records from 
unnecessary exposure to deterioration from excessive humidity, dryness, 
or lack of ventilation.
    (b) The company shall notify the Secretary if prescribed records are 
substantially destroyed or damaged before the term of the prescribed 
retention periods.



Sec.379.7  Preservation of records.

    (a) All records may be preserved by any technology that is immune to 
alteration, modification, or erasure of the underlying data and will 
enable production of an accurate and unaltered paper copy.
    (b) Records not originally preserved on hard copy shall be 
accompanied by a statement executed by a person having personal 
knowledge of the facts indicating the type of data included within the 
records. One comprehensive statement may be executed in lieu of 
individual statements for multiple records if the type of data included 
in the multiple records is common to all such

[[Page 156]]

records. The records shall be indexed and retained in such a manner as 
will render them readily accessible. The company shall have facilities 
available to locate, identify and produce legible paper copies of the 
records.
    (c) Any significant characteristic, feature or other attribute that 
a particular medium will not preserve shall be clearly indicated at the 
beginning of the applicable records as appropriate.
    (d) The printed side of forms, such as instructions, need not be 
preserved for each record as long as the printed matter is common to all 
such forms and an identified specimen of the form is maintained on the 
medium for reference.



Sec.379.9  Companies going out of business.

    The records referred to in the regulations in this part may be 
destroyed after business is discontinued and the company is completely 
liquidated. The records may not be destroyed until dissolution is final 
and all pending transactions and claims are completed. When a company is 
merged with another company under jurisdiction of the Secretary, the 
successor company shall preserve records of the merged company in 
accordance with the regulations in this part.



Sec.379.11  Waiver of requirements of the regulations in this part.

    A waiver from any provision of the regulations in this part may be 
made by the Secretary upon his/her own initiative or upon submission of 
a written request by the company. Each request for waiver shall 
demonstrate that unusual circumstances warrant a departure from 
prescribed retention periods, procedures, or techniques, or that 
compliance with such prescribed requirements would impose an 
unreasonable burden on the company.



Sec.379.13  Disposition and retention of records.

    The schedule in appendix A to this part shows periods that 
designated records shall be preserved. The descriptions specified under 
the various general headings are for convenient reference and 
identification, and are intended to apply to the items named regardless 
of what the records are called in individual companies and regardless of 
the record media. The retention periods represent the prescribed number 
of years from the date of the document and not calendar years. Records 
not listed in appendix A to this part shall be retained as determined by 
the management of each company.



    Sec. Appendix A to Part 379--Schedule of Records and Periods of 
                                Retention

------------------------------------------------------------------------
 Item and category of records               Retention period
------------------------------------------------------------------------
   A. Corporate and General
 
1. Incorporation and
 reorganization:
    (a) Charter or             Note A.
     certificate of
     incorporation and
     amendments.
    (b) Legal documents        Note A.
     related to mergers,
     consolidations,
     reorganization,
     receiverships and
     similar actions which
     affect the identity or
     organization of the
     company.
2. Minutes of Directors,       Note A.
 Executive Committees,
 Stockholders and other
 corporate meetings.
3. Titles, franchises and
 authorities:
    (a) Certificates of        Until expiration or cancellation.
     public convenience and
     necessity issued by
     regulating bodies.
    (b) Operating              Until expiration or cancellation.
     authorizations and
     exemptions to operate.
    (c) Copies of formal       Note A.
     orders of regulatory
     bodies served upon the
     company.
    (d) Deeds, charters, and   Until disposition of property.
     other title papers.
4. Annual reports or           3 years.
 statements to stockholders.
5. Contracts and agreements:
    (a) Service contracts,     Until expiration or termination plus 3
     such as for operational    years.
     management, accounting,
     financial or legal
     services, and agreements
     with agents.
    (b) Contracts and other    Until expiration or termination plus 3
     agreements relating to     years.
     the construction,
     acquisition or sale of
     real property and
     equipment except as
     otherwise provided in
     (a) above.
    (c) Contracts for the      Until expiration.
     purchase or sale of
     material and supplies
     except as provided in
     (a) above.
    (d) Shipping contracts     Until expiration.
     for transportation or
     caretakers of freight.

[[Page 157]]

 
    (e) Contracts with         Until expiration.
     employees and employee
     bargaining groups.
    (f) Contracts, leases and  Until expiration or termination plus 1
     agreements, not            year.
     specifically provided
     for in this section.
6. Accountant's auditor's,
 and inspector's reports:
    (a) Certifications and     3 years.
     reports of examinations
     and audits conducted by
     public accountants.
    (b) Reports of             3 years.
     examinations and audits
     conducted by internal
     auditors, time
     inspectors, and others.
7. Other.....................  Note A.
 
         B. Treasury
 
1. Capital stock records:
    (a) Capital stock ledger.  Note A.
    (b) Capital stock          Note A.
     certificates, records of
     or stubs of.
    (c) Stock transfer         Note A.
     register.
2. Long-term debt records:
    (a) Bond indentures,       Until redemption plus 3 years.
     underwritings,
     mortgages, and other
     long-term credit
     agreements.
    (b) Registered bonds and   Until redemption plus 3 years.
     debenture ledgers.
    (c) Stubs or similar       Note A.
     records of bonds or
     other long-term debt
     issued.
3. Authorizations from         Note A.
 regulatory bodies for
 issuance of securities
 including applications,
 reports, and supporting
 papers.
4. Records of securities       Until the securities are sold, redeemed
 owned, in treasury, or held    or otherwise disposed of.
 by custodians, detailed
 ledgers and journals, or
 their equivalent.
5. Other.....................  Note A.
 
 C. Financial and Accounting
 
1. Ledgers:
    (a) General and            Until discontinuance of use plus 3 years.
     subsidiary ledgers with
     indexes.
    (b) Balance sheets and     3 years.
     trial balance sheets of
     general and subsidiary
     ledgers.
2. Journals:
    (a) General journals.....  Until discontinuance of use plus 3 years.
    (b) Subsidiary journals    3 years.
     and any supporting data,
     except as otherwise
     provided for, necessary
     to explain journal
     entries.
3. Cash books:
    (a) General cash books...  Until discontinuance of use plus 3 years.
    (b) Subsidiary cash books  3 years.
4. Vouchers:
    (a) Voucher registers,     3 years.
     indexes, or equivalent.
    (b) Paid and canceled      3 years.
     vouchers, expenditure
     authorizations, detailed
     distribution sheets and
     other supporting data
     including original bills
     and invoices, if not
     provided for elsewhere.
    (c) Paid drafts, paid      3 years.
     checks, and receipts for
     cash paid out.
5. Accounts receivable:
    (a) Record or register of  3 years after settlement.
     accounts receivable,
     indexes thereto, and
     summaries of
     distribution.
    (b) Bills issued for       3 years after settlement.
     collection and
     supporting data.
    (c) Authorization for      1 year.
     writing off receivables.
    (d) Reports and            1 year.
     statements showing age
     and status of
     receivables.
6. Records of accounting       3 years after discontinuance.
 codes and instructions.
7. Other.....................  Note A.
 
  D. Property and Equipment
 
  Note.--All accounts, records, and memoranda necessary for making a
complete analysis of the cost or value of property shall be retained for
the periods shown. If any of the records elsewhere provided for in this
schedule are of this character, they shall be retained for the periods
shown below, regardless of any lesser retention period assigned.
 
1. Property records:
    (a) Records which          3 years after disposition of property.
     maintain complete
     information on cost or
     other value of all real
     and personal property or
     equipment.
    (b) Records of additions   3 years after disposition of property.
     and betterments made to
     property and equipment.
    (c) Records pertaining to  3 years after disposition of property.
     retirements and
     replacements of property
     and equipment.
    (d) Records pertaining to  3 years after disposition of property.
     depreciation.
    (e) Records of equipment   3 years after disposition of property.
     number changes.
    (f) Records of motor and   3 years after disposition of property.
     engine changes.
    (g) Records of equipment   Only current or latest records.
     lightweighed and
     stenciled.
2. Engineering records of      3 years after disposition of property.
 property changes actually
 made.
3. Other.....................  Note A.
 
   E. Personnel and Payroll
 
1. Personnel and payroll       1 year.
 records.
 
   F. Insurance and Claims
 
1. Insurance records:

[[Page 158]]

 
    (a) Schedules of           Until expiration plus 1 year.
     insurance against fire,
     storms, and other
     hazards and records of
     premium payments.
    (b) Records of losses and  1 year after settlement.
     recoveries from
     insurance companies and
     supporting papers.
    (c) Insurance policies...  Until expiration of coverage plus 1 year.
2. Claims records:
    (a) Claim registers, card  1 year after settlement.
     or book indexes, and
     other records which
     record personal injury,
     fire and other claims
     against the company,
     together with all
     supporting data.
    (b) Claims registers,      1 year after settlement.
     card or book indexes,
     and other records which
     record overcharges,
     damages, and other
     claims filed by the
     company against others,
     together with all
     supporting data.
    (c) Records giving the     3 years.
     details of authorities
     issued to agents,
     carriers, and others for
     participation in freight
     claims.
    (d) Reports, statements    3 years.
     and other data
     pertaining to personal
     injuries or damage to
     property when not
     necessary to support
     claims or vouchers.
    (e) Reports, statements,   1 year.
     tracers, and other data
     pertaining to unclaimed,
     over, short, damaged,
     and refused freight,
     when not necessary to
     support claims or
     vouchers.
    (f) Authorities for        3 years.
     disposal of unclaimed,
     damaged, and refused
     freight.
3. Other.....................  Note A.
 
           G. Taxes
 
1. Taxes.....................  Note A.
 
   H. Purchases and Stores
 
1. Purchases and stores......  Note A.
 
    I. Shipping and Agency
          Documents
 
1. Bills of lading and
 releases:
    (a) Consignors' shipping   1 year.
     orders, consignors'
     shipping tickets, and
     copies of bills of
     lading, freight bills
     from other carriers and
     other similar documents
     furnished the carrier
     for movement of freight.
    (b) Shippers' order-to-    1 year.
     notify bills of lading
     taken up and canceled.
2. Freight waybills:
    (a) Local waybills.......  1 year.
    (b) Interline waybills     1 year.
     received from and made
     to other carriers.
    (c) Company freight        1 year.
     waybills.
    (d) Express waybills.....  1 year.
3. Freight bills and
 settlements:
    (a) Paid copy of freight
     bill retained to support
     receipt of freight
     charges:
        (1) Bus express        1 year.
         freight bills
         provided no claim
         has been filed.
        (2) All other freight  1 year.
         bills.
    (b) Paid copy of freight
     bill retained to support
     payment of freight
     charges to other
     carriers:
        (1) Bus express        1 year.
         freight bills
         provided no claim
         has been filed.
        (2) All other freight  1 year.
         bills.
    (c) Records of unsettled   1 year after disposition.
     freight bills and
     supporting papers.
    (d) Records and reports    1 year.
     of correction notices.
4. Other freight records:
    (a) Records of freight     1 year.
     received, forwarded, and
     delivered.
    (b) Notice to consignees   1 year.
     of arrival of freight;
     tender of delivery.
5. Agency records:
    (a) Cash books...........  1 year.
    (b) Remittance records,    1 year.
     bank deposit slips and
     supporting papers.
    (c) Balance sheets and     1 year.
     supporting papers.
    (d) Statements of          1 year.
     corrections in agents'
     accounts.
    (e) Other records and      1 year.
     reports pertaining to
     ticket sales, baggage
     handled, miscellaneous
     collections, refunds,
     adjustments, etc..
------------------------------------------------------------------------
      J. Transportation
------------------------------------------------------------------------
1. Records pertaining to
 transportation of household
 goods:
    (a) Estimate of charges..  1 year.
    (b) Order for service....  1 year.
    (c) Vehicle load manifest  1 year.
    (d) Descriptive inventory  1 year.
2. Dispatchers' sheets,        3 years.
 registers, and other records
 pertaining to movement of
 transportation equipment.
3. Import and export records   2 years.
 including bonded freight.
4. Records, reports, orders    3 years.
 and tickets pertaining to
 weighting of freight.
5. Records of loading and      2 years.
 unloading of transportation
 equipment.
6. Records pertaining to the   2 years.
 diversion or reconsignment
 of freight, including
 requests, tracers, and
 correspondence.
7. Other.....................  Note A.
------------------------------------------------------------------------
 

[[Page 159]]

 
    K. Supporting Data for
    Reports and Statistics
 
1. Supporting data for
 reports filed with the
 Federal Motor Carrier Safety
 Administration, the Surface
 Transportation Board, the
 Department of
 Transportation's Bureau of
 Transportation Statistics
 and regulatory bodies:
    (a) Supporting data for    3 years.
     annual financial,
     operating and
     statistical reports.
    (b) Supporting data for    3 years.
     periodical reports of
     operating revenues,
     expenses, and income.
    (c) Supporting data for    3 years.
     reports detailing use of
     proceeds from issuance
     or sale of company
     securities.
    (d) Supporting data for    3 years after disposition of the
     valuation inventory        property.
     reports and records.
     This includes related
     notes, maps and
     sketches, underlying
     engineering, land, and
     accounting reports,
     pricing schedules,
     summary or collection
     sheets, yearly reports
     of changes and other
     miscellaneous data, all
     relating to the
     valuation of the
     company's property by
     the Federal Highway
     Administration, the
     Surface Transportation
     Board, the Department of
     Transportation's Bureau
     of Transportation
     Statistics or other
     regulatory body.
2. Supporting data for         6 months.
 periodical reports of
 accidents, inspections,
 tests, hours of service,
 repairs, etc..
3. Supporting data for         3 years.
 periodical statistical of
 operating results or
 performance by tonnage,
 mileage, passengers carried,
 piggyback traffic,
 commodities, costs, analyses
 of increases and decreases,
 or otherwise.
 
       M. Miscellaneous
 
1. Index of records..........  Until revised as record structure
                                changes.
2. Statement listing records   For the remainder of the period as
 prematurely destroyed or       prescribed for records destroyed.
 lost.
------------------------------------------------------------------------
Note A--Records referenced to this note shall be maintained as
  determined by the designated records supervisory official. Companies
  should be mindful of the record retention requirements of the Internal
  Revenue Service, Securities and Exchange Commission, State and local
  jurisdictions, and other regulatory agencies. Companies shall exercise
  reasonable care in choosing retention periods, and the choice of
  retention periods shall reflect past experiences, company needs,
  pending litigation, and regulatory requirements.


[62 FR 32044, June 12, 1997, as amended at 77 FR 59824, Oct. 1, 2012]



PART 380_SPECIAL TRAINING REQUIREMENTS--Table of Contents



 Subpart A_Longer Combination Vehicle (LCV) Driver-Training and Driver-
                     Instructor Requirements_General

Sec.
380.101 Purpose and scope.
380.103 Applicability.
380.105 Definitions.
380.107 General requirements.
380.109 Driver testing.
380.111 Substitute for driver training.
380.113 Employer responsibilities.

                  Subpart B_LCV Driver-Training Program

380.201 General requirements.
380.203 LCV Doubles.
380.205 LCV Triples.

              Subpart C_LCV Driver-Instructor Requirements

380.301 General requirements.
380.303 Substitute for instructor requirements.
380.305 Employer responsibilities.

                 Subpart D_Driver-Training Certification

380.401 Certification document.

           Subpart E_Entry-Level Driver Training Requirements

380.501 Applicability.
380.502 Definitions.
380.503 Entry-level driver training requirements.
380.505 Proof of training.
380.507 Driver responsibilities.
380.509 Employer responsibilities.
380.511 Employer recordkeeping responsibilities.
380.513 Required information on the training certificate.

Appendix to Part 380--LCV Driver Training Programs, Required Knowledge 
          and Skills

    Authority: 49 U.S.C. 31133, 31136, 31307, and 31502; sec. 4007(a) 
and (b) of Pub. L. 102-240 (105 Stat. 2151-2152); and 49 CFR 1.87.

    Source: 69 FR 16732, Mar. 30, 2004, unless otherwise noted.

[[Page 160]]



 Subpart A_Longer Combination Vehicle (LCV) Driver-Training and Driver-
                     Instructor Requirements_General



Sec.380.101  Purpose and scope.

    (a) Purpose. The purpose of this part is to establish minimum 
requirements for operators of longer combination vehicles (LCVs) and LCV 
driver-instructors.
    (b) Scope. This part establishes:
    (1) Minimum training requirements for operators of LCVs;
    (2) Minimum qualification requirements for LCV driver-instructors; 
and
    (3) Procedures for determining compliance with this part by 
operators, instructors, training institutions, and employers.



Sec.380.103  Applicability.

    The rules in this part apply to all operators of LCVs in interstate 
commerce, employers of such persons, and LCV driver-instructors.



Sec.380.105  Definitions.

    (a) The definitions in part 383 of this subchapter apply to this 
part, except where otherwise specifically noted.
    (b) As used in this part:
    Classroom instructor means a qualified LCV driver-instructor who 
provides knowledge instruction that does not involve the actual 
operation of a longer combination vehicle or its components. Instruction 
may take place in a parking lot, garage, or any other facility suitable 
for instruction.
    Longer combination vehicle (LCV) means any combination of a truck-
tractor and two or more trailers or semi-trailers, which operate on the 
National System of Interstate and Defense Highways with a gross vehicle 
weight (GVW) greater than 36,288 kilograms (80,000 pounds).
    LCV Double means an LCV consisting of a truck-tractor in combination 
with two trailers and/or semi-trailers.
    LCV Triple means an LCV consisting of a truck-tractor in combination 
with three trailers and/or semi-trailers.
    Qualified LCV driver-instructor means an instructor meeting the 
requirements contained in subpart C of this part. There are two types of 
qualified LCV driver-instructors: (1) classroom instructor and (2) 
skills instructor.
    Skills instructor means a qualified LCV driver-instructor who 
provides behind-the-wheel instruction involving the actual operation of 
a longer combination vehicle or its components outside a classroom.
    Training institution means any technical or vocational school 
accredited by an accrediting institution recognized by the U.S. 
Department of Education. A motor carrier's training program for its 
drivers or an entity that exclusively offers services to a single motor 
carrier is not a training institution.



Sec.380.107  General requirements.

    (a) Except as provided in Sec.380.111, a driver who wishes to 
operate an LCV shall first take and successfully complete an LCV driver-
training program that provides the knowledge and skills necessary to 
operate an LCV. The specific types of knowledge and skills that a 
training program shall include are outlined in the appendix to this 
part.
    (b) Before a person receives training:
    (1) That person shall present evidence to the LCV driver-instructor 
showing that he/she meets the general requirements set forth in subpart 
B of this part for the specific type of LCV training to be taken.
    (2) The LCV driver-instructor shall verify that each trainee 
applicant meets the general requirements for the specific type of LCV 
training to be taken.
    (c) Upon successful completion of the training requirement, the 
driver-student shall be issued an LCV Driver Training Certificate by a 
certifying official of the training entity in accordance with the 
requirements specified in subpart D of this part.



Sec.380.109  Driver testing.

    (a) Testing methods. The driver-student must pass knowledge and 
skills tests in accordance with the following requirements, to determine 
whether a driver-student has successfully completed an LCV driver-
training program as specified in subpart B of this part.

[[Page 161]]

The written knowledge test may be administered by any qualified driver-
instructor. The skills tests, based on actual operation of an LCV, must 
be administered by a qualified LCV skills instructor.
    (1) All tests shall be constructed to determine if the driver-
student possesses the required knowledge and skills set forth in the 
appendix to this part for the specific type of LCV training program 
being taught.
    (2) Instructors shall develop their own tests for the specific type 
of LCV-training program being taught, but those tests must be at least 
as stringent as the requirements set forth in paragraph (b) of this 
section.
    (3) LCV driver-instructors shall establish specific methods for 
scoring the knowledge and skills tests.
    (4) Passing scores must meet the requirements of paragraph (b) of 
this section.
    (5) Knowledge and skills tests shall be based upon the information 
taught in the LCV training programs as set forth in the appendix to this 
part.
    (6) Each knowledge test shall address the training provided during 
both theoretical and behind-the-wheel instruction, and include at least 
one question from each of the units listed in the table to the appendix 
to this part, for the specific type of LCV training program being 
taught.
    (7) Each skills test shall include all the maneuvers and operations 
practiced during the Proficiency Development unit of instruction 
(behind-the-wheel instruction), as described in the appendix to this 
part, for the specific type of LCV training program being taught.
    (b) Proficiency determinations. The driver-student must meet the 
following conditions to be certified as an LCV driver:
    (1) Answer correctly at least 80 percent of the questions on each 
knowledge test; and
    (2) Demonstrate that he/she can successfully perform all of the 
skills addressed in paragraph (a)(7) of this section.
    (c) Automatic test failure. Failure to obey traffic laws or 
involvement in a preventable crash during the skills portion of the test 
will result in automatic failure. Automatic test failure determinations 
are made at the sole discretion of the qualified LCV driver-instructor.
    (d) Guidance for testing methods and proficiency determinations. 
Motor carriers should refer to the Examiner's Manual for Commercial 
Driver's License Tests for help in developing testing methods and making 
proficiency determinations. You may obtain a copy of this document by 
contacting the American Association of Motor Vehicle Administrators 
(AAMVA), 4300 Wilson Boulevard, Suite 400, Arlington, Virginia 22203.



Sec.380.111  Substitute for driver training.

    (a) Grandfather clause. The LCV driver-training requirements 
specified in subpart B of this part do not apply to an individual who 
meets the conditions set forth in paragraphs (b), (c), and (d) of this 
section. A motor carrier must ensure that an individual claiming 
eligibility to operate an LCV on the basis of this section meets these 
conditions before allowing him/her to operate an LCV.
    (b) An individual must certify that, during the 2-year period 
immediately preceding the date of application for a Certificate of 
Grandfathering, he/she had:
    (1) A valid Class A CDL with a ``double/triple trailers'' 
endorsement;
    (2) No more than one driver's license;
    (3) No suspension, revocation, or cancellation of his/her CDL;
    (4) No convictions for a major offense while operating a CMV as 
defined in Sec.383.51(b) of this subchapter;
    (5) No convictions for a railroad-highway grade crossing offense 
while operating a CMV as defined in Sec.383.51(d) of this subchapter;
    (6) No convictions for violating an out-of-service order as defined 
in Sec.383.51(e) of this subchapter;
    (7) No more than one conviction for a serious traffic violation, as 
defined in Sec.383.5 of this subchapter, while operating a CMV; and
    (8) No convictions for a violation of State or local law relating to 
motor vehicle traffic control arising in connection with any traffic 
crash while operating a CMV.

[[Page 162]]

    (c) An individual must certify and provide evidence that he/she:
    (1) Is regularly employed in a job requiring the operation of a CMV 
that requires a CDL with a double/triple trailers endorsement; and
    (2) Has operated, during the 2 years immediately preceding the date 
of application for a Certificate of Grandfathering, vehicles 
representative of the type of LCV that he/she seeks to continue 
operating.
    (d) A motor carrier must issue a Certificate of Grandfathering to a 
person who meets the requirements of this section and must maintain a 
copy of the certificate in the individual's Driver Qualification file.
[GRAPHIC] [TIFF OMITTED] TR30MR04.000

    (e) An applicant may be grandfathered under this section only during 
the year following June 1, 2004.



Sec.380.113  Employer responsibilities.

    (a) No motor carrier shall:
    (1) Allow, require, permit or authorize an individual to operate an 
LCV unless he/she meets the requirements in Sec. Sec.380.203 or 
380.205 and has been issued the LCV driver-training certificate 
described in Sec.380.401. This provision does not apply to individuals 
who are eligible for the substitute for driver training provision in 
Sec.380.111.
    (2) Allow, require, permit, or authorize an individual to operate an 
LCV which the LCV driver-training certificate, CDL, and CDL 
endorsement(s) do not authorize the driver to operate. This provision 
applies to individuals employed by or under contract to the motor 
carrier.
    (b) A motor carrier that employs or has under contract LCV drivers 
shall provide evidence of the certifications required by Sec.380.401 
or Sec.380.111 of this part when requested by an authorized FMCSA, 
State, or local official in the course of a compliance review.

[[Page 163]]



                  Subpart B_LCV Driver-Training Program



Sec.380.201  General requirements.

    (a) The LCV Driver-Training Program that is described in the 
appendix to this part requires training using an LCV Double or LCV 
Triple and must include the following general categories of instruction:
    (1) Orientation;
    (2) Basic operation;
    (3) Safe operating practices;
    (4) Advanced operations; and
    (5) Nondriving activities.
    (b) The LCV Driver-Training Program must include the minimum topics 
of training set forth in the appendix to this part and behind-the-wheel 
instruction that is designed to provide an opportunity to develop the 
skills outlined under the Proficiency Development unit of the training 
program.



Sec.380.203  LCV Doubles.

    (a) To qualify for the training necessary to operate an LCV Double, 
a driver-student shall, during the 6 months immediately preceding 
application for training, have:
    (1) A valid Class A CDL with a double/triple trailer endorsement;
    (2) Driving experience in a Group A vehicle as described in Sec.
383.91 of this subchapter. Evidence of driving experience shall be an 
employer's written statement that the driver has, for at least 6 months 
immediately preceding application, operated a Group A vehicle while 
under his/her employ;
    (3) No more than one driver's license;
    (4) No suspension, revocation, or cancellation of his/her CDL;
    (5) No convictions for a major offense, as defined in Sec.
383.51(b) of this subchapter, while operating a CMV;
    (6) No convictions for a railroad-highway grade crossing offense, as 
defined in Sec.383.51(d) of this subchapter, while operating a CMV;
    (7) No convictions for violating an out-of-service order as defined 
in Sec.383.51(e) of this subchapter;
    (8) No more than one conviction for a serious traffic violation, as 
defined in Sec.383.5 of this subchapter, while operating a CMV; and
    (9) No convictions for a violation of State or local law relating to 
motor vehicle traffic control arising in connection with any traffic 
crash while operating a CMV.
    (b) Driver-students meeting the preliminary requirements in 
paragraph (a) of this section shall successfully complete a training 
program that meets the minimum unit requirements for LCV Doubles as set 
forth in the appendix to this part.
    (c) Driver-students who successfully complete the Driver Training 
Program for LCV Doubles shall be issued a certificate, in accordance 
with subpart D of this part, indicating the driver is qualified to 
operate an LCV Double.



Sec.380.205  LCV Triples.

    (a) To qualify for the training necessary to operate an LCV Triple, 
a driver-student shall, during the 6 months immediately preceding 
application for training, have:
    (1) A valid Class A CDL with a double/triple trailer endorsement;
    (2) Experience operating the vehicle listed under paragraph 
(a)(2)(i) or (a)(2)(ii) of this section. Evidence of driving experience 
shall be an employer's written statement that the driver has, during the 
6 months immediately preceding application, operated the applicable 
vehicle(s):
    (i) Group A truck-tractor/semi-trailer combination as described in 
Sec.383.91 of this subchapter; or
    (ii) Group A truck-tractor/semi-trailer/trailer combination that 
operates at a gross vehicle weight of 80,000 pounds or less;
    (3) No more than one driver's license;
    (4) No suspension, revocation, or cancellation of his/her CDL;
    (5) No convictions for a major offense, as defined in Sec.
383.51(b) of this subchapter, while operating a CMV;
    (6) No convictions for a railroad-highway grade crossing offense, as 
defined in Sec.383.51(d) of this subchapter, while operating a CMV;
    (7) No convictions for violating an out-of-service order, as defined 
in Sec.383.51(e) of this subchapter;
    (8) No more than one conviction for a serious traffic violation, as 
defined in Sec.383.5 of this subchapter, while operating a CMV; and

[[Page 164]]

    (9) No convictions for a violation of State or local law relating to 
motor vehicle traffic control arising in connection with any traffic 
crash, while operating a CMV.
    (b) Driver-students meeting the preliminary requirements in 
paragraph (a) of this section shall successfully complete a training 
program that meets the minimum unit requirements for LCV Triples as set 
forth in the appendix to this part.
    (c) Driver-students who successfully complete the Driver Training 
Program for LCV Triples shall be issued a certificate, in accordance 
with subpart D of this part, indicating the driver is qualified to 
operate an LCV Triple.



              Subpart C_LCV Driver-Instructor Requirements



Sec.380.301  General requirements.

    There are two types of LCV driver-instructors: Classroom instructors 
and Skills instructors. Except as provided in Sec.380.303, you must 
meet the conditions under paragraph (a) or paragraph (b) of this section 
to qualify as an LCV driver-instructor.
    (a) Classroom instructor. To qualify as an LCV Classroom instructor, 
a person shall:
    (1) Have audited the driver-training course that he/she intends to 
instruct.
    (2) If employed by a training institution, meet all State 
requirements for a vocational instructor.
    (b) Skills instructor. To qualify as an LCV skills instructor, a 
person shall:
    (1) Provide evidence of successful completion of the Driver-Training 
Program requirements, as set forth in subpart B of this part, when 
requested by employers and/or an authorized FMCSA, State, or local 
official in the course of a compliance review. The Driver-Training 
Program must be for the operation of CMVs representative of the subject 
matter that he/she will teach.
    (2) If employed by a training institution, meet all State 
requirements for a vocational instructor;
    (3) Possess a valid Class A CDL with all endorsements necessary to 
operate the CMVs applicable to the subject matter being taught (LCV 
Doubles and/or LCV Triples, including any specialized variation thereof, 
such as a tank vehicle, that requires an additional endorsement); and
    (4) Have at least 2 years' CMV driving experience in a vehicle 
representative of the type of driver training to be provided (LCV 
Doubles or LCV Triples).



Sec.380.303  Substitute for instructor requirements.

    (a) Classroom instructor. The requirements specified under Sec.
380.301(a) of this part for a qualified LCV driver-instructor are waived 
for a classroom instructor-candidate who has 2 years of recent 
satisfactory experience teaching the classroom portion of a program 
similar in content to that set forth in the appendix to this part.
    (b) Skills instructor. The requirements specified under Sec.
380.301(b) of this part for a qualified LCV driver-instructor are waived 
for a skills instructor-candidate who:
    (1) Meets the conditions of Sec.380.111(b);
    (2) Has CMV driving experience during the previous 2 years in a 
vehicle representative of the type of LCV that is the subject of the 
training course to be provided;
    (3) Has experience during the previous 2 years in teaching the 
operation of the type of LCV that is the subject of the training course 
to be provided; and
    (4) If employed by a training institution, meets all State 
requirements for a vocational instructor.



Sec.380.305  Employer responsibilities.

    (a) No motor carrier shall: (1) Knowingly allow, require, permit or 
authorize a driver-instructor in its employ, or under contract to the 
motor carrier, to provide LCV driver training unless such person is a 
qualified LCV driver-instructor under the requirements of this subpart; 
or
    (2) Contract with a training institution to provide LCV driver 
training unless the institution:
    (i) Uses instructors who are qualified LCV driver-instructors under 
the requirements of this subpart;
    (ii) Is accredited by an accrediting institution recognized by the 
U.S. Department of Education;

[[Page 165]]

    (iii) Is in compliance with all applicable State training school 
requirements; and
    (iv) Identifies drivers certified under Sec.380.401 of this part, 
when requested by employers and/or an authorized FMCSA, State, or local 
official in the course of a compliance review.
    (b) A motor carrier that employs or has under contract qualified LCV 
driver-instructors shall provide evidence of the certifications required 
by Sec.380.301 or Sec.380.303 of this part, when requested by an 
authorized FMCSA, State, or local official in the course of a compliance 
review.



                 Subpart D_Driver-Training Certification



Sec.380.401  Certification document.

    (a) A student who successfully completes LCV driver training shall 
be issued a Driver-Training Certificate that is substantially in 
accordance with the following form.
[GRAPHIC] [TIFF OMITTED] TR30MR04.001

    (b) An LCV driver must provide a copy of the Driver-Training 
Certificate to his/her employer to be filed in the Driver Qualification 
File.



           Subpart E_Entry-Level Driver Training Requirements

    Source: 69 FR 29404, May 21, 2004, unless otherwise noted.

[[Page 166]]



Sec.380.501  Applicability.

    All entry-level drivers who drive in interstate commerce and are 
subject to the CDL requirements of part 383 of this chapter must comply 
with the rules of this subpart, except drivers who are subject to the 
jurisdiction of the Federal Transit Administration or who are otherwise 
exempt under Sec.390.3(f) of this subchapter.



Sec.380.502  Definitions.

    (a) The definitions in part 383 of this chapter apply to this part, 
except where otherwise specifically noted.
    (b) As used in this subpart:
    Entry-level driver is a driver with less than one year of experience 
operating a CMV with a CDL in interstate commerce.
    Entry-level driver training is training the CDL driver receives in 
driver qualification requirements, hours of service of drivers, driver 
wellness, and whistleblower protection as appropriate to the entry-level 
driver's current position in addition to passing the CDL test.

[69 FR 29404, May 21, 2004, as amended at 78 FR 58479, Sept. 24, 2013]



Sec.380.503  Entry-level driver training requirements.

    Entry-level driver training must include instruction addressing the 
following four areas:
    (a) Driver qualification requirements. The Federal rules on medical 
certification, medical examination procedures, general qualifications, 
responsibilities, and disqualifications based on various offenses, 
orders, and loss of driving privileges (part 391, subparts B and E of 
this subchapter).
    (b) Hours of service of drivers. The limitations on driving hours, 
the requirement to be off-duty for certain periods of time, record of 
duty status preparation, and exceptions (part 395 of this subchapter). 
Fatigue countermeasures as a means to avoid crashes.
    (c) Driver wellness. Basic health maintenance including diet and 
exercise. The importance of avoiding excessive use of alcohol.
    (d) Whistleblower protection. The right of an employee to question 
the safety practices of an employer without the employee's risk of 
losing a job or being subject to reprisals simply for stating a safety 
concern (29 CFR part 1978).



Sec.380.505  Proof of training.

    An employer who uses an entry-level driver must ensure the driver 
has received a training certificate containing all the information 
contained in Sec.380.513 from the training provider.



Sec.380.507  Driver responsibilities.

    Each entry-level driver must receive training required by Sec.
380.503.



Sec.380.509  Employer responsibilities.

    (a) Each employer must ensure each entry-level driver who first 
began operating a CMV requiring a CDL in interstate commerce after July 
20, 2003, receives training required by Sec.380.503.
    (b) Each employer must place a copy of the driver's training 
certificate in the driver's personnel or qualification file.
    (c) All records required by this subpart shall be maintained as 
required by Sec.390.31 of this subchapter and shall be made available 
for inspection at the employer's principal place of business within two 
business days after a request has been made by an authorized 
representative of the Federal Motor Carrier Safety Administration.



Sec.380.511  Employer recordkeeping responsibilities.

    The employer must keep the records specified in Sec.380.505 for as 
long as the employer employs the driver and for one year thereafter.



Sec.380.513  Required information on the training certificate.

    The training provider must provide a training certificate or diploma 
to the entry-level driver. If an employer is the training provider, the 
employer must provide a training certificate or diploma to the entry-
level driver. The certificate or diploma must contain the following 
seven items of information:
    (a) Date of certificate issuance.
    (b) Name of training provider.
    (c) Mailing address of training provider.
    (d) Name of driver.

[[Page 167]]

    (e) A statement that the driver has completed training in driver 
qualification requirements, hours of service of drivers, driver 
wellness, and whistleblower protection requirements substantially in 
accordance with the following sentence:

    I certify ----------has completed training requirements set forth in 
the Federal Motor Carrier Safety Regulations for entry-level driver 
training in accordance with 49 CFR 380.503.

    (f) The printed name of the person attesting that the driver has 
received the required training.
    (g) The signature of the person attesting that the driver has 
received the required training.

[69 FR 29404, May 21, 2004, as amended at 78 FR 58479, Sept. 24, 2013



   Sec. Appendix to Part 380--LCV Driver Training Programs, Required 
                          Knowledge and Skills

    The following table lists topics of instruction required for drivers 
of longer combination vehicles pursuant to 49 CFR part 380, subpart B. 
The training courses for operators of LCV Doubles and LCV Triples must 
be distinct and tailored to address their unique operating and handling 
characteristics. Each course must include the minimum topics of 
instruction, including behind-the-wheel training designed to provide an 
opportunity to develop the skills outlined under the Proficiency 
Development unit of the training program. Only a skills instructor may 
administer behind-the-wheel training involving the operation of an LCV 
or one of its components. A classroom instructor may administer only 
instruction that does not involve the operation of an LCV or one of its 
components.

          Table to the Appendix--Course Topics for LCV Drivers
------------------------------------------------------------------------
 
------------------------------------------------------------------------
                         Section 1: Orientation
------------------------------------------------------------------------
1.1.............................  LCVs in Trucking
1.2.............................  Regulatory Factors
1.3.............................  Driver Qualifications
1.4.............................  Vehicle Configuration Factors
------------------------------------------------------------------------
                       Section 2: Basic Operation
------------------------------------------------------------------------
2.1.............................  Coupling and Uncoupling
2.2.............................  Basic Control and Handling
2.3.............................  Basic Maneuvers
2.4.............................  Turning, Steering and Tracking
2.5.............................  Proficiency Development
------------------------------------------------------------------------
                   Section 3: Safe Operating Practices
------------------------------------------------------------------------
3.1.............................  Interacting with Traffic
3.2.............................  Speed and Space Management
3.3.............................  Night Operations
3.4.............................  Extreme Driving Conditions
3.5.............................  Security Issues
3.6.............................  Proficiency Development
------------------------------------------------------------------------
                     Section 4: Advanced Operations
------------------------------------------------------------------------
4.1.............................  Hazard Perception
4.2.............................  Hazardous Situations
------------------------------------------------------------------------
4.3.............................  Maintenance and Troubleshooting
------------------------------------------------------------------------
                    Section 5: Non-Driving Activities
------------------------------------------------------------------------
5.1.............................  Routes and Trip Planning
5.2.............................  Cargo and Weight Considerations
------------------------------------------------------------------------

                         Section 1--Orientation

    The units in this section must provide an orientation to the 
training curriculum and must cover the role LCVs play within the motor 
carrier industry, the factors that affect their operations, and the role 
that drivers play in the safe operation of LCVs.
    Unit 1.1--LCVs in Trucking. This unit must provide an introduction 
to the emergence of LCVs in trucking and must serve as an orientation to 
the course content. Emphasis must be placed upon the role the driver 
plays in transportation.
    Unit 1.2--Regulatory factors. This unit must provide instruction 
addressing the Federal, State, and local governmental bodies that 
propose, enact, and implement the laws, rules, and regulations that 
affect the trucking industry. Emphasis must be placed on those 
regulatory factors that affect LCVs, including 23 CFR 658.23 and 
appendix C to part 658.
    Unit 1.3--Driver qualifications. This unit must provide classroom 
instruction addressing the Federal and State laws, rules, and 
regulations that define LCV driver qualifications. It also must include 
a discussion on medical examinations, drug and alcohol tests, 
certification, and basic health and wellness issues. Emphasis must be 
placed upon topics essential to physical and mental health maintenance, 
including (1) diet, (2) exercise, (3) avoidance of alcohol and drug 
abuse, and caution in the use of prescription and nonprescription drugs, 
(4) the adverse effects of driver fatigue, and (5) effective fatigue 
countermeasures. Driver-trainees who

[[Page 168]]

have successfully completed the Entry-level training segments at Sec.
380.503(a) and (c) are considered to have satisfied the requirements of 
Unit 1.3.
    Unit 1.4--Vehicle configuration factors. This unit must provide 
classroom instruction addressing the key vehicle components used in the 
configuration of longer combination vehicles. It also must familiarize 
the driver-trainee with various vehicle combinations, as well as provide 
instruction about unique characteristics and factors associated with LCV 
configurations.

                       Section 2--Basic Operation

    The units in this section must cover the interaction between the 
driver and the vehicle. They must teach driver-trainees how to couple 
and uncouple LCVs, ensure the vehicles are in proper operating 
condition, and control the motion of LCVs under various road and traffic 
conditions.
    During the driving exercises at off-highway locations required by 
this section, the driver-trainee must first familiarize himself/herself 
with basic operating characteristics of an LCV. Utilizing an LCV, 
students must be able to perform the skills learned in each unit to a 
level of proficiency required to permit safe transition to on-street 
driving.
    Unit 2.1--Coupling and uncoupling. This unit must provide 
instruction addressing the procedures for coupling and uncoupling LCVs. 
While vehicle coupling and uncoupling procedures are common to all 
truck-tractor/semi-trailer operations, some factors are peculiar to 
LCVs. Emphasis must be placed upon preplanning and safe operating 
procedures.
    Unit 2.2--Basic control and handling. This unit must provide an 
introduction to basic vehicular control and handling as it applies to 
LCVs. This must include instruction addressing brake performance, 
handling characteristics and factors affecting LCV stability while 
braking, turning, and cornering. Emphasis must be placed upon safe 
operating procedures.
    Unit 2.3--Basic maneuvers. This unit must provide instruction 
addressing the basic vehicular maneuvers that will be encountered by LCV 
drivers. This must include instruction relative to backing, lane 
positioning and path selection, merging situations, and parking LCVs. 
Emphasis must be placed upon safe operating procedures as they apply to 
brake performance and directional stability while accelerating, braking, 
merging, cornering, turning, and parking.
    Unit 2.4--Turning, steering, and tracking. This unit must provide 
instruction addressing turning situations, steering maneuvers, and the 
tracking of LCV trailers. This must include instruction related to 
trailer sway and off-tracking. Emphasis must be placed on maintaining 
directional stability.
    Unit 2.5--Proficiency development: basic operations. The purpose of 
this unit is to enable driver-students to gain the proficiency in basic 
operation needed to safely undertake on-street instruction in the Safe 
Operations Practices section of the curriculum.
    The activities of this unit must consist of driving exercises that 
provide practice for the development of basic control skills and mastery 
of basic maneuvers. Driver-students practice skills and maneuvers 
learned in the Basic Control and Handling; Basic Maneuvers; and Turning, 
Steering and Tracking units. A series of basic exercises is practiced at 
off-highway locations until students develop sufficient proficiency for 
transition to on-street driving.
    Once the driver-student's skills have been measured and found 
adequate, the driver-student must be allowed to move to on-the-street 
driving.
    Nearly all activity in this unit will take place on the driving 
range or on streets or roads that have low-density traffic conditions.

                   Section 3--Safe Operating Practices

    The units in this section must cover the interaction between student 
drivers, the vehicle, and the traffic environment. They must teach 
driver-students how to apply their basic operating skills in a way that 
ensures their safety and that of other road users under various road, 
weather, and traffic conditions.
    Unit 3.1--Interacting with traffic. This unit must provide 
instruction addressing the principles of visual search, communication, 
and sharing the road with other traffic. Emphasis must be placed upon 
visual search, mirror usage, signaling and/or positioning the vehicle to 
communicate, and understanding the special situations encountered by LCV 
drivers in various traffic situations.
    Unit 3.2--Speed and space management. This unit must provide 
instruction addressing the principles of speed and space management. 
Emphasis must be placed upon maintaining safe vehicular speed and 
appropriate space surrounding the vehicle under various traffic and road 
conditions. Particular attention must be placed upon understanding the 
special situations encountered by LCVs in various traffic situations.
    Unit 3.3--Night operations. This unit must provide instruction 
addressing the principles of Night Operations. Emphasis must be placed 
upon the factors affecting operation of LCVs at night. Night driving 
presents specific factors that require special attention on the part of 
the driver. Changes in vehicle safety inspection, vision, 
communications, speed management, and space management are needed to 
deal with the special problems night driving presents.
    Unit 3.4--Extreme driving conditions. This unit must provide 
instruction addressing the

[[Page 169]]

driving of LCVs under extreme driving conditions. Emphasis must be 
placed upon the factors affecting the operation of LCVs in cold, hot, 
and inclement weather and in the mountains and desert. Changes in basic 
driving habits are needed to deal with the specific problems presented 
by these extreme driving conditions.
    Unit 3.5--Security issues. This unit must include a discussion of 
security requirements imposed by the Department of Homeland Security, 
Transportation Security Administration; the U.S. Department of 
Transportation, Pipeline and Hazardous Materials Safety Administration; 
and any other State or Federal agency with responsibility for highway or 
motor carrier security.
    Unit 3.6--Proficiency development. This unit must provide driver-
students an opportunity to refine, within the on-street traffic 
environment, their vehicle handling skills learned in the first three 
sections. Driver-student performance progress must be closely monitored 
to determine when the level of proficiency required for carrying out the 
basic traffic maneuvers of stopping, turning, merging, straight driving, 
curves, lane changing, passing, driving on hills, driving through 
traffic restrictions, and parking has been attained. The driver-student 
must also be assessed for regulatory compliance with all traffic laws.
    Nearly all activity in this unit will take place on public roadways 
in a full range of traffic environments applicable to this vehicle 
configuration. This must include urban and rural uncontrolled roadways, 
expressways or freeways, under light, moderate, and heavy traffic 
conditions. There must be a brief classroom session to familiarize 
driver-students with the type of on-street maneuvers they will perform 
and how their performance will be rated.
    The instructor must assess the level of skill development of the 
driver-student and must increase in difficulty, based upon the level of 
skill attained, the types of maneuvers, roadways and traffic conditions 
to which the driver-student is exposed.

                     Section 4--Advanced Operations

    The units in this section must introduce higher level skills that 
can be acquired only after the more fundamental skills and knowledge 
taught in sections two and three have been mastered. They must teach the 
perceptual skills necessary to recognize potential hazards, and must 
demonstrate the procedures needed to handle an LCV when faced with a 
hazard.
    The Maintenance and Trouble-shooting Unit must provide instruction 
that addresses how to keep the vehicle in safe and efficient operating 
condition. The purpose of this unit is to teach the correct way to 
perform simple maintenance tasks, and how to troubleshoot and report 
those vehicle discrepancies or deficiencies that must be repaired by a 
qualified mechanic.
    Unit 4.1--Hazard perception. This unit must provide instruction 
addressing the principles of recognizing hazards in sufficient time to 
reduce the severity of the hazard and neutralize a possible emergency 
situation. While hazards are present in all motor vehicle traffic 
operations, some are peculiar to LCV operations. Emphasis must be placed 
upon hazard recognition, visual search, and response to possible 
emergency-producing situations encountered by LCV drivers in various 
traffic situations.
    Unit 4.2--Hazardous situations. This unit must address dealing with 
specific procedures appropriate for LCV emergencies. These must include 
evasive steering, emergency braking, off-road recovery, brake failures, 
tire blowouts, rearward amplification, hydroplaning, skidding, 
jackknifing and the rollover phenomenon. The discussion must include a 
review of unsafe acts and the role they play in producing hazardous 
situations.
    Unit 4.3--Maintenance and trouble-shooting. This unit must introduce 
driver-students to the basic servicing and checking procedures for the 
various vehicle components and provide knowledge of conducting 
preventive maintenance functions, making simple emergency repairs, and 
diagnosing and reporting vehicle malfunctions.

                    Section 5--Non-Driving Activities

    The units in this section must cover activities that are not 
directly related to the vehicle itself but must be performed by an LCV 
driver. The units in this section must ensure these activities are 
performed in a manner that ensures the safety of the driver, vehicle, 
cargo, and other road users.
    Unit 5.1--Routes and trip planning. This unit must address the 
importance of and requirements for planning routes and trips. This must 
include classroom discussion of Federal and State requirements for a 
number of topics including permits, vehicle size and weight limitations, 
designated highways, local access, the reasonable access rule, staging 
areas, and access zones.
    Unit 5.2--Cargo and weight considerations. This unit must address 
the importance of proper cargo documentation, loading, securing and 
unloading cargo, weight distribution, load sequencing and trailer 
placement. Emphasis must be placed on the importance of axle weight 
distribution, as well as on trailer placement and its effect on vehicle 
handling.

[69 FR 29404, May 21, 2004, as amended at 78 FR 58479, Sept. 24, 2013]

[[Page 170]]



PART 381_WAIVERS, EXEMPTIONS, AND PILOT PROGRAMS--Table of Contents



                            Subpart A_General

Sec.
381.100 What is the purpose of this part?
381.105 Who is required to comply with the rules in this part?
381.110 What definitions are applicable to this part?

               Subpart B_Procedures for Requesting Waivers

381.200 What is a waiver?
381.205 How do I determine when I may request a waiver?
381.210 How do I request a waiver?
381.215 What will the FMCSA do after the agency receives my request for 
          a waiver?
381.220 How long will it take the agency to respond to my request for a 
          waiver?
381.225 Who should I contact if I have questions about the information I 
          am required to submit to the FMCSA or about the status of my 
          request for a waiver?

            Subpart C_Procedures for Applying for Exemptions

381.300 What is an exemption?
381.305 How do I determine when I may apply for an exemption?
381.310 How do I apply for an exemption?
381.315 What will the FMCSA do after the agency receives my application 
          for an exemption?
381.f320 How long will it take the agency to respond to my application 
          for an exemption?
381.325 Who should I contact if I have questions about the information I 
          am required to submit to the FMCSA or about the status of my 
          application for an exemption?
381.330 What am I required to do if the FMCSA grants my application for 
          an exemption?

                 Subpart D_Initiation of Pilot Programs

381.400 What is a pilot program?
381.405 Who determines whether a pilot program should be initiated?
381.410 What may I do if I have an idea or suggestion for a pilot 
          program?
381.415 Who should I contact if I have questions about the information 
          to be included in my suggestion?
381.420 What will the FMCSA do after the agency receives my suggestion 
          for a pilot program?

         Subpart E_Administrative Procedures for Pilot Programs

381.500 What are the general requirements the agency must satisfy in 
          conducting a pilot program?
381.505 What are the minimum elements required for a pilot program?
381.510 May the FMCSA end a pilot program before its scheduled 
          completion date?
381.515 May the FMCSA remove approved participants from a pilot program?
381.520 What will the FMCSA do with the results from a pilot program?

                   Subpart F_Preemption of State Rules

381.600 Do waivers, exemptions, and pilot programs preempt State laws 
          and regulations?

    Authority: 49 U.S.C. 31136(e) and 31315; and 49 CFR 1.87.

    Source: 63 FR 67608, Dec. 8, 1998, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 381 appear at 66 FR 
49872, Oct. 1, 2001.



                            Subpart A_General



Sec.381.100  What is the purpose of this part?

    This part prescribes the rules and procedures for requesting waivers 
and applying for exemptions from those provisions of the Federal Motor 
Carrier Safety Regulations (FMCSRs) which were issued on the authority 
of 49 U.S.C. 31136 or chapter 313, and the initiation and administration 
of pilot programs.



Sec.381.105  Who is required to comply with the rules in this part?

    (a) You must comply with the rules in this part if you are going to 
request a waiver or apply for an exemption.
    (b) You should follow the instructions in subpart D of this part if 
you would like to recommend the agency initiate a pilot program.



Sec.381.110  What definitions are applicable to this part?

    Commercial motor vehicle means any motor vehicle that meets the 
definition of ``commercial motor vehicle'' found at 49 CFR 382.107 
concerning controlled substances and alcohol use and testing, 49 CFR 
383.5 concerning commercial driver's license standards, or 49

[[Page 171]]

CFR 390.5 concerning parts 390 through 399 of the FMCSRs.
    Federal Motor Carrier Safety Administrator (the Administrator) means 
the chief executive of the Federal Motor Carrier Safety Administration, 
an agency within the Department of Transportation.
    FMCSRs means Federal Motor Carrier Safety Regulations (49 CFR parts 
382 and 383, Sec. Sec.385.21 and 390.21, parts 391 through 393, 395, 
396, and 399).
    You means an individual or motor carrier or other entity that is, or 
will be, responsible for the operation of a CMV(s). The term includes a 
motor carrier's agents, officers and representatives as well as 
employees responsible for hiring, supervising, training, assigning, or 
dispatching of drivers and employees concerned with the installation, 
inspection, and maintenance of motor vehicle equipment and/or 
accessories. You also includes any interested party who would like to 
suggest or recommend that the FMCSA initiate a pilot program.



               Subpart B_Procedures for Requesting Waivers



Sec.381.200  What is a waiver?

    (a) A waiver is temporary regulatory relief from one or more FMCSR 
given to a person subject to the regulations, or a person who intends to 
engage in an activity that would be subject to the regulations.
    (b) A waiver provides the person with relief from the regulations 
for up to three months.
    (c) A waiver is intended for unique, non-emergency events and is 
subject to conditions imposed by the Administrator.
    (d) Waivers may only be granted from one or more of the requirements 
contained in the following parts and sections of the FMCSRs:
    (1) Part 382--Controlled Substances and Alcohol Use and Testing;
    (2) Part 383--Commercial Driver's License Standards; Requirements 
and Penalties;
    (3) Sec.390.19 Motor Carrier Identification Report;
    (4) Sec.390.21 Marking of commercial motor vehicles;
    (5) Part 391--Qualifications of Drivers;
    (6) Part 392--Driving of Commercial Motor Vehicles;
    (7) Part 393--Parts and Accessories Necessary for Safe Operation;
    (8) Part 395--Hours of Service of Drivers;
    (9) Part 396--Inspection, Repair, and Maintenance (except Sec.
396.25); and
    (10) Part 399--Step, Handhold and Deck Requirements.



Sec.381.205  How do I determine when I may request a waiver?

    (a) You may request a waiver if one or more FMCSR would prevent you 
from using or operating CMVs, or make it unreasonably difficult to do 
so, during a unique, non-emergency event that will take no more than 
three months to complete.
    (b) Before you decide to request a waiver, you should carefully 
review the regulation to determine whether there are any practical 
alternatives already available that would allow your use or operation of 
CMVs during the event. You should also determine whether you need a 
waiver from all of the requirements in one or more parts of the 
regulations, or whether a more limited waiver of certain sections within 
one or more of the parts of the regulations would provide an acceptable 
level of regulatory relief. For example, if you need relief from one of 
the recordkeeping requirements concerning driver qualifications, you 
should not request relief from all of the requirements of part 391.



Sec.381.210  How do I request a waiver?

    (a) You must send a written request (for example, a typed or 
handwritten (printed) letter), which includes all of the information 
required by this section, to the Administrator, Federal Motor Carrier 
Safety Administration, 1200 New Jersey Ave., SE., Washington, DC 20590-
0001.
    (b) You must identify the person who would be covered by the waiver. 
The application for a waiver must include:
    (1) Your name, job title, mailing address, and daytime telephone 
number;
    (2) The name of the individual, motor carrier, or other entity that 
would be responsible for the use or operation of

[[Page 172]]

CMVs during the unique, non-emergency event;
    (3) Principal place of business for the motor carrier or other 
entity (street address, city, State, and zip code); and
    (4) The USDOT identification number for the motor carrier, if 
applicable.
    (c) You must provide a written statement that:
    (1) Describes the unique, non-emergency event for which the waiver 
would be used, including the time period during which the waiver is 
needed;
    (2) Identifies the regulation that you believe needs to be waived;
    (3) Provides an estimate of the total number of drivers and CMVs 
that would be operated under the terms and conditions of the waiver; and
    (4) Explains how you would ensure that you could achieve a level of 
safety that is equivalent to, or greater than, the level of safety that 
would be obtained by complying with the regulation.

[72 FR 67608, Dec. 8, 1998, as amended at 72 FR 55699, Oct. 1, 2007]



Sec.381.215  What will the FMCSA do after the agency receives my 
request for a waiver?

    (a) The Federal Motor Carrier Safety Administration will review your 
request and make a recommendation to the Administrator. The final 
decision whether to grant or deny the application for a waiver will be 
made by the Administrator.
    (b) After a decision is signed by the Administrator, you will be 
sent a copy of the document, which will include the terms and conditions 
for the waiver or the reason for denying the application for a waiver.



Sec.381.220  How long will it take the agency to respond to my
request for a waiver?

    You should receive a response from the agency within 60 calendar 
days from the date the Administrator receives your request. However, 
depending on the complexity of the issues discussed in your application, 
and the availability of staff to review the material, a final decision 
may take up to 120 days.



Sec.381.225  Who should I contact if I have questions about the
information I am required to submit to the FMCSA or about the status
of my request for a waiver?

    You should contact the Federal Motor Carrier Safety Administration, 
Office of Bus and Truck Standards and Operations (MC-PS), 1200 New 
Jersey Ave., SE., Washington, DC 20590-0001.

[63 FR 67608, Dec. 8, 1998, as amended at 72 FR 55699, Oct. 1, 2007]



            Subpart C_Procedures for Applying for Exemptions



Sec.381.300  What is an exemption?

    (a) An exemption is temporary regulatory relief from one or more 
FMCSR given to a person or class of persons subject to the regulations, 
or who intend to engage in an activity that would make them subject to 
the regulations.
    (b) An exemption provides the person or class of persons with relief 
from the regulations for up to two years, and may be renewed.
    (c) Exemptions may only be granted from one or more of the 
requirements contained in the following parts and sections of the 
FMCSRs:
    (1) Part 382--Controlled Substances and Alcohol Use and Testing;
    (2) Part 383--Commercial Driver's License Standards; Requirements 
and Penalties;
    (3) Part 391--Qualifications of Drivers;
    (4) Part 392--Driving of Commercial Motor Vehicles;
    (5) Part 393--Parts and Accessories Necessary for Safe Operation;
    (6) Part 395--Hours of Service of Drivers;
    (7) Part 396--Inspection, Repair, and Maintenance (except for Sec.
396.25); and
    (8) Part 399--Step, Handhold and Deck Requirements.



Sec.381.305  How do I determine when I may apply for an exemption?

    (a) You may apply for an exemption if one or more FMCSR prevents you 
from implementing more efficient or effective operations that would 
maintain a level of safety equivalent to, or greater than, the level 
achieved without the exemption.

[[Page 173]]

    (b) Before you decide to apply for an exemption you should carefully 
review the regulation to determine whether there are any practical 
alternatives already available that would allow you to conduct your 
motor carrier operations. You should also determine whether you need an 
exemption from all of the requirements in one or more parts of the 
regulations, or whether a more limited exemption from certain sections 
within one or more parts of the regulations would provide an acceptable 
level of regulatory relief. For example, if you need regulatory relief 
from one of the recordkeeping requirements concerning driver 
qualifications, you should not request regulatory relief from all of the 
requirements of part 391.



Sec.381.310  How do I apply for an exemption?

    (a) You must send a written request (for example, a typed or 
handwritten (printed) letter), which includes all of the information 
required by this section, to the Administrator, Federal Motor Carrier 
Safety Administration, 1200 New Jersey Ave., SE., Washington, DC 20590-
0001.
    (b) You must identify the person or class of persons who would be 
covered by the exemption. The application for an exemption must include:
    (1) Your name, job title, mailing address, and daytime telephone 
number;
    (2) The name of the individual or motor carrier that would be 
responsible for the use or operation of CMVs;
    (3) Principal place of business for the motor carrier (street 
address, city, State, and zip code); and
    (4) The USDOT identification number for the motor carrier.
    (c) You must provide a written statement that:
    (1) Describes the reason the exemption is needed, including the time 
period during which it is needed;
    (2) Identifies the regulation from which you would like to be 
exempted;
    (3) Provides an estimate of the total number of drivers and CMVs 
that would be operated under the terms and conditions of the exemption;
    (4) Assesses the safety impacts the exemption may have;
    (5) Explains how you would ensure that you could achieve a level of 
safety that is equivalent to, or greater than, the level of safety that 
would be obtained by complying with the regulation; and
    (6) Describes the impacts (e.g., inability to test innovative safety 
management control systems, etc.) you could experience if the exemption 
is not granted by the FMCSA.
    (d) Your application must include a copy of all research reports, 
technical papers, and other publications and documents you reference.

[63 FR 67608, Dec. 8, 1998, as amended at 72 FR 55700, Oct. 1, 2007; 69 
FR 29404, May 21, 2004, 78 FR 58479, Sept. 24, 2013]



Sec.381.315  What will the FMCSA do after the agency receives my
application for an exemption?

    (a) The Federal Motor Carrier Safety Administration will review your 
application and prepare, for the Administrator's signature, a Federal 
Register notice requesting public comment on your application for an 
exemption. The notice will give the public an opportunity to review your 
request and your safety assessment or analysis (required by Sec.
381.310) and any other relevant information known to the agency.
    (b) After a review of the comments received in response to the 
Federal Register notice described in paragraph (a) of this section, the 
Federal Motor Carrier Safety Administration will make a 
recommendation(s) to the Administrator to either to grant or deny the 
exemption. Notice of the Administrator's decision will be published in 
the Federal Register.
    (c)(1) If the exemption is granted, the notice will identify the 
provisions of the FMCSRs from which you will be exempt, the effective 
period, and all terms and conditions of the exemption.
    (2) If the exemption is denied, the notice will explain the reason 
for the denial.
    (d) A copy of your application for an exemption and all comments 
received in response to the Federal Register notice will be included in 
a public docket and be available for review by interested parties.
    (1) Interested parties may view the information contained in the 
docket by

[[Page 174]]

visiting the Department of Transportation, Docket Management Facility, 
1200 New Jersey Ave., SE., Washington, DC 20590-0001. All information in 
the exemption docket will be available for examination at this address 
from 10 a.m. to 5 p.m., e.t., Monday through Friday, except Federal 
holidays.
    (2) Internet users can access all information received by the 
Department of Transportation, Docket Management Facility by using the 
Federal Docket Management System using the uniform resources locator 
(URL): http://www.regulations.gov. It is available 24 hours each day, 
365 days each year. Please follow the instructions online for more 
information and help.

[63 FR 67608, Dec. 8, 1998, as amended at 72 FR 55700, Oct. 1, 2007]



Sec.381.320  How long will it take the agency to respond to my 
application for an exemption?

    The agency will attempt to issue a final decision within 180 days of 
the date it receives your application. However, if you leave out 
important details or other information necessary for the FMCSA to 
prepare a meaningful request for public comments, the agency will 
attempt to issue a final decision within 180 days of the date it 
receives the additional information.



Sec.381.325  Who should I contact if I have questions about the
information I am required to submit to the FMCSA or about the status 
of my application for an exemption?

    You should contact the Federal Motor Carrier Safety Administration, 
Office of Bus and Truck Standards and Operations (MC-PS), 1200 New 
Jersey Ave., SE., Washington, DC 20590-0001.

[63 FR 67608, Dec. 8, 1998, as amended at 72 FR 55700, Oct. 1, 2007]



Sec.381.330  What am I required to do if the FMCSA grants my 
application for an exemption?

    (a) You must comply with all the terms and conditions of the 
exemption.
    (b) The FMCSA will immediately revoke your exemption if:
    (1) You fail to comply with the terms and conditions of the 
exemption;
    (2) The exemption has resulted in a lower level of safety than was 
maintained before the exemption was granted; or
    (3) Continuation of the exemption is determined by the FMCSA to be 
inconsistent with the goals and objectives of the FMCSRs.



                 Subpart D_Initiation of Pilot Programs



Sec.381.400  What is a pilot program?

    (a) A pilot program is a study in which temporary regulatory relief 
from one or more FMCSR is given to a person or class of persons subject 
to the regulations, or a person or class of persons who intend to engage 
in an activity that would be subject to the regulations.
    (b) During a pilot program, the participants would be given an 
exemption from one or more sections or parts of the regulations for a 
period of up to three years.
    (c) A pilot program is intended for use in collecting specific data 
for evaluating alternatives to the regulations or innovative approaches 
to safety while ensuring that the safety performance goals of the 
regulations are satisfied.
    (d) The number of participants in the pilot program must be large 
enough to ensure statistically valid findings.
    (e) Pilot programs must include an oversight plan to ensure that 
participants comply with the terms and conditions of participation, and 
procedures to protect the health and safety of study participants and 
the general public.
    (f) Exemptions for pilot programs may be granted only from one or 
more of the requirements contained in the following parts and sections 
of the FMCSRs:
    (1) Part 382--Controlled Substances and Alcohol Use and Testing;
    (2) Part 383--Commercial Driver's License Standards; Requirements 
and Penalties;
    (3) Part 391--Qualifications of Drivers;
    (4) Part 392--Driving of Commercial Motor Vehicles;
    (5) Part 393--Parts and Accessories Necessary for Safe Operation;
    (6) Part 395--Hours of Service of Drivers;

[[Page 175]]

    (7) Part 396--Inspection, Repair, and Maintenance (except for Sec.
396.25); and
    (8) Part 399--Step, Handhold and Deck Requirements.



Sec.381.405  Who determines whether a pilot program should be initiated?

    (a) Generally, pilot programs are initiated by the FMCSA when the 
agency determines that there may be an effective alternative to one or 
more of the requirements in the FMCSRs, but does not have sufficient 
research data to support the development of a notice of proposed 
rulemaking to change the regulation.
    (b) You may request the FMCSA to initiate a pilot program. However, 
the decision of whether to propose a pilot program will be made at the 
discretion of the FMCSA. The FMCSA is not required to publish a notice 
in the Federal Register requesting public comment on your ideas or 
suggestions for pilot programs.



Sec.381.410  What may I do if I have an idea or suggestion for a pilot program?

    (a) You may send a written statement (for example, a typed or 
handwritten (printed) letter) to the Administrator, Federal Motor 
Carrier Safety Administration, 1200 New Jersey Ave., SE., Washington, DC 
20590-0001.
    (b) You should identify the persons or class of persons who would be 
covered by the pilot program exemptions. Your letter should include:
    (1) Your name, job title, mailing address, and daytime telephone 
number;
    (2) The name of the individuals or motor carrier that would be 
responsible for the use or operation of CMVs covered by the pilot 
program, if there are motor carriers that have expressed an interest in 
participating in the program;
    (3) Principal place of business for the motor carrier (street 
address, city, State, and zip code); and
    (4) The USDOT identification number for the motor carrier.
    (c) You should provide a written statement that:
    (1) Presents your estimate of the potential benefits to the motor 
carrier industry, the FMCSA, and the general public if the pilot program 
is conducted, and describes how you developed your estimate;
    (2) Estimates of the amount of time that would be needed to conduct 
the pilot program (e.g., the time needed to complete the collection and 
analysis of data);
    (3) Identifies the regulation from which the participants would need 
to be exempted;
    (4) Recommends a reasonable number of participants necessary to 
yield statistically valid findings;
    (5) Provides ideas or suggestions for a monitoring plan to ensure 
that participants comply with the terms and conditions of participation;
    (6) Provides ideas or suggestions for a plan to protect the health 
and safety of study participants and the general public.
    (7) Assesses the safety impacts the pilot program exemption may 
have; and
    (8) Provides recommendations on how the safety measures in the pilot 
project would be designed to achieve a level of safety that is 
equivalent to, or greater than, the level of safety that would be 
obtained by complying with the regulation.
    (d) Your recommendation should include a copy of all research 
reports, technical papers, publications and other documents you 
reference.

[63 FR 67608, Dec. 8, 1998, as amended at 72 FR 55700, Oct. 1, 2007; 78 
FR 58479, Sept. 24, 2013]



Sec.381.415  Who should I contact if I have questions about the information
to be included in my suggestion?

    You should contact the Federal Motor Carrier Safety Administration, 
Office of Bus and Truck Standards and Operations (MC-PS), 1200 New 
Jersey Ave., SE., Washington, DC 20590-0001.

[63 FR 67608, Dec. 8, 1998, as amended at 72 FR 55700, Oct. 1, 2007]



Sec.381.420  What will the FMCSA do after the agency receives my suggestion 
for a pilot program?

    (a) The Federal Motor Carrier Safety Administration will review your 
suggestion for a pilot program and make a recommendation to the 
Administrator. The final decision whether to propose

[[Page 176]]

the development of a pilot program based upon your recommendation will 
be made by the Administrator.
    (b) You will be sent a copy of the Administrator's decision. If the 
pilot program is approved, the agency will follow the administrative 
procedures contained in subpart E of this part.



         Subpart E_Administrative Procedures for Pilot Programs



Sec.381.500  What are the general requirements the agency must satisfy
in conducting a pilot program?

    (a) The FMCSA may conduct pilot programs to evaluate alternatives to 
regulations, or innovative approaches, concerning motor carrier, CMV, 
and driver safety.
    (b) Pilot programs may include exemptions from the regulations 
listed in Sec.381.400(f) of this part.
    (c) Pilot programs must, at a minimum, include all of the program 
elements listed in Sec.381.505.
    (d) The FMCSA will publish a detailed description of each pilot 
program, including the exemptions to be considered, and provide notice 
and an opportunity for public comment before the effective date of the 
pilot program.

[63 FR 67608, Dec. 8, 1998, as amended at 78 FR 60231, Oct. 1, 2013]



Sec.381.505  What are the minimum elements required for a pilot program?

    (a) Safety measures. Before granting exemptions for a pilot program, 
the FMCSA will ensure that the safety measures in a pilot program are 
designed to achieve a level of safety that is equivalent to, or greater 
than, the level of safety that would be achieved by complying with the 
regulations.
    (b) Pilot program plan. Before initiating a pilot program, the FMCSA 
will ensure that there is a pilot program plan which includes the 
following elements:
    (1) A scheduled duration of three years or less;
    (2) A specific data collection and safety analysis plan that 
identifies a method of comparing the safety performance for motor 
carriers, CMVs, and drivers operating under the terms and conditions of 
the pilot program, with the safety performance of motor carriers, CMVs, 
and drivers that comply with the regulation;
    (3) A reasonable number of participants necessary to yield 
statistically valid findings;
    (4) A monitoring plan to ensure that participants comply with the 
terms and conditions of participation in the pilot program;
    (5) Adequate safeguards to protect the health and safety of study 
participants and the general public; and
    (6) A plan to inform the States and the public about the pilot 
program and to identify approved participants to enforcement personnel 
and the general public.



Sec.381.510  May the FMCSA end a pilot program before its scheduled
completion date?

    The FMCSA will immediately terminate a pilot program if there is 
reason to believe the program is not achieving a level of safety that is 
at least equivalent to the level of safety that would be achieved by 
complying with the regulations.



Sec.381.515  May the FMCSA remove approved participants from a pilot program?

    The Administrator will immediately revoke participation in a pilot 
program of a motor carrier, CMV, or driver for failure to comply with 
the terms and conditions of the pilot program, or if continued 
participation is inconsistent with the goals and objectives of the 
safety regulations.



Sec.381.520  What will the FMCSA do with the results from a pilot program?

    At the conclusion of each pilot program, the FMCSA will report to 
Congress the findings and conclusions of the program and any 
recommendations it considers appropriate, including suggested amendments 
to laws and regulations that would enhance motor carrier, CMV, and 
driver safety and improve compliance with the FMCSRs.

[[Page 177]]



                   Subpart F_Preemption of State Rules



Sec.381.600  Do waivers, exemptions, and pilot programs preempt State
laws and regulations?

    Yes. During the time period that a waiver, exemption, or pilot 
program authorized by this part is in effect, no State shall enforce any 
law or regulation that conflicts with or is inconsistent with the 
waiver, exemption, or pilot program with respect to a person operating 
under the waiver or exemption or participating in the pilot program.



PART 382_CONTROLLED SUBSTANCES AND ALCOHOL USE AND TESTING
--Table of Contents



                            Subpart A_General

Sec.
382.101 Purpose
382.103 Applicability.
382.105 Testing procedures.
382.107 Definitions.
382.109 Preemption of State and local laws.
382.111 Other requirements imposed by employers.
382.113 Requirements for notice.
382.115 Starting date for testing programs.
382.117 Public interest exclusion.
382.119 Stand-down waiver provision.
382.121 Employee admission of alcohol and controlled substances use.

                         Subpart B_Prohibitions

382.201 Alcohol concentration.
382.205 On-duty use.
382.207 Pre-duty use.
382.209 Use following an accident.
382.211 Refusal to submit to a required alcohol or controlled substances 
          test.
382.213 Controlled substances use.
382.215 Controlled substances testing.

                        Subpart C_Tests Required

382.301 Pre-employment testing.
382.303 Post-accident testing.
382.305 Random testing.
382.307 Reasonable suspicion testing.
382.309 Return-to-duty testing.
382.311 Follow-up testing.

       Subpart D_Handling of Test Results, Record Retention, and 
                             Confidentiality

382.401 Retention of records.
382.403 Reporting of results in a management information system.
382.405 Access to facilities and records.
382.407 Medical review officer notifications to the employer.
382.409 Medical review officer record retention for controlled 
          substances.
382.411 Employer notifications.
382.413 Inquiries for alcohol and controlled substances information from 
          previous employers.

  Subpart E_Consequences for Drivers Engaging in Substance Use-Related 
                                 Conduct

382.501 Removal from safety-sensitive function.
382.503 Required evaluation and testing.
382.505 Other alcohol-related conduct.
382.507 Penalties.

  Subpart F_Alcohol Misuse and Controlled Substances Use Information, 
                         Training, and Referral

382.601 Employer obligation to promulgate a policy on the misuse of 
          alcohol and use of controlled substances.
382.603 Training for supervisors.
382.605 Referral, evaluation, and treatment.

    Authority: 49 U.S.C. 31133, 31136, 31301 et seq., 31502; sec. 32934 
of Pub. L. 112-141, 126 Stat. 405, 830; and 49 CFR 1.87.

    Source: 66 FR 43103, Aug. 17, 2001, unless otherwise noted.



                            Subpart A_General



Sec.382.101  Purpose.

    The purpose of this part is to establish programs designed to help 
prevent accidents and injuries resulting from the misuse of alcohol or 
use of controlled substances by drivers of commercial motor vehicles.



Sec.382.103  Applicability.

    (a) This part applies to every person and to all employers of such 
persons who operate a commercial motor vehicle in commerce in any State, 
and is subject to:
    (1) The commercial driver's license requirements of part 383 of this 
subchapter;
    (2) The Licencia Federal de Conductor (Mexico) requirements; or
    (3) The commercial drivers license requirements of the Canadian 
National Safety Code.
    (b) An employer who employs himself/herself as a driver must comply 
with both the requirements in this part

[[Page 178]]

that apply to employers and the requirements in this part that apply to 
drivers. An employer who employs only himself/herself as a driver shall 
implement a random alcohol and controlled substances testing program of 
two or more covered employees in the random testing selection pool.
    (c) The exceptions contained in Sec.390.3(f) of this subchapter do 
not apply to this part. The employers and drivers identified in Sec.
390.3(f) of this subchapter must comply with the requirements of this 
part, unless otherwise specifically provided in paragraph (d) of this 
section.
    (d) Exceptions. This part shall not apply to employers and their 
drivers:
    (1) Required to comply with the alcohol and/or controlled substances 
testing requirements of part 655 of this title (Federal Transit 
Administration alcohol and controlled substances testing regulations); 
or
    (2) Who a State must waive from the requirements of part 383 of this 
subchapter. These individuals include active duty military personnel; 
members of the reserves; and members of the national guard on active 
duty, including personnel on full-time national guard duty, personnel on 
part-time national guard training and national guard military 
technicians (civilians who are required to wear military uniforms), and 
active duty U.S. Coast Guard personnel; or
    (3) Who a State has, at its discretion, exempted from the 
requirements of part 383 of this subchapter. These individuals may be:
    (i) Operators of a farm vehicle which is:
    (A) Controlled and operated by a farmer;
    (B) Used to transport either agricultural products, farm machinery, 
farm supplies, or both to or from a farm;
    (C) Not used in the operations of a common or contract motor 
carrier; and
    (D) Used within 241 kilometers (150 miles) of the farmer's farm.
    (ii) Firefighters or other persons who operate commercial motor 
vehicles which are necessary for the preservation of life or property or 
the execution of emergency governmental functions, are equipped with 
audible and visual signals, and are not subject to normal traffic 
regulation.
    (4) Who operate ``covered farm vehicles,'' as defined in 49 CFR 
390.5.

[66 FR 43103, Aug. 17, 2001, as amended at 78 FR 16194, Mar. 14, 2013]



Sec.382.105  Testing procedures.

    Each employer shall ensure that all alcohol or controlled substances 
testing conducted under this part complies with the procedures set forth 
in part 40 of this title. The provisions of part 40 of this title that 
address alcohol or controlled substances testing are made applicable to 
employers by this part.



Sec.382.107  Definitions.

    Words or phrases used in this part are defined in Sec. Sec.386.2 
and 390.5 of this subchapter, and Sec.40.3 of this title, except as 
provided in this section--
    Actual knowledge for the purpose of subpart B of this part, means 
actual knowledge by an employer that a driver has used alcohol or 
controlled substances based on the employer's direct observation of the 
employee, information provided by the driver's previous employer(s), a 
traffic citation for driving a CMV while under the influence of alcohol 
or controlled substances or an employee's admission of alcohol or 
controlled substance use, except as provided in Sec.382.121. Direct 
observation as used in this definition means observation of alcohol or 
controlled substances use and does not include observation of employee 
behavior or physical characteristics sufficient to warrant reasonable 
suspicion testing under Sec.382.307.
    Alcohol means the intoxicating agent in beverage alcohol, ethyl 
alcohol, or other low molecular weight alcohols including methyl and 
isopropyl alcohol.
    Alcohol concentration (or content) means the alcohol in a volume of 
breath expressed in terms of grams of alcohol per 210 liters of breath 
as indicated by an evidential breath test under this part.
    Alcohol use means the drinking or swallowing of any beverage, liquid 
mixture or preparation (including any medication), containing alcohol.
    Commerce means:
    (1) Any trade, traffic or transportation within the jurisdiction of 
the

[[Page 179]]

United States between a place in a State and a place outside of such 
State, including a place outside of the United States; and
    (2) Trade, traffic, and transportation in the United States which 
affects any trade, traffic, and transportation described in paragraph 
(1) of this definition.
    Commercial motor vehicle means a motor vehicle or combination of 
motor vehicles used in commerce to transport passengers or property if 
the vehicle
    (1) Has a gross combination weight rating or gross combination 
weight of 11,794 kilograms or more (26,001 pounds or more), whichever is 
greater, inclusive of a towed unit(s) with a gross vehicle weight rating 
or gross vehicle weight of more than 4,536 kilograms (10,000 pounds), 
whichever is greater; or
    (2) Has a gross vehicle weight rating or gross vehicle weight of 
11,794 or more kilograms (26,001 or more pounds), whichever is greater; 
or
    (3) Is designed to transport 16 or more passengers, including the 
driver; or
    (4) Is of any size and is used in the transportation of materials 
found to be hazardous for the purposes of the Hazardous Materials 
Transportation Act (49 U.S.C. 5103(b)) and which require the motor 
vehicle to be placarded under the Hazardous Materials Regulations (49 
CFR part 172, subpart F).
    Confirmation (or confirmatory) drug test means a second analytical 
procedure performed on a urine specimen to identify and quantify the 
presence of a specific drug or drug metabolite.
    Confirmation (or confirmatory) validity test means a second test 
performed on a urine specimen to further support a validity test result.
    Confirmed drug test means a confirmation test result received by an 
MRO from a laboratory.
    Consortium/Third party administrator (C/TPA) means a service agent 
that provides or coordinates one or more drug and/or alcohol testing 
services to DOT-regulated employers. C/TPAs typically provide or 
coordinate the provision of a number of such services and perform 
administrative tasks concerning the operation of the employers' drug and 
alcohol testing programs. This term includes, but is not limited to, 
groups of employers who join together to administer, as a single entity, 
the DOT drug and alcohol testing programs of its members (e.g., having a 
combined random testing pool). C/TPAs are not ``employers'' for purposes 
of this part.
    Controlled substances mean those substances identified in Sec.
40.85 of this title.
    Designated employer representative (DER) is an individual identified 
by the employer as able to receive communications and test results from 
service agents and who is authorized to take immediate actions to remove 
employees from safety-sensitive duties and to make required decisions in 
the testing and evaluation processes. The individual must be an employee 
of the company. Service agents cannot serve as DERs.
    Disabling damage means damage which precludes departure of a motor 
vehicle from the scene of the accident in its usual manner in daylight 
after simple repairs.
    (1) Inclusions. Damage to motor vehicles that could have been 
driven, but would have been further damaged if so driven.
    (2) Exclusions. (i) Damage which can be remedied temporarily at the 
scene of the accident without special tools or parts.
    (ii) Tire disablement without other damage even if no spare tire is 
available.
    (iii) Headlight or taillight damage.
    (iv) Damage to turn signals, horn, or windshield wipers which make 
them inoperative.
    DOT Agency means an agency (or ``operating administration'') of the 
United States Department of Transportation administering regulations 
requiring alcohol and/or drug testing (14 CFR parts 61, 63, 65, 121, and 
135; 49 CFR parts 199, 219, 382, and 655), in accordance with part 40 of 
this title.
    Driver means any person who operates a commercial motor vehicle. 
This includes, but is not limited to: Full time, regularly employed 
drivers; casual, intermittent or occasional drivers; leased drivers and 
independent owner-operator contractors.

[[Page 180]]

    Employer means a person or entity employing one or more employees 
(including an individual who is self-employed) that is subject to DOT 
agency regulations requiring compliance with this part. The term, as 
used in this part, means the entity responsible for overall 
implementation of DOT drug and alcohol program requirements, including 
individuals employed by the entity who take personnel actions resulting 
from violations of this part and any applicable DOT agency regulations. 
Service agents are not employers for the purposes of this part.
    Licensed medical practitioner means a person who is licensed, 
certified, and/or registered, in accordance with applicable Federal, 
State, local, or foreign laws and regulations, to prescribe controlled 
substances and other drugs.
    Performing (a safety-sensitive function) means a driver is 
considered to be performing a safety-sensitive function during any 
period in which he or she is actually performing, ready to perform, or 
immediately available to perform any safety-sensitive functions.
    Positive rate for random drug testing means the number of verified 
positive results for random drug tests conducted under this part plus 
the number of refusals of random drug tests required by this part, 
divided by the total number of random drug tests results (i.e., 
positives, negatives, and refusals) under this part.
    Refuse to submit (to an alcohol or controlled substances test) means 
that a driver:
    (1) Fail to appear for any test (except a pre-employment test) 
within a reasonable time, as determined by the employer, consistent with 
applicable DOT agency regulations, after being directed to do so by the 
employer. This includes the failure of an employee (including an owner-
operator) to appear for a test when called by a C/TPA (see Sec.
40.61(a) of this title);
    (2) Fail to remain at the testing site until the testing process is 
complete. Provided, that an employee who leaves the testing site before 
the testing process commences (see Sec.40.63(c) of this title) a pre-
employment test is not deemed to have refused to test;
    (3) Fail to provide a urine specimen for any drug test required by 
this part or DOT agency regulations. Provided, that an employee who does 
not provide a urine specimen because he or she has left the testing site 
before the testing process commences (see Sec.40.63(c) of this title) 
for a pre-employment test is not deemed to have refused to test;
    (4) In the case of a directly observed or monitored collection in a 
drug test, fails to permit the observation or monitoring of the driver's 
provision of a specimen (see Sec. Sec.40.67(l) and 40.69(g) of this 
title);
    (5) Fail to provide a sufficient amount of urine when directed, and 
it has been determined, through a required medical evaluation, that 
there was no adequate medical explanation for the failure (see Sec.
40.193(d)(2) of this title);
    (6) Fail or declines to take a second test the employer or collector 
has directed the driver to take;
    (7) Fail to undergo a medical examination or evaluation, as directed 
by the MRO as part of the verification process, or as directed by the 
DER under Sec.40.193(d) of this title. In the case of a pre-employment 
drug test, the employee is deemed to have refused to test on this basis 
only if the pre-employment test is conducted following a contingent 
offer of employment;
    (8) Fail to cooperate with any part of the testing process (e.g., 
refuse to empty pockets when so directed by the collector, behave in a 
confrontational way that disrupts the collection process); or
    (9) Is reported by the MRO as having a verified adulterated or 
substituted test result.
    Safety-sensitive function means all time from the time a driver 
begins to work or is required to be in readiness to work until the time 
he/she is relieved from work and all responsibility for performing work. 
Safety-sensitive functions shall include:
    (1) All time at an employer or shipper plant, terminal, facility, or 
other property, or on any public property, waiting to be dispatched, 
unless the driver has been relieved from duty by the employer;

[[Page 181]]

    (2) All time inspecting equipment as required by Sec. Sec.392.7 
and 392.8 of this subchapter or otherwise inspecting, servicing, or 
conditioning any commercial motor vehicle at any time;
    (3) All time spent at the driving controls of a commercial motor 
vehicle in operation;
    (4) All time, other than driving time, in or upon any commercial 
motor vehicle except time spent resting in a sleeper berth (a berth 
conforming to the requirements of Sec.393.76 of this subchapter);
    (5) All time loading or unloading a vehicle, supervising, or 
assisting in the loading or unloading, attending a vehicle being loaded 
or unloaded, remaining in readiness to operate the vehicle, or in giving 
or receiving receipts for shipments loaded or unloaded; and
    (6) All time repairing, obtaining assistance, or remaining in 
attendance upon a disabled vehicle.
    Screening test (or initial test) means:
    (1) In drug testing, a test to eliminate ``negative'' urine 
specimens from further analysis or to identify a specimen that requires 
additional testing for the presence of drugs.
    (2) In alcohol testing, an analytical procedure to determine whether 
an employee may have a prohibited concentration of alcohol in a breath 
or saliva specimen.
    Stand-down means the practice of temporarily removing an employee 
from the performance of safety-sensitive functions based only on a 
report from a laboratory to the MRO of a confirmed positive test for a 
drug or drug metabolite, an adulterated test, or a substituted test, 
before the MRO has completed verification of the test results.
    Violation rate for random alcohol testing means the number of 0.04 
and above random alcohol confirmation test results conducted under this 
part plus the number of refusals of random alcohol tests required by 
this part, divided by the total number of random alcohol screening tests 
(including refusals) conducted under this part.

[66 FR 43103, Aug. 17, 2001, as amended at 68 FR 75458, Dec. 31, 2003; 
77 FR 59825, Oct. 1, 2012]



Sec.382.109  Preemption of State and local laws.

    (a) Except as provided in paragraph (b) of this section, this part 
preempts any State or local law, rule, regulation, or order to the 
extent that:
    (1) Compliance with both the State or local requirement in this part 
is not possible; or
    (2) Compliance with the State or local requirement is an obstacle to 
the accomplishment and execution of any requirement in this part.
    (b) This part shall not be construed to preempt provisions of State 
criminal law that impose sanctions for reckless conduct leading to 
actual loss of life, injury, or damage to property, whether the 
provisions apply specifically to transportation employees, employers, or 
the general public.



Sec.382.111  Other requirements imposed by employers.

    Except as expressly provided in this part, nothing in this part 
shall be construed to affect the authority of employers, or the rights 
of drivers, with respect to the use of alcohol, or the use of controlled 
substances, including authority and rights with respect to testing and 
rehabilitation.



Sec.382.113  Requirement for notice.

    Before performing each alcohol or controlled substances test under 
this part, each employer shall notify a driver that the alcohol or 
controlled substances test is required by this part. No employer shall 
falsely represent that a test is administered under this part.



Sec.382.115  Starting date for testing programs.

    (a) All domestic-domiciled employers must implement the requirements 
of this part on the date the employer begins commercial motor vehicle 
operations.
    (b) All foreign-domiciled employers must implement the requirements 
of this part on the date the employer begins commercial motor vehicle 
operations in the United States.



Sec.382.117  Public interest exclusion.

    No employer shall use the services of a service agent who is subject 
to public

[[Page 182]]

interest exclusion in accordance with 49 CFR part 40, Subpart R.



Sec.382.119  Stand-down waiver provision.

    (a) Employers are prohibited from standing employees down, except 
consistent with a waiver from the Federal Motor Carrier Safety 
Administration as required under this section.
    (b) An employer subject to this part who seeks a waiver from the 
prohibition against standing down an employee before the MRO has 
completed the verification process shall follow the procedures in 49 CFR 
40.21. The employer must send a written request, which includes all of 
the information required by that section to the Administrator, Federal 
Motor Carrier Safety Administration, 1200 New Jersey Ave., SE., 
Washington, DC 20590-0001.
    (c) The final decision whether to grant or deny the application for 
a waiver will be made by the Administrator or the Administrator's 
designee.
    (d) After a decision is signed by the Administrator or the 
Administrator's designee, the employer will be sent a copy of the 
decision, which will include the terms and conditions for the waiver or 
the reason for denying the application for a waiver.
    (e) Questions regarding waiver applications should be directed to 
the Federal Motor Carrier Safety Administration, Office of Enforcement 
and Compliance (MC-EC), 1200 New Jersey Ave., SE., Washington, DC 20590-
0001.

[66 FR 43103, Aug. 17, 2001, as amended at 72 FR 55700, Oct. 1, 2007]



Sec.382.121  Employee admission of alcohol and controlled substances use.

    (a) Employees who admit to alcohol misuse or controlled substances 
use are not subject to the referral, evaluation and treatment 
requirements of this part and part 40 of this title, provided that:
    (1) The admission is in accordance with a written employer-
established voluntary self-identification program or policy that meets 
the requirements of paragraph (b) of this section;
    (2) The driver does not self-identify in order to avoid testing 
under the requirements of this part;
    (3) The driver makes the admission of alcohol misuse or controlled 
substances use prior to performing a safety sensitive function (i.e., 
prior to reporting for duty); and
    (4) The driver does not perform a safety sensitive function until 
the employer is satisfied that the employee has been evaluated and has 
successfully completed education or treatment requirements in accordance 
with the self-identification program guidelines.
    (b) A qualified voluntary self-identification program or policy must 
contain the following elements:
    (1) It must prohibit the employer from taking adverse action against 
an employee making a voluntary admission of alcohol misuse or controlled 
substances use within the parameters of the program or policy and 
paragraph (a) of this section;
    (2) It must allow the employee sufficient opportunity to seek 
evaluation, education or treatment to establish control over the 
employee's drug or alcohol problem;
    (3) It must permit the employee to return to safety sensitive duties 
only upon successful completion of an educational or treatment program, 
as determined by a drug and alcohol abuse evaluation expert, i.e., 
employee assistance professional, substance abuse professional, or 
qualified drug and alcohol counselor;
    (4) It must ensure that:
    (i) Prior to the employee participating in a safety sensitive 
function, the employee shall undergo a return to duty test with a result 
indicating an alcohol concentration of less than 0.02; and/or
    (ii) Prior to the employee participating in a safety sensitive 
function, the employee shall undergo a return to duty controlled 
substance test with a verified negative test result for controlled 
substances use; and
    (5) It may incorporate employee monitoring and include non-DOT 
follow-up testing.

[[Page 183]]



                         Subpart B_Prohibitions



Sec.382.201  Alcohol concentration.

    No driver shall report for duty or remain on duty requiring the 
performance of safety-sensitive functions while having an alcohol 
concentration of 0.04 or greater. No employer having knowledge that a 
driver has an alcohol concentration of 0.04 or greater shall permit the 
driver to perform or continue to perform safety-sensitive functions.

[66 FR 43103, Aug. 17, 2001, as amended at 77 FR 4483, Jan. 30, 2012]



Sec.382.205  On-duty use.

    No driver shall use alcohol while performing safety-sensitive 
functions. No employer having actual knowledge that a driver is using 
alcohol while performing safety-sensitive functions shall permit the 
driver to perform or continue to perform safety-sensitive functions.



Sec.382.207  Pre-duty use.

    No driver shall perform safety-sensitive functions within four hours 
after using alcohol. No employer having actual knowledge that a driver 
has used alcohol within four hours shall permit a driver to perform or 
continue to perform safety-sensitive functions.



Sec.382.209  Use following an accident.

    No driver required to take a post-accident alcohol test under Sec.
382.303 shall use alcohol for eight hours following the accident, or 
until he/she undergoes a post-accident alcohol test, whichever occurs 
first.



Sec.382.211  Refusal to submit to a required alcohol or controlled
substances test.

    No driver shall refuse to submit to a pre-employment controlled 
substance test required under Sec.382.301, a post-accident alcohol or 
controlled substance test required under Sec.382.303, a random alcohol 
or controlled substances test required under Sec.382.305, a reasonable 
suspicion alcohol or controlled substance test required under Sec.
382.307, a return-to-duty alcohol or controlled substances test required 
under Sec.382.309, or a follow-up alcohol or controlled substance test 
required under Sec.382.311. No employer shall permit a driver who 
refuses to submit to such tests to perform or continue to perform 
safety-sensitive functions.

[77 FR 4483, Jan. 30, 2012]



Sec.382.213  Controlled substance use.

    (a) No driver shall report for duty or remain on duty requiring the 
performance of safety sensitive functions when the driver uses any drug 
or substance identified in 21 CFR 1308.11 Schedule I.
    (b) No driver shall report for duty or remain on duty requiring the 
performance of safety-sensitive functions when the driver uses any non-
Schedule I drug or substance that is identified in the other Schedules 
in 21 CFR part 1308 except when the use is pursuant to the instructions 
of a licensed medical practitioner, as defined in Sec.382.107, who is 
familiar with the driver's medical history and has advised the driver 
that the substance will not adversely affect the driver's ability to 
safely operate a commercial motor vehicle.
    (c) No employer having actual knowledge that a driver has used a 
controlled substance shall permit the driver to perform or continue to 
perform a safety-sensitive function.
    (d) An employer may require a driver to inform the employer of any 
therapeutic drug use.

[77 FR 4483, Jan. 30, 2012]



Sec.382.215  Controlled substances testing.

    No driver shall report for duty, remain on duty or perform a safety-
sensitive function, if the driver tests positive or has adulterated or 
substituted a test specimen for controlled substances. No employer 
having knowledge that a driver has tested positive or has adulterated or 
substituted a test specimen for controlled substances shall permit the 
driver to perform or continue to perform safety-sensitive functions.

[66 FR 43103, Aug. 17, 2001, as amended at 77 FR 4483, Jan. 30, 2012]



                        Subpart C_Tests Required



Sec.382.301  Pre-employment testing.

    (a) Prior to the first time a driver performs safety-sensitive 
functions for

[[Page 184]]

an employer, the driver shall undergo testing for controlled substances 
as a condition prior to being used, unless the employer uses the 
exception in paragraph (b) of this section. No employer shall allow a 
driver, who the employer intends to hire or use, to perform safety-
sensitive functions unless the employer has received a controlled 
substances test result from the MRO or C/TPA indicating a verified 
negative test result for that driver.
    (b) An employer is not required to administer a controlled 
substances test required by paragraph (a) of this section if:
    (1) The driver has participated in a controlled substances testing 
program that meets the requirements of this part within the previous 30 
days; and
    (2) While participating in that program, either:
    (i) Was tested for controlled substances within the past 6 months 
(from the date of application with the employer), or
    (ii) Participated in the random controlled substances testing 
program for the previous 12 months (from the date of application with 
the employer); and
    (3) The employer ensures that no prior employer of the driver of 
whom the employer has knowledge has records of a violation of this part 
or the controlled substances use rule of another DOT agency within the 
previous six months.
    (c)(1) An employer who exercises the exception in paragraph (b) of 
this section shall contact the controlled substances testing program(s) 
in which the driver participates or participated and shall obtain and 
retain from the testing program(s) the following information:
    (i) Name(s) and address(es) of the program(s).
    (ii) Verification that the driver participates or participated in 
the program(s).
    (iii) Verification that the program(s) conforms to part 40 of this 
title.
    (iv) Verification that the driver is qualified under the rules of 
this part, including that the driver has not refused to be tested for 
controlled substances.
    (v) The date the driver was last tested for controlled substances.
    (vi) The results of any tests taken within the previous six months 
and any other violations of subpart B of this part.
    (2) An employer who uses, but does not employ a driver more than 
once a year to operate commercial motor vehicles must obtain the 
information in paragraph (c)(1) of this section at least once every six 
months. The records prepared under this paragraph shall be maintained in 
accordance with Sec.382.401. If the employer cannot verify that the 
driver is participating in a controlled substances testing program in 
accordance with this part and part 40 of this title, the employer shall 
conduct a pre-employment controlled substances test.
    (d) An employer may, but is not required to, conduct pre-employment 
alcohol testing under this part. If an employer chooses to conduct pre-
employment alcohol testing, it must comply with the following 
requirements:
    (1) It must conduct a pre-employment alcohol test before the first 
performance of safety-sensitive functions by every covered employee 
(whether a new employee or someone who has transferred to a position 
involving the performance of safety-sensitive functions).
    (2) It must treat all safety-sensitive employees performing safety-
sensitive functions the same for the purpose of pre-employment alcohol 
testing (i.e., it must not test some covered employees and not others).
    (3) It must conduct the pre-employment tests after making a 
contingent offer of employment or transfer, subject to the employee 
passing the pre-employment alcohol test.
    (4) It must conduct all pre-employment alcohol tests using the 
alcohol testing procedures of 49 CFR part 40 of this title.
    (5) It must not allow a covered employee to begin performing safety-
sensitive functions unless the result of the employee's test indicates 
an alcohol concentration of less than 0.04.



Sec.382.303  Post-accident testing.

    (a) As soon as practicable following an occurrence involving a 
commercial motor vehicle operating on a public road in commerce, each 
employer shall

[[Page 185]]

test for alcohol for each of its surviving drivers:
    (1) Who was performing safety-sensitive functions with respect to 
the vehicle, if the accident involved the loss of human life; or
    (2) Who receives a citation within 8 hours of the occurrence under 
State or local law for a moving traffic violation arising from the 
accident, if the accident involved:
    (i) Bodily injury to any person who, as a result of the injury, 
immediately receives medical treatment away from the scene of the 
accident; or
    (ii) One or more motor vehicles incurring disabling damage as a 
result of the accident, requiring the motor vehicle to be transported 
away from the scene by a tow truck or other motor vehicle.
    (b) As soon as practicable following an occurrence involving a 
commercial motor vehicle operating on a public road in commerce, each 
employer shall test for controlled substances for each of its surviving 
drivers:
    (1) Who was performing safety-sensitive functions with respect to 
the vehicle, if the accident involved the loss of human life; or
    (2) Who receives a citation within thirty-two hours of the 
occurrence under State or local law for a moving traffic violation 
arising from the accident, if the accident involved:
    (i) Bodily injury to any person who, as a result of the injury, 
immediately receives medical treatment away from the scene of the 
accident; or
    (ii) One or more motor vehicles incurring disabling damage as a 
result of the accident, requiring the motor vehicle to be transported 
away from the scene by a tow truck or other motor vehicle.
    (c) The following table notes when a post-accident test is required 
to be conducted by paragraphs (a)(1), (a)(2), (b)(1), and (b)(2) of this 
section:

                                       Table for Sec. 382.303(a) and (b)
----------------------------------------------------------------------------------------------------------------
                                                                      Citation issued to        Test must be
                     Type of accident involved                          the CMV driver     performed by employer
----------------------------------------------------------------------------------------------------------------
i. Human fatality.................................................                   YES                    YES
                                                                                      NO                    YES
ii. Bodily injury with immediate medical treatment away from the                     YES                    YES
 scene............................................................                    NO                     NO
iii. Disabling damage to any motor vehicle requiring tow away.....                   YES                    YES
                                                                                      NO                     NO
----------------------------------------------------------------------------------------------------------------

    (d)(1) Alcohol tests. If a test required by this section is not 
administered within two hours following the accident, the employer shall 
prepare and maintain on file a record stating the reasons the test was 
not promptly administered. If a test required by this section is not 
administered within eight hours following the accident, the employer 
shall cease attempts to administer an alcohol test and shall prepare and 
maintain the same record. Records shall be submitted to the FMCSA upon 
request.
    (2) Controlled substance tests. If a test required by this section 
is not administered within 32 hours following the accident, the employer 
shall cease attempts to administer a controlled substances test, and 
prepare and maintain on file a record stating the reasons the test was 
not promptly administered. Records shall be submitted to the FMCSA upon 
request.
    (e) A driver who is subject to post-accident testing shall remain 
readily available for such testing or may be deemed by the employer to 
have refused to submit to testing. Nothing in this section shall be 
construed to require the delay of necessary medical attention for 
injured people following an accident or to prohibit a driver from 
leaving the scene of an accident for the period necessary to obtain 
assistance in responding to the accident, or to obtain necessary 
emergency medical care.
    (f) An employer shall provide drivers with necessary post-accident 
information, procedures and instructions, prior to the driver operating 
a commercial motor vehicle, so that drivers will be

[[Page 186]]

able to comply with the requirements of this section.
    (g)(1) The results of a breath or blood test for the use of alcohol, 
conducted by Federal, State, or local officials having independent 
authority for the test, shall be considered to meet the requirements of 
this section, provided such tests conform to the applicable Federal, 
State or local alcohol testing requirements, and that the results of the 
tests are obtained by the employer.
    (2) The results of a urine test for the use of controlled 
substances, conducted by Federal, State, or local officials having 
independent authority for the test, shall be considered to meet the 
requirements of this section, provided such tests conform to the 
applicable Federal, State or local controlled substances testing 
requirements, and that the results of the tests are obtained by the 
employer.
    (h) Exception. This section does not apply to:
    (1) An occurrence involving only boarding or alighting from a 
stationary motor vehicle; or
    (2) An occurrence involving only the loading or unloading of cargo; 
or
    (3) An occurrence in the course of the operation of a passenger car 
or a multipurpose passenger vehicle (as defined in Sec.571.3 of this 
title) by an employer unless the motor vehicle is transporting 
passengers for hire or hazardous materials of a type and quantity that 
require the motor vehicle to be marked or placarded in accordance with 
Sec.177.823 of this title.



Sec.382.305  Random testing.

    (a) Every employer shall comply with the requirements of this 
section. Every driver shall submit to random alcohol and controlled 
substance testing as required in this section.
    (b)(1) Except as provided in paragraphs (c) through (e) of this 
section, the minimum annual percentage rate for random alcohol testing 
shall be 10 percent of the average number of driver positions.
    (2) Except as provided in paragraphs (f) through (h) of this 
section, the minimum annual percentage rate for random controlled 
substances testing shall be 50 percent of the average number of driver 
positions.
    (c) The FMCSA Administrator's decision to increase or decrease the 
minimum annual percentage rate for alcohol testing is based on the 
reported violation rate for the entire industry. All information used 
for this determination is drawn from the alcohol management information 
system reports required by Sec.382.403. In order to ensure reliability 
of the data, the FMCSA Administrator considers the quality and 
completeness of the reported data, may obtain additional information or 
reports from employers, and may make appropriate modifications in 
calculating the industry violation rate. In the event of a change in the 
annual percentage rate, the FMCSA Administrator will publish in the 
Federal Register the new minimum annual percentage rate for random 
alcohol testing of drivers. The new minimum annual percentage rate for 
random alcohol testing will be applicable starting January 1 of the 
calendar year following publication in the Federal Register.
    (d)(1) When the minimum annual percentage rate for random alcohol 
testing is 25 percent or more, the FMCSA Administrator may lower this 
rate to 10 percent of all driver positions if the FMCSA Administrator 
determines that the data received under the reporting requirements of 
Sec.382.403 for two consecutive calendar years indicate that the 
violation rate is less than 0.5 percent.
    (2) When the minimum annual percentage rate for random alcohol 
testing is 50 percent, the FMCSA Administrator may lower this rate to 25 
percent of all driver positions if the FMCSA Administrator determines 
that the data received under the reporting requirements of Sec.382.403 
for two consecutive calendar years indicate that the violation rate is 
less than 1.0 percent but equal to or greater than 0.5 percent.
    (e)(1) When the minimum annual percentage rate for random alcohol 
testing is 10 percent, and the data received under the reporting 
requirements of Sec.382.403 for that calendar year indicate that the 
violation rate is equal to or greater than 0.5 percent, but less than 
1.0 percent, the FMCSA Administrator

[[Page 187]]

will increase the minimum annual percentage rate for random alcohol 
testing to 25 percent for all driver positions.
    (2) When the minimum annual percentage rate for random alcohol 
testing is 25 percent or less, and the data received under the reporting 
requirements of Sec.382.403 for that calendar year indicate that the 
violation rate is equal to or greater than 1.0 percent, the FMCSA 
Administrator will increase the minimum annual percentage rate for 
random alcohol testing to 50 percent for all driver positions.
    (f) The FMCSA Administrator's decision to increase or decrease the 
minimum annual percentage rate for controlled substances testing is 
based on the reported positive rate for the entire industry. All 
information used for this determination is drawn from the controlled 
substances management information system reports required by Sec.
382.403. In order to ensure reliability of the data, the FMCSA 
Administrator considers the quality and completeness of the reported 
data, may obtain additional information or reports from employers, and 
may make appropriate modifications in calculating the industry positive 
rate. In the event of a change in the annual percentage rate, the FMCSA 
Administrator will publish in the Federal Register the new minimum 
annual percentage rate for controlled substances testing of drivers. The 
new minimum annual percentage rate for random controlled substances 
testing will be applicable starting January 1 of the calendar year 
following publication in the Federal Register.
    (g) When the minimum annual percentage rate for random controlled 
substances testing is 50 percent, the FMCSA Administrator may lower this 
rate to 25 percent of all driver positions if the FMCSA Administrator 
determines that the data received under the reporting requirements of 
Sec.382.403 for two consecutive calendar years indicate that the 
positive rate is less than 1.0 percent.
    (h) When the minimum annual percentage rate for random controlled 
substances testing is 25 percent, and the data received under the 
reporting requirements of Sec.382.403 for any calendar year indicate 
that the reported positive rate is equal to or greater than 1.0 percent, 
the FMCSA Administrator will increase the minimum annual percentage rate 
for random controlled substances testing to 50 percent of all driver 
positions.
    (i)(1) The selection of drivers for random alcohol and controlled 
substances testing shall be made by a scientifically valid method, such 
as a random number table or a computer-based random number generator 
that is matched with drivers' Social Security numbers, payroll 
identification numbers, or other comparable identifying numbers.
    (2) Each driver selected for random alcohol and controlled 
substances testing under the selection process used, shall have an equal 
chance of being tested each time selections are made.
    (3) Each driver selected for testing shall be tested during the 
selection period.
    (j)(1)To calculate the total number of covered drivers eligible for 
random testing throughout the year, as an employer, you must add the 
total number of covered drivers eligible for testing during each random 
testing period for the year and divide that total by the number of 
random testing periods. Covered employees, and only covered employees, 
are to be in an employer's random testing pool, and all covered drivers 
must be in the random pool. If you are an employer conducting random 
testing more often than once per month (e.g., daily, weekly, bi-weekly) 
you do not need to compute this total number of covered drivers rate 
more than on a once per month basis.
    (2) As an employer, you may use a service agent (e.g., a C/TPA) to 
perform random selections for you, and your covered drivers may be part 
of a larger random testing pool of covered employees. However, you must 
ensure that the service agent you use is testing at the appropriate 
percentage established for your industry and that only covered employees 
are in the random testing pool.
    (k)(1) Each employer shall ensure that random alcohol and controlled 
substances tests conducted under this part are unannounced.
    (2) Each employer shall ensure that the dates for administering 
random alcohol and controlled substances tests

[[Page 188]]

conducted under this part are spread reasonably throughout the calendar 
year.
    (l) Each employer shall require that each driver who is notified of 
selection for random alcohol and/or controlled substances testing 
proceeds to the test site immediately; provided, however, that if the 
driver is performing a safety-sensitive function, other than driving a 
commercial motor vehicle, at the time of notification, the employer 
shall instead ensure that the driver ceases to perform the safety-
sensitive function and proceeds to the testing site as soon as possible.
    (m) A driver shall only be tested for alcohol while the driver is 
performing safety-sensitive functions, just before the driver is to 
perform safety-sensitive functions, or just after the driver has ceased 
performing such functions.
    (n) If a given driver is subject to random alcohol or controlled 
substances testing under the random alcohol or controlled substances 
testing rules of more than one DOT agency for the same employer, the 
driver shall be subject to random alcohol and/or controlled substances 
testing at the annual percentage rate established for the calendar year 
by the DOT agency regulating more than 50 percent of the driver's 
function.
    (o) If an employer is required to conduct random alcohol or 
controlled substances testing under the alcohol or controlled substances 
testing rules of more than one DOT agency, the employer may--
    (1) Establish separate pools for random selection, with each pool 
containing the DOT-covered employees who are subject to testing at the 
same required minimum annual percentage rate; or
    (2) Randomly select such employees for testing at the highest 
minimum annual percentage rate established for the calendar year by any 
DOT agency to which the employer is subject.

[66 FR 43103, Aug. 17, 2001, as amended at 67 FR 61821, Oct. 2, 2002; 68 
FR 75459, Dec. 31, 2003]



Sec.382.307  Reasonable suspicion testing.

    (a) An employer shall require a driver to submit to an alcohol test 
when the employer has reasonable suspicion to believe that the driver 
has violated the prohibitions of subpart B of this part concerning 
alcohol. The employer's determination that reasonable suspicion exists 
to require the driver to undergo an alcohol test must be based on 
specific, contemporaneous, articulable observations concerning the 
appearance, behavior, speech or body odors of the driver.
    (b) An employer shall require a driver to submit to a controlled 
substances test when the employer has reasonable suspicion to believe 
that the driver has violated the prohibitions of subpart B of this part 
concerning controlled substances. The employer's determination that 
reasonable suspicion exists to require the driver to undergo a 
controlled substances test must be based on specific, contemporaneous, 
articulable observations concerning the appearance, behavior, speech or 
body odors of the driver. The observations may include indications of 
the chronic and withdrawal effects of controlled substances.
    (c) The required observations for alcohol and/or controlled 
substances reasonable suspicion testing shall be made by a supervisor or 
company official who is trained in accordance with Sec.382.603. The 
person who makes the determination that reasonable suspicion exists to 
conduct an alcohol test shall not conduct the alcohol test of the 
driver.
    (d) Alcohol testing is authorized by this section only if the 
observations required by paragraph (a) of this section are made during, 
just preceding, or just after the period of the work day that the driver 
is required to be in compliance with this part. A driver may be directed 
by the employer to only undergo reasonable suspicion testing while the 
driver is performing safety-sensitive functions, just before the driver 
is to perform safety-sensitive functions, or just after the driver has 
ceased performing such functions.
    (e)(1) If an alcohol test required by this section is not 
administered within two hours following the determination under 
paragraph (a) of this section, the employer shall prepare and maintain 
on file a record stating the reasons the alcohol test was not promptly 
administered. If an alcohol test required by

[[Page 189]]

this section is not administered within eight hours following the 
determination under paragraph (a) of this section, the employer shall 
cease attempts to administer an alcohol test and shall state in the 
record the reasons for not administering the test.
    (2) Notwithstanding the absence of a reasonable suspicion alcohol 
test under this section, no driver shall report for duty or remain on 
duty requiring the performance of safety-sensitive functions while the 
driver is under the influence of or impaired by alcohol, as shown by the 
behavioral, speech, and performance indicators of alcohol misuse, nor 
shall an employer permit the driver to perform or continue to perform 
safety-sensitive functions, until:
    (i) An alcohol test is administered and the driver's alcohol 
concentration measures less than 0.02; or
    (ii) Twenty four hours have elapsed following the determination 
under paragraph (a) of this section that there is reasonable suspicion 
to believe that the driver has violated the prohibitions in this part 
concerning the use of alcohol.
    (3) Except as provided in paragraph (e)(2) of this section, no 
employer shall take any action under this part against a driver based 
solely on the driver's behavior and appearance, with respect to alcohol 
use, in the absence of an alcohol test. This does not prohibit an 
employer with independent authority of this part from taking any action 
otherwise consistent with law.
    (f) A written record shall be made of the observations leading to an 
alcohol or controlled substances reasonable suspicion test, and signed 
by the supervisor or company official who made the observations, within 
24 hours of the observed behavior or before the results of the alcohol 
or controlled substances tests are released, whichever is earlier.



Sec.382.309  Return-to-duty testing.

    The requirements for return-to-duty testing must be performed in 
accordance with 49 CFR part 40, subpart O.



Sec.382.311  Follow-up testing.

    The requirements for follow-up testing must be performed in 
accordance with 49 CFR part 40, subpart O.



       Subpart D_Handling of Test Results, Records Retention, and 
                             Confidentiality



Sec.382.401  Retention of records.

    (a) General requirement. Each employer shall maintain records of its 
alcohol misuse and controlled substances use prevention programs as 
provided in this section. The records shall be maintained in a secure 
location with controlled access.
    (b) Period of retention. Each employer shall maintain the records in 
accordance with the following schedule:
    (1) Five years. The following records shall be maintained for a 
minimum of five years:
    (i) Records of driver alcohol test results indicating an alcohol 
concentration of 0.02 or greater,
    (ii) Records of driver verified positive controlled substances test 
results,
    (iii) Documentation of refusals to take required alcohol and/or 
controlled substances tests,
    (iv) Driver evaluation and referrals,
    (v) Calibration documentation,
    (vi) Records related to the administration of the alcohol and 
controlled substances testing programs, and
    (vii) A copy of each annual calendar year summary required by Sec.
382.403.
    (2) Two years. Records related to the alcohol and controlled 
substances collection process (except calibration of evidential breath 
testing devices) shall be maintained for a minimum of 2 years.
    (3) One year. Records of negative and canceled controlled substances 
test results (as defined in part 40 of this title) and alcohol test 
results with a concentration of less than 0.02 shall be maintained for a 
minimum of one year.
    (4) Indefinite period. Records related to the education and training 
of breath alcohol technicians, screening test technicians, supervisors, 
and drivers shall be maintained by the employer while the individual 
performs the functions which require the training and for two years 
after ceasing to perform those functions.
    (c) Types of records. The following specific types of records shall 
be maintained. ``Documents generated'' are documents that may have to be 
prepared under a requirement of this part.

[[Page 190]]

If the record is required to be prepared, it must be maintained.
    (1) Records related to the collection process:
    (i) Collection logbooks, if used;
    (ii) Documents relating to the random selection process;
    (iii) Calibration documentation for evidential breath testing 
devices;
    (iv) Documentation of breath alcohol technician training;
    (v) Documents generated in connection with decisions to administer 
reasonable suspicion alcohol or controlled substances tests;
    (vi) Documents generated in connection with decisions on post-
accident tests;
    (vii) Documents verifying existence of a medical explanation of the 
inability of a driver to provide adequate breath or to provide a urine 
specimen for testing; and
    (viii) A copy of each annual calendar year summary as required by 
Sec.382.403.
    (2) Records related to a driver's test results:
    (i) The employer's copy of the alcohol test form, including the 
results of the test;
    (ii) The employer's copy of the controlled substances test chain of 
custody and control form;
    (iii) Documents sent by the MRO to the employer, including those 
required by part 40, subpart G, of this title;
    (iv) Documents related to the refusal of any driver to submit to an 
alcohol or controlled substances test required by this part;
    (v) Documents presented by a driver to dispute the result of an 
alcohol or controlled substances test administered under this part; and
    (vi) Documents generated in connection with verifications of prior 
employers' alcohol or controlled substances test results that the 
employer:
    (A) Must obtain in connection with the exception contained in Sec.
382.301, and
    (B) Must obtain as required by Sec.382.413.
    (3) Records related to other violations of this part.
    (4) Records related to evaluations:
    (i) Records pertaining to a determination by a substance abuse 
professional concerning a driver's need for assistance; and
    (ii) Records concerning a driver's compliance with recommendations 
of the substance abuse professional.
    (5) Records related to education and training:
    (i) Materials on alcohol misuse and controlled substance use 
awareness, including a copy of the employer's policy on alcohol misuse 
and controlled substance use;
    (ii) Documentation of compliance with the requirements of Sec.
382.601, including the driver's signed receipt of education materials;
    (iii) Documentation of training provided to supervisors for the 
purpose of qualifying the supervisors to make a determination concerning 
the need for alcohol and/or controlled substances testing based on 
reasonable suspicion;
    (iv) Documentation of training for breath alcohol technicians as 
required by Sec.40.213(g) of this title; and
    (v) Certification that any training conducted under this part 
complies with the requirements for such training.
    (6) Administrative records related to alcohol and controlled 
substances testing:
    (i) Agreements with collection site facilities, laboratories, breath 
alcohol technicians, screening test technicians, medical review 
officers, consortia, and third party service providers;
    (ii) Names and positions of officials and their role in the 
employer's alcohol and controlled substances testing program(s);
    (iii) Semi-annual laboratory statistical summaries of urinalysis 
required by Sec.40.111(a) of this title; and
    (iv) The employer's alcohol and controlled substances testing policy 
and procedures.
    (d) Location of records. All records required by this part shall be 
maintained as required by Sec.390.29 of this subchapter and shall be 
made available for inspection at the employer's principal place of 
business within two business days after a request has been made by an 
authorized representative of the Federal Motor Carrier Safety 
Administration.
    (e) OMB control number. (1) The information collection requirements 
of this part have been reviewed by the Office of Management and Budget 
pursuant to

[[Page 191]]

the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) and have 
been assigned OMB control number 2126-0012.
    (2) The information collection requirements of this part are found 
in the following sections: Sections 382.105, 382.113, 382.301, 382.303, 
382.305, 382.307, 382.401, 382.403, 382.405, 382.409, 382.411, 382.601, 
382.603.

[66 FR 43103, Aug. 17, 2001, as amended at 67 FR 61821, Oct. 2, 2002; 68 
FR 75459, Dec. 31, 2003; 78 FR 58479, Sept. 24, 2013]



Sec.382.403  Reporting of results in a management information system.

    (a) An employer shall prepare and maintain a summary of the results 
of its alcohol and controlled substances testing programs performed 
under this part during the previous calendar year, when requested by the 
Secretary of Transportation, any DOT agency, or any State or local 
officials with regulatory authority over the employer or any of its 
drivers.
    (b) If an employer is notified, during the month of January, of a 
request by the Federal Motor Carrier Safety Administration to report the 
employer's annual calendar year summary information, the employer shall 
prepare and submit the report to the FMCSA by March 15 of that year. The 
employer shall ensure that the annual summary report is accurate and 
received by March 15 at the location that the FMCSA specifies in its 
request. The employer must use the Management Information System (MIS) 
form and instructions as required by 49 CFR part 40 (at Sec.40.26 and 
appendix H to part 40). The employer may also use the electronic version 
of the MIS form provided by the DOT. The Administrator may designate 
means (e.g., electronic program transmitted via the Internet), other 
than hard-copy, for MIS form submission. For information on the 
electronic version of the form, see: http://www.fmcsa.dot.gov/
safetyprogs/drugs/engtesting.htm.
    (c) When the report is submitted to the FMCSA by mail or electronic 
transmission, the information requested shall be typed, except for the 
signature of the certifying official. Each employer shall ensure the 
accuracy and timeliness of each report submitted by the employer or a 
consortium.
    (d) If you have a covered employee who performs multi-DOT agency 
functions (e.g., an employee drives a commercial motor vehicle and 
performs pipeline maintenance duties for the same employer), count the 
employee only on the MIS report for the DOT agency under which he or she 
is randomly tested. Normally, this will be the DOT agency under which 
the employee performs more than 50% of his or her duties. Employers may 
have to explain the testing data for these employees in the event of a 
DOT agency inspection or audit.
    (e) A service agent (e.g., Consortium/Third party administrator as 
defined in 49 CFR 382.107) may prepare the MIS report on behalf of an 
employer. However, a company official (e.g., Designated employer 
representative) must certify the accuracy and completeness of the MIS 
report, no matter who prepares it.

[66 FR 43103, Aug. 17, 2001, as amended at 68 FR 75459, Dec. 31, 2003; 
78 FR 58479, Sept. 24, 2013]



Sec.382.405  Access to facilities and records.

    (a) Except as required by law or expressly authorized or required in 
this section, no employer shall release driver information that is 
contained in records required to be maintained under Sec.382.401.
    (b) A driver is entitled, upon written request, to obtain copies of 
any records pertaining to the driver's use of alcohol or controlled 
substances, including any records pertaining to his or her alcohol or 
controlled substances tests. The employer shall promptly provide the 
records requested by the driver. Access to a driver's records shall not 
be contingent upon payment for records other than those specifically 
requested.
    (c) Each employer shall permit access to all facilities utilized in 
complying with the requirements of this part to the Secretary of 
Transportation, any DOT agency, or any State or local officials with 
regulatory authority over the employer or any of its drivers.
    (d) Each employer shall make available copies of all results for 
employer

[[Page 192]]

alcohol and/or controlled substances testing conducted under this part 
and any other information pertaining to the employer's alcohol misuse 
and/or controlled substances use prevention program, when requested by 
the Secretary of Transportation, any DOT agency, or any State or local 
officials with regulatory authority over the employer or any of its 
drivers.
    (e) When requested by the National Transportation Safety Board as 
part of an accident investigation, employers shall disclose information 
related to the employer's administration of a post-accident alcohol and/
or controlled substance test administered following the accident under 
investigation.
    (f) Records shall be made available to a subsequent employer upon 
receipt of a written request from a driver. Disclosure by the subsequent 
employer is permitted only as expressly authorized by the terms of the 
driver's request.
    (g) An employer may disclose information required to be maintained 
under this part pertaining to a driver to the decision maker in a 
lawsuit, grievance, or administrative proceeding initiated by or on 
behalf of the individual, and arising from a positive DOT drug or 
alcohol test or a refusal to test (including, but not limited to, 
adulterated or substituted test results) of this part (including, but 
not limited to, a worker's compensation, unemployment compensation, or 
other proceeding relating to a benefit sought by the driver). 
Additionally, an employer may disclose information in criminal or civil 
actions in accordance with Sec.40.323(a)(2) of this title.
    (h) An employer shall release information regarding a driver's 
records as directed by the specific written consent of the driver 
authorizing release of the information to an identified person. Release 
of such information by the person receiving the information is permitted 
only in accordance with the terms of the employee's specific written 
consent as outlined in Sec.40.321(b) of this title.



Sec.382.407  Medical review officer notifications to the employer.

    Medical review officers shall report the results of controlled 
substances tests to employers in accordance with the requirements of 
part 40, Subpart G, of this title.



Sec.382.409  Medical review officer record retention for controlled substances.

    (a) A medical review officer or third party administrator shall 
maintain all dated records and notifications, identified by individual, 
for a minimum of five years for verified positive controlled substances 
test results.
    (b) A medical review officer or third party administrator shall 
maintain all dated records and notifications, identified by individual, 
for a minimum of one year for negative and canceled controlled 
substances test results.
    (c) No person may obtain the individual controlled substances test 
results retained by a medical review officer or third party 
administrator, and no medical review officer or third party 
administrator shall release the individual controlled substances test 
results of any driver to any person, without first obtaining a specific, 
written authorization from the tested driver. Nothing in this paragraph 
(c) shall prohibit a medical review officer or third party administrator 
from releasing, to the employer or to officials of the Secretary of 
Transportation, any DOT agency, or any State or local officials with 
regulatory authority over the controlled substances testing program 
under this part, the information delineated in part 40, Subpart G, of 
this title.



Sec.382.411  Employer notifications.

    (a) An employer shall notify a driver of the results of a pre-
employment controlled substances test conducted under this part, if the 
driver requests such results within 60 calendar days of being notified 
of the disposition of the employment application. An employer shall 
notify a driver of the results of random, reasonable suspicion and post-
accident tests for controlled substances conducted under this part if 
the test results are verified positive. The employer shall also inform 
the driver which controlled substance or substances were verified as 
positive.
    (b) The designated employer representative shall make reasonable 
efforts to contact and request each driver who submitted a specimen 
under the

[[Page 193]]

employer's program, regardless of the driver's employment status, to 
contact and discuss the results of the controlled substances test with a 
medical review officer who has been unable to contact the driver.
    (c) The designated employer representative shall immediately notify 
the medical review officer that the driver has been notified to contact 
the medical review officer within 72 hours.



Sec.382.413  Inquiries for alcohol and controlled substances information
from previous employers.

    Employers shall request alcohol and controlled substances 
information from previous employers in accordance with the requirements 
of Sec.40.25 of this title.



  Subpart E_Consequences for Drivers Engaging in Substance Use-Related 
                                 Conduct



Sec.382.501  Removal from safety-sensitive function.

    (a) Except as provided in subpart F of this part, no driver shall 
perform safety-sensitive functions, including driving a commercial motor 
vehicle, if the driver has engaged in conduct prohibited by subpart B of 
this part or an alcohol or controlled substances rule of another DOT 
agency.
    (b) No employer shall permit any driver to perform safety-sensitive 
functions; including driving a commercial motor vehicle, if the employer 
has determined that the driver has violated this section.
    (c) For purposes of this subpart, commercial motor vehicle means a 
commercial motor vehicle in commerce as defined in Sec.382.107, and a 
commercial motor vehicle in interstate commerce as defined in part 390 
of this subchapter.



Sec.382.503  Required evaluation and testing.

    No driver who has engaged in conduct prohibited by subpart B of this 
part shall perform safety-sensitive functions, including driving a 
commercial motor vehicle, unless the driver has met the requirements of 
part 40, subpart O, of this title. No employer shall permit a driver who 
has engaged in conduct prohibited by subpart B of this part to perform 
safety-sensitive functions, including driving a commercial motor 
vehicle, unless the driver has met the requirements of part 40, subpart 
O, of this title.



Sec.382.505  Other alcohol-related conduct.

    (a) No driver tested under the provisions of subpart C of this part 
who is found to have an alcohol concentration of 0.02 or greater but 
less than 0.04 shall perform or continue to perform safety-sensitive 
functions for an employer, including driving a commercial motor vehicle, 
nor shall an employer permit the driver to perform or continue to 
perform safety-sensitive functions, until the start of the driver's next 
regularly scheduled duty period, but not less than 24 hours following 
administration of the test.
    (b) Except as provided in paragraph (a) of this section, no employer 
shall take any action under this part against a driver based solely on 
test results showing an alcohol concentration less than 0.04. This does 
not prohibit an employer with authority independent of this part from 
taking any action otherwise consistent with law.



Sec.382.507  Penalties.

    Any employer or driver who violates the requirements of this part 
shall be subject to the civil and/or criminal penalty provisions of 49 
U.S.C. 521(b). In addition, any employer or driver who violates the 
requirements of 49 CFR part 40 shall be subject to the civil and/or 
criminal penalty provisions of 49 U.S.C. 521(b).



  Subpart F_Alcohol Misuse and Controlled Substances Use Information, 
                         Training, and Referral



Sec.382.601  Employer obligation to promulgate a policy on the misuse
of alcohol and use of controlled substances.

    (a) General requirements. Each employer shall provide educational 
materials that explain the requirements of this part and the employer's 
policies and procedures with respect to meeting these requirements.

[[Page 194]]

    (1) The employer shall ensure that a copy of these materials is 
distributed to each driver prior to the start of alcohol and controlled 
substances testing under this part and to each driver subsequently hired 
or transferred into a position requiring driving a commercial motor 
vehicle.
    (2) Each employer shall provide written notice to representatives of 
employee organizations of the availability of this information.
    (b) Required content. The materials to be made available to drivers 
shall include detailed discussion of at least the following:
    (1) The identity of the person designated by the employer to answer 
driver questions about the materials;
    (2) The categories of drivers who are subject to the provisions of 
this part;
    (3) Sufficient information about the safety-sensitive functions 
performed by those drivers to make clear what period of the work day the 
driver is required to be in compliance with this part;
    (4) Specific information concerning driver conduct that is 
prohibited by this part;
    (5) The circumstances under which a driver will be tested for 
alcohol and/or controlled substances under this part, including post-
accident testing under Sec.382.303(d);
    (6) The procedures that will be used to test for the presence of 
alcohol and controlled substances, protect the driver and the integrity 
of the testing processes, safeguard the validity of the test results, 
and ensure that those results are attributed to the correct driver, 
including post-accident information, procedures and instructions 
required by Sec.382.303(d);
    (7) The requirement that a driver submit to alcohol and controlled 
substances tests administered in accordance with this part;
    (8) An explanation of what constitutes a refusal to submit to an 
alcohol or controlled substances test and the attendant consequences;
    (9) The consequences for drivers found to have violated subpart B of 
this part, including the requirement that the driver be removed 
immediately from safety-sensitive functions, and the procedures under 
part 40, subpart O, of this title;
    (10) The consequences for drivers found to have an alcohol 
concentration of 0.02 or greater but less than 0.04;
    (11) Information concerning the effects of alcohol and controlled 
substances use on an individual's health, work, and personal life; signs 
and symptoms of an alcohol or a controlled substances problem (the 
driver's or a co-worker's); and available methods of intervening when an 
alcohol or a controlled substances problem is suspected, including 
confrontation, referral to any employee assistance program and/or 
referral to management.
    (c) Optional provision. The materials supplied to drivers may also 
include information on additional employer policies with respect to the 
use of alcohol or controlled substances, including any consequences for 
a driver found to have a specified alcohol or controlled substances 
level, that are based on the employer's authority independent of this 
part. Any such additional policies or consequences must be clearly and 
obviously described as being based on independent authority.
    (d) Certificate of receipt. Each employer shall ensure that each 
driver is required to sign a statement certifying that he or she has 
received a copy of these materials described in this section. Each 
employer shall maintain the original of the signed certificate and may 
provide a copy of the certificate to the driver.

[66 FR 43103, Aug. 17, 2001, as amended at 78 FR 58479, Sept. 24, 2013]



Sec.382.603  Training for supervisors.

    Each employer shall ensure that all persons designated to supervise 
drivers receive at least 60 minutes of training on alcohol misuse and 
receive at least an additional 60 minutes of training on controlled 
substances use. The training will be used by the supervisors to 
determine whether reasonable suspicion exists to require a driver to 
undergo testing under Sec.382.307. The training shall include the 
physical, behavioral, speech, and performance indicators of probable 
alcohol misuse and use of controlled substances. Recurrent training for 
supervisory personnel is not required.

[[Page 195]]



Sec.382.605  Referral, evaluation, and treatment.

    The requirements for referral, evaluation, and treatment must be 
performed in accordance with 49 CFR part 40, Subpart O.



PART 383_COMMERCIAL DRIVER'S LICENSE STANDARDS; REQUIREMENTS AND
PENALTIES--Table of Contents



                            Subpart A_General

Sec.
383.1 Purpose and scope.
383.3 Applicability.
383.5 Definitions.
383.7 Validity of CDL issued by decertified State.

                  Subpart B_Single License Requirement

383.21 Number of drivers' licenses.
383.23 Commercial driver's license.
383.25 Commercial learner's permit (CLP).

    Subpart C_Notification Requirements and Employer Responsibilities

383.31 Notification of convictions for driver violations.
383.33 Notification of driver's license suspensions.
383.35 Notification of previous employment.
383.37 Employer responsibilities.

            Subpart D_Driver Disqualifications and Penalties

383.51 Disqualification of drivers.
383.52 Disqualification of drivers determined to constitute an imminent 
          hazard.
383.53 Penalties.

               Subpart E_Testing and Licensing Procedures

383.71 Driver application and certification procedures.
383.72 Implied consent to alcohol testing.
383.73 State procedures.
383.75 Third party testing.
383.77 Substitute for driving skills tests for drivers with military CMV 
          experience.
383.79 Skills testing of out-of-State students.

                Subpart F_Vehicle Groups and Endorsements

383.91 Commercial motor vehicle groups.
383.93 Endorsements.
383.95 Restrictions.

                 Subpart G_Required Knowledge and Skills

383.110 General requirement.
383.111 Required knowledge.
383.113 Required skills.
383.115 Requirements for double/triple trailers endorsement.
383.117 Requirements for passenger endorsement.
383.119 Requirements for tank vehicle endorsement.
383.121 Requirements for hazardous materials endorsement.
383.123 Requirements for a school bus endorsement.

                             Subpart H_Tests

383.131 Test manuals.
383.133 Testing methods.
383.135 Passing knowledge and skills tests.

    Subpart I_Requirement for Transportation Security Administration 
          approval of hazardous materials endorsement issuances

383.141 General.

 Subpart J_Commercial Learner's Permit and Commercial Driver's License 
                                Documents

383.151 General.
383.153 Information on the CLP and CDL documents and applications.
383.155 Tamperproofing requirements.

    Authority: 49 U.S.C. 521, 31136, 31301 et seq., and 31502; secs. 214 
and 215 of Pub. L. 106-159, 113 Stat. 1748, 1766, 1767; sec. 1012(b) of 
Pub. L. 107-56, 115 Stat. 272, 297, sec. 4140 of Pub. L. 109-59, 119 
Stat. 1144, 1746; and 49 CFR 1.87.

    Source: 52 FR 20587, June 1, 1987, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 383 appear at 66 FR 
49872, Oct. 1, 2001.



                            Subpart A_General



Sec.383.1  Purpose and scope.

    (a) The purpose of this part is to help reduce or prevent truck and 
bus accidents, fatalities, and injuries by requiring drivers to have a 
single commercial motor vehicle driver's license and by disqualifying 
drivers who operate commercial motor vehicles in an unsafe manner.
    (b) This part:
    (1) Prohibits a commercial motor vehicle driver from having more 
than one commercial motor vehicle driver's license;

[[Page 196]]

    (2) Requires a driver to notify the driver's current employer and 
the driver's State of domicile of certain convictions;
    (3) Requires that a driver provide previous employment information 
when applying for employment as an operator of a commercial motor 
vehicle;
    (4) Prohibits an employer from allowing a person with a suspended 
license to operate a commercial motor vehicle;
    (5) Establishes periods of disqualification and penalties for those 
persons convicted of certain criminal and other offenses and serious 
traffic violations, or subject to any suspensions, revocations, or 
cancellations of certain driving privileges;
    (6) Establishes testing and licensing requirements for commercial 
motor vehicle operators;
    (7) Requires States to give knowledge and skills tests to all 
qualified applicants for commercial drivers' licenses which meet the 
Federal standard;
    (8) Sets forth commercial motor vehicle groups and endorsements;
    (9) Sets forth the knowledge and skills test requirements for the 
motor vehicle groups and endorsements;
    (10) Sets forth the Federal standards for procedures, methods, and 
minimum passing scores for States and others to use in testing and 
licensing commercial motor vehicle operators; and
    (11) Establishes requirements for the State issued commercial 
license documentation.

[52 FR 20587, June 1, 1987, as amended at 53 FR 27648, July 21, 1988; 54 
FR 40787, Oct. 3, 1989]



Sec.383.3  Applicability.

    (a) The rules in this part apply to every person who operates a 
commercial motor vehicle (CMV) in interstate, foreign, or intrastate 
commerce, to all employers of such persons, and to all States.
    (b) The exceptions contained in Sec.390.3(f) of this subchapter do 
not apply to this part. The employers and drivers identified in Sec.
390.3(f) must comply with the requirements of this part, unless 
otherwise provided in this section.
    (c) Exception for certain military drivers. Each State must exempt 
from the requirements of this part individuals who operate CMVs for 
military purposes. This exception is applicable to active duty military 
personnel; members of the military reserves; member of the national 
guard on active duty, including personnel on full-time national guard 
duty, personnel on part-time national guard training, and national guard 
military technicians (civilians who are required to wear military 
uniforms); and active duty U.S. Coast Guard personnel. This exception is 
not applicable to U.S. Reserve technicians.
    (d) Exception for farmers, firefighters, emergency response vehicle 
drivers, and drivers removing snow and ice. A State may, at its 
discretion, exempt individuals identified in paragraphs (d)(1), (d)(2), 
and (d)(3) of this section from the requirements of this part. The use 
of this waiver is limited to the driver's home State unless there is a 
reciprocity agreement with adjoining States.
    (1) Operators of a farm vehicle which is:
    (i) Controlled and operated by a farmer, including operation by 
employees or family members;
    (ii) Used to transport either agricultural products, farm machinery, 
farm supplies, or both to or from a farm;
    (iii) Not used in the operations of a common or contract motor 
carrier; and
    (iv) Used within 241 kilometers (150 miles) of the farmer's farm.
    (2) Firefighters and other persons who operate CMVs which are 
necessary to the preservation of life or property or the execution of 
emergency governmental functions, are equipped with audible and visual 
signals and are not subject to normal traffic regulation. These vehicles 
include fire trucks, hook and ladder trucks, foam or water transport 
trucks, police SWAT team vehicles, ambulances, or other vehicles that 
are used in response to emergencies.
    (3)(i) A driver, employed by an eligible unit of local government, 
operating a commercial motor vehicle within the boundaries of that unit 
for the purpose of removing snow or ice from a roadway by plowing, 
sanding, or salting, if
    (A) The properly licensed employee who ordinarily operates a 
commercial motor vehicle for these purposes is unable to operate the 
vehicle; or

[[Page 197]]

    (B) The employing governmental entity determines that a snow or ice 
emergency exists that requires additional assistance.
    (ii) This exemption shall not preempt State laws and regulations 
concerning the safe operation of commercial motor vehicles.
    (e) Restricted commercial drivers license (CDL) for certain drivers 
in the State of Alaska. (1) The State of Alaska may, at its discretion, 
waive only the following requirements of this part and issue a CDL to 
each driver that meets the conditions set forth in paragraphs (e) (2) 
and (3) of this section:
    (i) The knowledge tests standards for testing procedures and methods 
of subpart H, but must continue to administer knowledge tests that 
fulfill the content requirements of subpart G for all applicants;
    (ii) All the skills test requirements; and
    (iii) The requirement under Sec.383.153(a)(4) to have a photograph 
on the license document.
    (2) Drivers of CMVs in the State of Alaska must operate exclusively 
over roads that meet both of the following criteria to be eligible for 
the exception in paragraph (e)(1) of this section:
    (i) Such roads are not connected by land highway or vehicular way to 
the land-connected State highway system; and
    (ii) Such roads are not connected to any highway or vehicular way 
with an average daily traffic volume greater than 499.
    (3) Any CDL issued under the terms of this paragraph must carry two 
restrictions:
    (i) Holders may not operate CMVs over roads other than those 
specified in paragraph (e)(2) of this section; and
    (ii) The license is not valid for CMV operation outside the State of 
Alaska.
    (f) Restricted CDL for certain drivers in farm-related service 
industries. (1) A State may, at its discretion, waive the required 
knowledge and skills tests of subpart H of this part and issue 
restricted CDLs to employees of these designated farm-related service 
industries:
    (i) Agri-chemical businesses;
    (ii) Custom harvesters;
    (iii) Farm retail outlets and suppliers;
    (iv) Livestock feeders.
    (2) A restricted CDL issued pursuant to this paragraph shall meet 
all the requirements of this part, except subpart H of this part. A 
restricted CDL issued pursuant to this paragraph shall be accorded the 
same reciprocity as a CDL meeting all of the requirements of this part. 
The restrictions imposed upon the issuance of this restricted CDL shall 
not limit a person's use of the CDL in a non-CMV during either validated 
or non-validated periods, nor shall the CDL affect a State's power to 
administer its driver licensing program for operators of vehicles other 
than CMVs.
    (3) A State issuing a CDL under the terms of this paragraph must 
restrict issuance as follows:
    (i) Applicants must have a good driving record as defined in this 
paragraph. Drivers who have not held any motor vehicle operator's 
license for at least one year shall not be eligible for this CDL. 
Drivers who have between one and two years of driving experience must 
demonstrate a good driving record for their entire driving history. 
Drivers with more than two years of driving experience must have a good 
driving record for the two most recent years. For the purposes of this 
paragraph, the term good driving record means that an applicant:
    (A) Has not had more than one license;
    (B) Has not had any license suspended, revoked, or canceled;
    (C) Has not had any conviction for any type of motor vehicle for the 
disqualifying offenses contained in Sec.383.51(b);
    (D) Has not had any conviction for any type of motor vehicle for 
serious traffic violations; and
    (E) Has not had any conviction for a violation of State or local law 
relating to motor vehicle traffic control (other than a parking 
violation) arising in connection with any traffic accident, and has no 
record of an accident in which he/she was at fault.
    (ii) Restricted CDLs shall have the same renewal cycle as 
unrestricted CDLs, but shall be limited to the seasonal period or 
periods as defined by

[[Page 198]]

the State of licensure, provided that the total number of calendar days 
in any 12-month period for which the restricted CDL is valid does not 
exceed 180. If a State elects to provide for more than one seasonal 
period, the restricted CDL is valid for commercial motor vehicle 
operation only during the currently approved season, and must be 
revalidated for each successive season. Only one seasonal period of 
validity may appear on the license document at a time. The good driving 
record must be confirmed prior to any renewal or revalidation.
    (iii) Restricted CDL holders are limited to operating Group B and C 
vehicles, as described in subpart F of this part.
    (iv) Restricted CDLs shall not be issued with any endorsements on 
the license document. Only the limited tank vehicle and hazardous 
materials endorsement privileges that the restricted CDL automatically 
confers and are described in paragraph (f)(3)(v) of this section are 
permitted.
    (v) Restricted CDL holders may not drive vehicles carrying any 
placardable quantities of hazardous materials, except for diesel fuel in 
quantities of 3,785 liters (1,000 gallons) or less; liquid fertilizers 
(i.e., plant nutrients) in vehicles or implements of husbandry in total 
quantities of 11,355 liters (3,000 gallons) or less; and solid 
fertilizers (i.e., solid plant nutrients) that are not transported with 
any organic substance.
    (vi) Restricted CDL holders may not hold an unrestricted CDL at the 
same time.
    (vii) Restricted CDL holders may not operate a commercial motor 
vehicle beyond 241 kilometers (150 miles) from the place of business or 
the farm currently being served.
    (g) Restricted CDL for certain drivers in the pyrotechnic industry. 
(1) A State may, at its discretion, waive the required hazardous 
materials knowledge tests of subpart H of this part and issue restricted 
CDLs to part-time drivers operating commercial motor vehicles 
transporting less than 227 kilograms (500 pounds) of fireworks 
classified as DOT Class 1.3G explosives.
    (2) A State issuing a CDL under the terms of this paragraph must 
restrict issuance as follows:
    (i) The GVWR of the vehicle to be operated must be less than 4,537 
kilograms (10,001 pounds);
    (ii) If a State believes, at its discretion, that the training 
required by Sec.172.704 of this title adequately prepares part-time 
drivers meeting the other requirements of this paragraph to deal with 
fireworks and the other potential dangers posed by fireworks 
transportation and use, the State may waive the hazardous materials 
knowledge tests of subpart H of this part. The State may impose any 
requirements it believes is necessary to ensure itself that a driver is 
properly trained pursuant to Sec.172.704 of this title.
    (iii) A restricted CDL document issued pursuant to this paragraph 
shall have a statement clearly imprinted on the face of the document 
that is substantially similar as follows: ``For use as a CDL only during 
the period from June 30 through July 6 for purposes of transporting less 
than 227 kilograms (500 pounds) of fireworks classified as DOT Class 
1.3G explosives in a vehicle with a GVWR of less than 4,537 kilograms 
(10,001 pounds).
    (3) A restricted CDL issued pursuant to this paragraph shall meet 
all the requirements of this part, except those specifically identified. 
A restricted CDL issued pursuant to this paragraph shall be accorded the 
same reciprocity as a CDL meeting all of the requirements of this part. 
The restrictions imposed upon the issuance of this restricted CDL shall 
not limit a person's use of the CDL in a non-CMV during either validated 
or non-validated periods, nor shall the CDL affect a State's power to 
administer its driver licensing program for operators of vehicles other 
than CMVs.
    (4) Restricted CDLs shall have the same renewal cycle as 
unrestricted CDLs, but shall be limited to the seasonal period of June 
30 through July 6 of each year or a lesser period as defined by the 
State of licensure.
    (5) Persons who operate commercial motor vehicles during the period 
from July 7 through June 29 for purposes of transporting less than 227 
kilograms (500 pounds) of fireworks classified as

[[Page 199]]

DOT Class 1.3G explosives in a vehicle with a GVWR of less than 4,537 
kilograms (10,001 pounds) and who also operate such vehicles for the 
same purposes during the period June 30 through July 6 shall not be 
issued a restricted CDL pursuant to this paragraph.
    (h) Exception for drivers of ``covered farm vehicles.'' The rules in 
this part do not apply to a driver of a ``covered farm vehicle,'' as 
defined in Sec.390.5 of this chapter.

[61 FR 9564, Mar. 8, 1996, as amended at 61 FR 14679, Apr. 3, 1996; 62 
FR 1296, Jan. 9, 1997; 67 FR 49755, July 31, 2002; 67 FR 61821, Oct. 2, 
2002; 78 FR 16194, Mar. 14, 2013; 78 FR 58479, Sept. 24, 2013]



Sec.383.5  Definitions.

    As used in this part:
    Administrator means the Federal Motor Carrier Safety Administrator, 
the chief executive of the Federal Motor Carrier Safety Administration, 
an agency within the Department of Transportation.
    Alcohol or alcoholic beverage means: (a) Beer as defined in 26 
U.S.C. 5052(a), of the Internal Revenue Code of 1954, (b) wine of not 
less than one-half of one per centum of alcohol by volume, or (c) 
distilled spirits as defined in section 5002(a)(8), of such Code.
    Alcohol concentration (AC) means the concentration of alcohol in a 
person's blood or breath. When expressed as a percentage it means grams 
of alcohol per 100 milliliters of blood or grams of alcohol per 210 
liters of breath.
    Alien means any person not a citizen or national of the United 
States.
    CDL downgrade means either:
    (1) A State allows the driver to change his or her self-
certification to interstate, but operating exclusively in transportation 
or operation excepted from part 391, as provided in Sec.390.3(f), 
Sec.391.2, Sec.391.68 or Sec.398.3 of this chapter;
    (2) A State allows the driver to change his or her self-
certification to intrastate only, if the driver qualifies under that 
State's physical qualification requirements for intrastate only;
    (3) A State allows the driver to change his or her certification to 
intrastate, but operating exclusively in transportation or operations 
excepted from all or part of the State driver qualification 
requirements, or
    (4) A State removes the CDL privilege from the driver license.
    CDL driver means a person holding a CDL or a person required to hold 
a CDL.
    CDLIS driver record means the electronic record of the individual 
CDL driver's status and history stored by the State-of-Record as part of 
the Commercial Driver's License Information System (CDLIS) established 
under 49 U.S.C. 31309.
    Commerce means (a) any trade, traffic or transportation within the 
jurisdiction of the United States between a place in a State and a place 
outside of such State, including a place outside of the United States 
and (b) trade, traffic, and transportation in the United States which 
affects any trade, traffic, and transportation described in paragraph 
(a) of this definition.
    Commercial driver's license (CDL) means a license issued to an 
individual by a State or other jurisdiction of domicile, in accordance 
with the standards contained in this part, which authorizes the 
individual to operate a class of a commercial motor vehicle.
    Commercial driver's license information system (CDLIS) means the 
CDLIS established by FMCSA pursuant to section 12007 of the Commercial 
Motor Vehicle Safety Act of 1986.
    Commercial learner's permit (CLP) means a permit issued to an 
individual by a State or other jurisdiction of domicile, in accordance 
with the standards contained in this part, which, when carried with a 
valid driver's license issued by the same State or jurisdiction, 
authorizes the individual to operate a class of a commercial motor 
vehicle when accompanied by a holder of a valid CDL for purposes of 
behind-the-wheel training. When issued to a CDL holder, a CLP serves as 
authorization for accompanied behind-the-wheel training in a CMV for 
which the holder's current CDL is not valid.
    Commercial motor vehicle (CMV) means a motor vehicle or combination 
of motor vehicles used in commerce to transport passengers or property 
if the motor vehicle--
    (1) Has a gross combination weight rating or gross combination 
weight of

[[Page 200]]

11,794 kilograms or more (26,001 pounds or more), whichever is greater, 
inclusive of a towed unit(s) with a gross vehicle weight rating or gross 
vehicle weight of more than 4,536 kilograms (10,000 pounds), whichever 
is greater; or
    (2) Has a gross vehicle weight rating or gross vehicle weight of 
11,794 or more kilograms (26,001 pounds or more), whichever is greater; 
or
    (3) Is designed to transport 16 or more passengers, including the 
driver; or
    (4) Is of any size and is used in the transportation of hazardous 
materials as defined in this section.
    Controlled substance has the meaning such term has under 21 U.S.C. 
802(6) and includes all substances listed on schedules I through V of 21 
CFR 1308 (Sec. Sec.1308.11 through 1308.15), as they may be amended by 
the United States Department of Justice.
    Conviction means an unvacated adjudication of guilt, or a 
determination that a person has violated or failed to comply with the 
law in a court of original jurisdiction or by an authorized 
administrative tribunal, an unvacated forfeiture of bail or collateral 
deposited to secure the person's appearance in court, a plea of guilty 
or nolo contendere accepted by the court, the payment of a fine or court 
cost, or violation of a condition of release without bail, regardless of 
whether or not the penalty is rebated, suspended, or probated.
    Disqualification means any of the following three actions:
    (1) The suspension, revocation, or cancellation of a CLP or CDL by 
the State or jurisdiction of issuance.
    (2) Any withdrawal of a person's privileges to drive a CMV by a 
State or other jurisdiction as the result of a violation of State or 
local law relating to motor vehicle traffic control (other than parking, 
vehicle weight or vehicle defect violations).
    (3) A determination by the FMCSA that a person is not qualified to 
operate a commercial motor vehicle under part 391 of this subchapter.
    Driver applicant means an individual who applies to a State or other 
jurisdiction to obtain, transfer, upgrade, or renew a CDL or to obtain 
or renew a CLP.
    Driver's license means a license issued by a State or other 
jurisdiction, to an individual which authorizes the individual to 
operate a motor vehicle on the highways.
    Driving a commercial motor vehicle while under the influence of 
alcohol means committing any one or more of the following acts in a 
CMV--
    (a) Driving a CMV while the person's alcohol concentration is 0.04 
or more;
    (b) Driving under the influence of alcohol, as prescribed by State 
law; or
    (c) Refusal to undergo such testing as is required by any State or 
jurisdiction in the enforcement of Sec.383.51(b) or Sec.392.5(a)(2) 
of this subchapter.
    Electronic device includes, but is not limited to, a cellular 
telephone; personal digital assistant; pager; computer; or any other 
device used to input, write, send, receive, or read text.
    Eligible unit of local government means a city, town, borough, 
county, parish, district, or other public body created by or pursuant to 
State law which has a total population of 3,000 individuals or less.
    Employee means any operator of a commercial motor vehicle, including 
full time, regularly employed drivers; casual, intermittent or 
occasional drivers; leased drivers and independent, owner-operator 
contractors (while in the course of operating a commercial motor 
vehicle) who are either directly employed by or under lease to an 
employer.
    Employer means any person (including the United States, a State, 
District of Columbia or a political subdivision of a State) who owns or 
leases a commercial motor vehicle or assigns employees to operate such a 
vehicle.
    Endorsement means an authorization to an individual's CLP or CDL 
required to permit the individual to operate certain types of commercial 
motor vehicles.
    Fatality means the death of a person as a result of a motor vehicle 
accident.
    Felony means an offense under State or Federal law that is 
punishable by death or imprisonment for a term exceeding 1 year.
    Foreign means outside the fifty United States and the District of 
Columbia.

[[Page 201]]

    Foreign commercial driver means an individual licensed to operate a 
commercial motor vehicle by an authority outside the United States, or a 
citizen of a foreign country who operates a commercial motor vehicle in 
the United States.
    Gross combination weight rating (GCWR) means the value specified by 
the manufacturer as the loaded weight of a combination (articulated) 
vehicle. In the absence of a value specified by the manufacturer, GCWR 
will be determined by adding the GVWR of the power unit and the total 
weight of the towed unit and any load thereon.
    Gross vehicle weight rating (GVWR) means the value specified by the 
manufacturer as the loaded weight of a single vehicle.
    Hazardous materials means any material that has been designated as 
hazardous under 49 U.S.C. 5103 and is required to be placarded under 
subpart F of 49 CFR part 172 or any quantity of a material listed as a 
select agent or toxin in 42 CFR part 73.
    Imminent hazard means the existence of any condition of vehicle, 
employee, or commercial motor vehicle operations that substantially 
increases the likelihood of serious injury or death if not discontinued 
immediately; or a condition relating to hazardous material that presents 
a substantial likelihood that death, serious illness, severe personal 
injury, or a substantial endangerment to health, property, or the 
environment may occur before the reasonably foreseeable completion date 
of a formal proceeding begun to lessen the risk of that death, illness, 
injury or endangerment.
    Manual transmission (also known as a stick shift, stick, straight 
drive or standard transmission) means a transmission utilizing a driver-
operated clutch that is activated by a pedal or lever and a gear-shift 
mechanism operated either by hand or foot. All other transmissions, 
whether semi-automatic or automatic, will be considered automatic for 
the purposes of the standardized restriction code.
    Mobile telephone means a mobile communication device that falls 
under or uses any commercial mobile radio service, as defined in 
regulations of the Federal Communications Commission, 47 CFR 20.3. It 
does not include two-way or Citizens Band Radio services.
    Motor vehicle means a vehicle, machine, tractor, trailer, or 
semitrailer propelled or drawn by mechanical power used on highways, 
except that such term does not include a vehicle, machine, tractor, 
trailer, semitrailer operated exclusively on a rail.
    Non-CDL means any other type of motor vehicle license, such as an 
automobile driver's license, a chauffeur's license, or a motorcycle 
license.
    Non-CMV means a motor vehicle or combination of motor vehicles not 
defined by the term ``commercial motor vehicle (CMV)'' in this section.
    Non-domiciled CLP or Non-domiciled CDL means a CLP or CDL, 
respectively, issued by a State or other jurisdiction under either of 
the following two conditions:
    (1) To an individual domiciled in a foreign country meeting the 
requirements of Sec.383.23(b)(1).
    (2) To an individual domiciled in another State meeting the 
requirements of Sec.383.23(b)(2).
    Out-of-service order means a declaration by an authorized 
enforcement officer of a Federal, State, Canadian, Mexican, or local 
jurisdiction that a driver, a commercial motor vehicle, or a motor 
carrier operation, is out-of-service pursuant to Sec. Sec.386.72, 
392.5, 395.13, 396.9, or compatible laws, or the North American Uniform 
Out-of-Service Criteria.
    Representative vehicle means a motor vehicle which represents the 
type of motor vehicle that a driver applicant operates or expects to 
operate.
    School bus means a CMV used to transport pre-primary, primary, or 
secondary school students from home to school, from school to home, or 
to and from school-sponsored events. School bus does not include a bus 
used as a common carrier.
    State means a State of the United States and the District of 
Columbia.
    State of domicile means that State where a person has his/her true, 
fixed, and permanent home and principal residence and to which he/she 
has the intention of returning whenever he/she is absent.

[[Page 202]]

    Tank vehicle means any commercial motor vehicle that is designed to 
transport any liquid or gaseous materials within a tank or tanks having 
an individual rated capacity of more than 119 gallons and an aggregate 
rated capacity of 1,000 gallons or more that is either permanently or 
temporarily attached to the vehicle or the chassis. A commercial motor 
vehicle transporting an empty storage container tank, not designed for 
transportation, with a rated capacity of 1,000 gallons or more that is 
temporarily attached to a flatbed trailer is not considered a tank 
vehicle.
    Texting means manually entering alphanumeric text into, or reading 
text from, an electronic device.
    (1) This action includes, but is not limited to, short message 
service, emailing, instant messaging, a command or request to access a 
World Wide Web page, pressing more than a single button to initiate or 
terminate a voice communication using a mobile telephone, or engaging in 
any other form of electronic text retrieval or entry, for present or 
future communication.
    (2) Texting does not include:
    (i) Inputting, selecting, or reading information on a global 
positioning system or navigation system; or
    (ii) Pressing a single button to initiate or terminate a voice 
communication using a mobile telephone; or
    (iii) Using a device capable of performing multiple functions (e.g., 
fleet management systems, dispatching devices, smart phones, citizens 
band radios, music players, etc.) for a purpose that is not otherwise 
prohibited in this part.
    Third party skills test examiner means a person employed by a third 
party tester who is authorized by the State to administer the CDL skills 
tests specified in subparts G and H of this part.
    Third party tester means a person (including, but not limited to, 
another State, a motor carrier, a private driver training facility or 
other private institution, or a department, agency or instrumentality of 
a local government) authorized by the State to employ skills test 
examiners to administer the CDL skills tests specified in subparts G and 
H of this part.
    United States means the 50 States and the District of Columbia.
    Vehicle means a motor vehicle unless otherwise specified.
    Vehicle group means a class or type of vehicle with certain 
operating characteristics.

[52 FR 20587, June 1, 1987, as amended at 53 FR 27648, July 21, 1988; 53 
FR 39050, Oct. 4, 1988; 54 FR 40787, Oct. 3, 1989; 59 FR 26028, May 18, 
1994; 61 FR 9566, Mar. 8, 1996; 61 FR 14679, Apr. 3, 1996; 62 FR 37151, 
July 11, 1997; 67 FR 49756, July 31, 2002; 68 FR 23849, May 5, 2003; 73 
FR 73123, Dec. 1, 2008; 75 FR 59134, Sept. 27, 2010; 76 FR 26878, May 9, 
2011; 76 FR 75486, Dec. 2, 2011; 78 FR 58479, Sept. 24, 2013; 78 FR 
60231, Oct. 1, 2013]



Sec.383.7  Validity of CDL issued by decertified State.

    A CDL issued by a State prior to the date the State is notified by 
the Administrator, in accordance with the provisions of Sec.384.405 of 
this subchapter, that the State is prohibited from issuing CDLs, will 
remain valid until its stated expiration date.

[67 FR 49756, July 31, 2002]



                  Subpart B_Single License Requirement



Sec.383.21  Number of drivers' licenses.

    No person who operates a commercial motor vehicle shall at any time 
have more than one driver's license.

[64 FR 48110, Sept. 2, 1999]



Sec.383.23  Commercial driver's license.

    (a) General rule. (1) No person shall operate a commercial motor 
vehicle unless such person has taken and passed written and driving 
tests for a CLP or CDL that meet the Federal standards contained in 
subparts F, G, and H of this part for the commercial motor vehicle that 
person operates or expects to operate.
    (2) Except as provided in paragraph (b) of this section, no person 
may legally operate a CMV unless such person possesses a CDL which meets 
the standards contained in subpart J of this part, issued by his/her 
State or jurisdiction of domicile.
    (b) Exception. (1) If a CMV operator is not domiciled in a foreign 
jurisdiction that the Administrator has determined

[[Page 203]]

tests drivers and issues CDLs in accordance with, or under standards 
similar to, the standards contained in subparts F, G, and H of this 
part,\1\ the person may obtain a Non-domiciled CLP or Non-domiciled CDL 
from a State that does comply with the testing and licensing standards 
contained in such subparts F, G, and H of this part, so long as that 
person meets the requirements of Sec.383.71(f).
---------------------------------------------------------------------------

    \1\ Effective December 29, 1988, the Administrator determined that 
commercial driver's licenses issued by Canadian Provinces and 
Territories in conformity with the Canadian National Safety Code are in 
accordance with the standards of this part. Effective November 21, 1991, 
the Administrator determined that the new Licencias Federales de 
Conductor issued by the United Mexican States are in accordance with the 
standards of this part. Therefore, under the single license provision of 
Sec.383.21, a driver holding a commercial driver's license issued 
under the Canadian National Safety Code or a new Licencia Federal de 
Conductor issued by Mexico is prohibited from obtaining a non-domiciled 
CDL, or any other type of driver's license, from a State or other 
jurisdiction in the United States.
---------------------------------------------------------------------------

    (2) If an individual is domiciled in a State while that State is 
prohibited from issuing CDLs in accordance with Sec.384.405 of this 
subchapter, that individual is eligible to obtain a Non-domiciled CLP or 
Non-domiciled CDL from any State that elects to issue a Non-domiciled 
CDL and which complies with the testing and licensing standards 
contained in subparts F, G, and H of this part, so long as that person 
meets the requirements of Sec.383.71(f).
    (3) If an individual possesses a CLP, as defined in Sec.383.5, the 
individual is authorized to operate a class of CMV as provided by the 
CLP in accordance with Sec.383.25.

[76 FR 26878, May 9, 2011]



Sec.383.25  Commercial learner's permit (CLP).

    (a) A CLP is considered a valid CDL for purposes of behind-the-wheel 
training on public roads or highways, if all of the following minimum 
conditions are met:
    (1) The CLP holder is at all times accompanied by the holder of a 
valid CDL who has the proper CDL group and endorsement(s) necessary to 
operate the CMV. The CDL holder must at all times be physically present 
in the front seat of the vehicle next to the CLP holder or, in the case 
of a passenger vehicle, directly behind or in the first row behind the 
driver and must have the CLP holder under observation and direct 
supervision.
    (2) The CLP holder holds a valid driver's license issued by the same 
jurisdiction that issued the CLP.
    (3) The CLP holder must have taken and passed a general knowledge 
test that meets the Federal standards contained in subparts F, G, and H 
of this part for the commercial motor vehicle that person operates or 
expects to operate.
    (4) The CLP holder must be 18 years of age or older.
    (5) Endorsements:
    (i) A CLP holder with a passenger (P) endorsement must have taken 
and passed the P endorsement knowledge test. A CLP holder with a P 
endorsement is prohibited from operating a CMV carrying passengers, 
other than Federal/State auditors and inspectors, test examiners, other 
trainees, and the CDL holder accompanying the CLP holder as prescribed 
by paragraph (a)(1) of this section. The P endorsement must be class 
specific.
    (ii) A CLP holder with a school bus (S) endorsement must have taken 
and passed the S endorsement knowledge test. A CLP holder with an S 
endorsement is prohibited from operating a school bus with passengers 
other than Federal/State auditors and inspectors, test examiners, other 
trainees, and the CDL holder accompanying the CLP holder as prescribed 
by paragraph (a)(1) of this section.
    (iii) A CLP holder with a tank vehicle (N) endorsement must have 
taken and passed the N endorsement knowledge test. A CLP holder with an 
N endorsement may only operate an empty tank vehicle and is prohibited 
from operating any tank vehicle that previously contained hazardous 
materials that has not been purged of any residue.
    (iv) All other Federal endorsements are prohibited on a CLP.
    (6) The CLP holder does not operate a commercial motor vehicle 
transporting

[[Page 204]]

hazardous materials as defined in Sec.383.5.
    (b) The CLP must be a separate document from the CDL or non-CDL.
    (c) The CLP must be valid for no more than 180 days from the date of 
issuance. The State may renew the CLP for an additional 180 days without 
requiring the CLP holder to retake the general and endorsement knowledge 
tests.
    (d) The issuance of a CLP is a precondition to the initial issuance 
of a CDL. The issuance of a CLP is also a precondition to the upgrade of 
a CDL if the upgrade requires a skills test.
    (e) The CLP holder is not eligible to take the CDL skills test in 
the first 14 days after initial issuance of the CLP.

[76 FR 26879, May 9, 2011]



    Subpart C_Notification Requirements and Employer Responsibilities



Sec.383.31  Notification of convictions for driver violations.

    (a) Except as provided in paragraph (d) of this section, each person 
who operates a commercial motor vehicle, who has a commercial learner's 
permit or commercial driver's license issued by a State or jurisdiction, 
and who is convicted of violating, in any type of motor vehicle, a State 
or local law relating to motor vehicle traffic control (other than a 
parking violation) in a State or jurisdiction other than the one which 
issued his/her permit or license, shall notify an official designated by 
the State or jurisdiction which issued such permit or license, of such 
conviction. The notification must be made within 30 days after the date 
that the person has been convicted.
    (b) Each person who operates a commercial motor vehicle, who has a 
commercial driver's license issued by a State or jurisdiction, and who 
is convicted of violating, in any type of motor vehicle, a State or 
local law relating to motor vehicle traffic control (other than a 
parking violation), shall notify his/her current employer of such 
conviction. The notification must be made within 30 days after the date 
that the person has been convicted. If the driver is not currently 
employed, he/she must notify the State or jurisdiction which issued the 
license according to Sec.383.31(a).
    (c) Notification. The notification to the State official and 
employer must be made in writing and contain the following information:
    (1) Driver's full name;
    (2) Driver's license number;
    (3) Date of conviction;
    (4) The specific criminal or other offense(s), serious traffic 
violation(s), and other violation(s) of State or local law relating to 
motor vehicle traffic control, for which the person was convicted and 
any suspension, revocation, or cancellation of certain driving 
privileges which resulted from such conviction(s);
    (5) Indication whether the violation was in a commercial motor 
vehicle;
    (6) Location of offense; and
    (7) Driver's signature.
    (d) A person is considered to be in compliance with the requirements 
of paragraph (a) of this section if the conviction occurs in a State or 
jurisdiction that is in substantial compliance with 49 CFR 384.209 and 
has not been de-certified in accordance with 49 CFR 384.405.

[52 FR 20587, June 1, 1987, as amended at 54 FR 40787, Oct. 3, 1989; 78 
FR 24688, Apr. 26, 2013]



Sec.383.33  Notification of driver's license suspensions.

    Each employee who has a driver's license suspended, revoked, or 
canceled by a State or jurisdiction, who loses the right to operate a 
commercial motor vehicle in a State or jurisdiction for any period, or 
who is disqualified from operating a commercial motor vehicle for any 
period, shall notify his/her current employer of such suspension, 
revocation, cancellation, lost privilege, or disqualification. The 
notification must be made before the end of the business day following 
the day the employee received notice of the suspension, revocation, 
cancellation, lost privilege, or disqualification.

[54 FR 40788, Oct. 3, 1989]



Sec.383.35  Notification of previous employment.

    (a) Any person applying for employment as an operator of a 
commercial

[[Page 205]]

motor vehicle shall provide at the time of application for employment, 
the information specified in paragraph (c) of this section.
    (b) All employers shall request the information specified in 
paragraph (c) of this section from all persons applying for employment 
as a commercial motor vehicle operator. The request shall be made at the 
time of application for employment.
    (c) The following employment history information for the 10 years 
preceding the date the application is submitted shall be presented to 
the prospective employer by the applicant:
    (1) A list of the names and addresses of the applicant's previous 
employers for which the applicant was an operator of a commercial motor 
vehicle;
    (2) The dates the applicant was employed by these employers; and
    (3) The reason for leaving such employment.
    (d) The applicant shall certify that all information furnished is 
true and complete.
    (e) An employer may require an applicant to provide additional 
information.
    (f) Before an application is submitted, the employer shall inform 
the applicant that the information he/she provides in accordance with 
paragraph (c) of this section may be used, and the applicant's previous 
employers may be contacted for the purpose of investigating the 
applicant's work history.



Sec.383.37  Employer responsibilities.

    No employer may allow, require, permit, or authorize a driver to 
operate a CMV in the United States if he or she knows or should 
reasonably know that any of the following circumstances exist:
    (a) During any period in which the driver does not have a current 
CLP or CDL or does not have a CLP or CDL with the proper class or 
endorsements. An employer may not use a driver to operate a CMV who 
violates any restriction on the driver's CLP or CDL.
    (b) During any period in which the driver has a CLP or CDL 
disqualified by a State, has lost the right to operate a CMV in a State, 
or has been disqualified from operating a CMV.
    (c) During any period in which the driver has more than one CLP or 
CDL.
    (d) During any period in which the driver, or the CMV he/she is 
driving, or the motor carrier operation, is subject to an out-of-service 
order.
    (e) In violation of a Federal, State, or local law or regulation 
pertaining to railroad-highway grade crossings.

[76 FR 26879, May 9, 2011, as amended at 78 FR 60231, Oct. 1, 2013]



            Subpart D_Driver Disqualifications and Penalties



Sec.383.51  Disqualification of drivers.

    (a) General. (1) A person required to have a CLP or CDL who is 
disqualified must not drive a CMV.
    (2) An employer must not knowingly allow, require, permit, or 
authorize a driver who is disqualified to drive a CMV.
    (3) A holder of a CLP or CDL is subject to disqualification 
sanctions designated in paragraphs (b) and (c) of this section, if the 
holder drives a CMV or non-CMV and is convicted of the violations listed 
in those paragraphs.
    (4) Determining first and subsequent violations. For purposes of 
determining first and subsequent violations of the offenses specified in 
this subpart, each conviction for any offense listed in Tables 1 through 
4 to this section resulting from a separate incident, whether committed 
in a CMV or non-CMV, must be counted.
    (5) The disqualification period must be in addition to any other 
previous periods of disqualification.
    (6) Reinstatement after lifetime disqualification. A State may 
reinstate any driver disqualified for life for offenses described in 
paragraphs (b)(1) through (8) of this section (Table 1 to Sec.383.51) 
after 10 years, if that person has voluntarily entered and successfully 
completed an appropriate rehabilitation program approved by the State. 
Any person who has been reinstated in accordance with this provision and 
who is subsequently convicted of a disqualifying offense described in 
paragraphs (b)(1) through (8) of this section (Table 1 to Sec.383.51) 
must not be reinstated.

[[Page 206]]

    (7) A foreign commercial driver is subject to disqualification under 
this subpart.
    (b) Disqualification for major offenses. Table 1 to Sec.383.51 
contains a list of the offenses and periods for which a person who is 
required to have a CLP or CDL is disqualified, depending upon the type 
of vehicle the driver is operating at the time of the violation, as 
follows:

                                                                Table 1 to Sec. 383.51
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                          For a first            For a second
                                                                                     conviction or refusal  conviction or refusal       For a second
                                     For a first conviction                            to be tested while     to be tested in a    conviction or refusal
                                        or refusal to be     For a first conviction     operating a CMV      separate incident of    to be tested in a
                                     tested while operating     or refusal to be          transporting        any combination of    separate incident of
                                         a CMV, a person     tested while operating   hazardous materials      offenses in this      any combination of
    If a driver operates a motor     required to have a CLP    a non-CMV, a CLP or     as defined in Sec. Table while operating     offenses in this
    vehicle and is convicted of:       or CDL and a CLP or     CDL holder must be       383.5, a person        a CMV, a person     Table while operating
                                       CDL holder must be       disqualified from      required to have a     required to have a    a non-CMV, a CLP or
                                        disqualified from     operating a CMV for *   CLP or CDL and a CLP   CLP or CDL and a CLP    CDL holder must be
                                      operating a CMV for *            * *           or CDL holder must be  or CDL holder must be    disqualified from
                                               * *                                     disqualified from      disqualified from    operating a CMV for *
                                                                                     operating a CMV for *  operating a CMV for *           * *
                                                                                              * *                    * *
--------------------------------------------------------------------------------------------------------------------------------------------------------
(1) Being under the influence of     1 year................  1 year................  3 years..............  Life.................  Life.
 alcohol as prescribed by State law
 * * *.
--------------------------------------------------------------------------------------------------------------------------------------------------------
(2) Being under the influence of a   1 year................  1 year................  3 years..............  Life.................  Life.
 controlled substance * * *.
--------------------------------------------------------------------------------------------------------------------------------------------------------
(3) Having an alcohol concentration  1 year................  Not applicable........  3 years..............  Life.................  Not applicable.
 of 0.04 or greater while operating
 a CMV * * *.
--------------------------------------------------------------------------------------------------------------------------------------------------------
(4) Refusing to take an alcohol      1 year................  1 year................  3 years..............  Life.................  Life.
 test as required by a State or
 jurisdiction under its implied
 consent laws or regulations as
 defined in Sec. 383.72 of this
 part * * *.
--------------------------------------------------------------------------------------------------------------------------------------------------------
(5) Leaving the scene of an          1 year................  1 year................  3 years..............  Life.................  Life.
 accident * * *.
--------------------------------------------------------------------------------------------------------------------------------------------------------
(6) Using the vehicle to commit a    1 year................  1 year................  3 years..............  Life.................  Life.
 felony, other than a felony
 described in paragraph (b)(9) of
 this table * * *.
--------------------------------------------------------------------------------------------------------------------------------------------------------
(7) Driving a CMV when, as a result  1 year................  Not applicable........  3 years..............  Life.................  Not applicable.
 of prior violations committed
 operating a CMV, the driver's CLP
 or CDL is revoked, suspended, or
 canceled, or the driver is
 disqualified from operating a CMV.
--------------------------------------------------------------------------------------------------------------------------------------------------------
(8) Causing a fatality through the   1 year................  Not applicable........  3 years..............  Life.................  Not applicable.
 negligent operation of a CMV,
 including but not limited to the
 crimes of motor vehicle
 manslaughter, homicide by motor
 vehicle and negligent homicide.
--------------------------------------------------------------------------------------------------------------------------------------------------------
(9) Using the vehicle in the         Life-not eligible for   Life-not eligible for   Life-not eligible for  Life-not eligible for  Life-not eligible for
 commission of a felony involving     10-year reinstatement.  10-year reinstatement.  10-year                10-year                10-year
 manufacturing, distributing, or                                                      reinstatement.         reinstatement.         reinstatement
 dispensing a controlled substance
 * * *.
--------------------------------------------------------------------------------------------------------------------------------------------------------


[[Page 207]]

    (c) Disqualification for serious traffic violations. Table 2 to 
Sec.383.51 contains a list of the offenses and the periods for which a 
person who is required to have a CLP or CDL is disqualified, depending 
upon the type of vehicle the driver is operating at the time of the 
violation, as follows:

                                            Table 2 to Sec. 383.51
----------------------------------------------------------------------------------------------------------------
                                                                                                For a third or
                                                         For a second                             subsequent
                                                       conviction of any                       conviction of any
                                                        combination of                          combination of
                                     For a second      offenses in this     For a third or     offenses in this
                                   conviction of any      Table in a          subsequent          Table in a
                                    combination of     separate incident   conviction of any   separate incident
                                   offenses in this     within a 3-year     combination of      within a 3-year
                                      Table in a         period while      offenses in this      period while
                                   separate incident   operating a non-       Table in a       operating a non-
                                    within a 3-year    CMV, a CLP or CDL   separate incident   CMV, a CLP or CDL
 If the driver operates a motor      period while       holder must be      within a 3-year     holder must be
  vehicle and is convicted of:    operating a CMV, a   disqualified from     period while      disqualified from
                                  person required to   operating a CMV,   operating a CMV, a   operating a CMV,
                                   have a CLP or CDL   if the conviction  person required to   if the conviction
                                   and a CLP or CDL     results in the     have a CLP or CDL    results in the
                                    holder must be        revocation,      and a CLP or CDL       revocation,
                                   disqualified from   cancellation, or     holder must be     cancellation, or
                                    operating a CMV    suspension of the   disqualified from   suspension of the
                                       for * * *          CLP or CDL        operating a CMV       CLP or CDL
                                                       holder's license        for * * *       holder's license
                                                      or non-CMV driving                      or non-CMV driving
                                                       privileges, for *                       privileges, for *
                                                              * *                                     * *
----------------------------------------------------------------------------------------------------------------
(1) Speeding excessively,         60 days...........  60 days...........  120 days..........  120 days.
 involving any speed of 24.1
 kmph (15 mph) or more above the
 regulated or posted speed limit.
(2) Driving recklessly, as        60 days...........  60 days...........  120 days..........  120 days.
 defined by State or local law
 or regulation, including but,
 not limited to, offenses of
 driving a motor vehicle in
 willful or wanton disregard for
 the safety of persons or
 property.
(3) Making improper or erratic    60 days...........  60 days...........  120 days..........  120 days.
 traffic lane changes.
(4) Following the vehicle ahead   60 days...........  60 days...........  120 days..........  120 days.
 too closely.
(5) Violating State or local law  60 days...........  60 days...........  120 days..........  120 days.
 relating to motor vehicle
 traffic control (other than a
 parking violation) arising in
 connection with a fatal
 accident.
(6) Driving a CMV without         60 days...........  Not applicable....  120 days..........  Not applicable.
 obtaining a CLP or CDL.
(7) Driving a CMV without a CLP   60 days...........  Not applicable....  120 days..........  Not applicable.
 or CDL in the driver's
 possession \1\.
(8) Driving a CMV without the     60 days...........  Not applicable....  120 days..........  Not applicable.
 proper class of CLP or CDL and/
 or endorsements for the
 specific vehicle group being
 operated or for the passengers
 or type of cargo being
 transported.
(9) Violating a State or local    60 days...........  Not applicable....  120 days..........  Not applicable.
 law or ordinance on motor
 vehicle traffic control
 prohibiting texting while
 driving a CMV.\2\.

[[Page 208]]

 
(10) Violating a State or local   60 days...........  Not applicable....  120 days..........  Not applicable.
 law or ordinance on motor
 vehicle traffic control
 restricting or prohibiting the
 use of a hand-held mobile
 telephone while driving a
 CMV.\2\.
----------------------------------------------------------------------------------------------------------------
\1\Any individual who provides proof to the enforcement authority that issued the citation, by the date the
  individual must appear in court or pay any fine for such a violation, that the individual held a valid CLP or
  CDL on the date the citation was issued, shall not be guilty of this offense.
\2\ Driving, for the purpose of this disqualification, means operating a commercial motor vehicle on a highway,
  including while temporarily stationary because of traffic, a traffic control device, or other momentary
  delays. Driving does not include operating a commercial motor vehicle when the driver has moved the vehicle to
  the side of, or off, a highway and has halted in a location where the vehicle can safely remain stationary.

    (d) Disqualification for railroad-highway grade crossing offenses. 
Table 3 to Sec.383.51 contains a list of the offenses and the periods 
for which a person who is required to have a CLP or CDL is disqualified, 
when the driver is operating a CMV at the time of the violation, as 
follows:

                                            Table 3 to Sec. 383.51
----------------------------------------------------------------------------------------------------------------
                                                                                       For a third or subsequent
                                                           For a second conviction of      conviction of any
                                                               any combination of       combination of offenses
                                For a first conviction a    offenses in this Table in      in this Table in a
If the driver is convicted of   person required to have a  a separate incident within   separate incident within
 operating a CMV in violation    CLP or CDL and a CLP or    a 3-year period, a person  a 3-year period, a person
 of a Federal, State or local      CDL holder must be       required to have a CLP or  required to have a CLP or
      law because * * *.            disqualified from         CDL and a CLP or CDL        CDL and a CLP or CDL
                                operating a CMV for * * *        holder must be              holder must be
                                                                disqualified from          disqualified from
                                                            operating a CMV for * * *  operating a CMV for * * *
----------------------------------------------------------------------------------------------------------------
(1) The driver is not          No less than 60 days......  No less than 120 days.....  No less than 1 year.
 required to always stop, but
 fails to slow down and check
 that tracks are clear of an
 approaching train * * *.
----------------------------------------------------------------------------------------------------------------
(2) The driver is not          No less than 60 days......  No less than 120 days.....  No less than 1 year.
 required to always stop, but
 fails to stop before
 reaching the crossing, if
 the tracks are not clear * *
 *.
----------------------------------------------------------------------------------------------------------------
(3) The driver is always       No less than 60 days......  No less than 120 days.....  No less than 1 year.
 required to stop, but fails
 to stop before driving onto
 the crossing * * *.
----------------------------------------------------------------------------------------------------------------
(4) The driver fails to have   No less than 60 days......  No less than 120 days.....  No less than 1 year.
 sufficient space to drive
 completely through the
 crossing without stopping *
 * *.
----------------------------------------------------------------------------------------------------------------

[[Page 209]]

 
(5) The driver fails to obey   No less than 60 days......  No less than 120 days.....  No less than 1 year.
 a traffic control device or
 the directions of an
 enforcement official at the
 crossing * * *.
----------------------------------------------------------------------------------------------------------------
(6) The driver fails to        No less than 60 days......  No less than 120 days.....  No less than 1 year.
 negotiate a crossing because
 of insufficient
 undercarriage clearance * *
 *.
----------------------------------------------------------------------------------------------------------------

    (e) Disqualification for violating out-of-service orders. Table 4 to 
Sec.383.51 contains a list of the offenses and periods for which a 
person who is required to have a CLP or CDL is disqualified when the 
driver is operating a CMV at the time of the violation, as follows:

                                            TABLE 4 TO Sec. 383.51
----------------------------------------------------------------------------------------------------------------
                                                                For a second conviction       For a third or
                                                                 in a separate incident   subsequent conviction
                                        For a first conviction  within a 10-year period   in a separate incident
                                        while operating a CMV,   while operating a CMV,  within a 10-year period
                                         a person required to     a person required to    while operating a CMV,
 If the driver operates a CMV and is   have a CLP or CDL and a  have a CLP or CDL and a    a person required to
          convicted of * * *            CLP or CDL holder must   CLP or CDL holder must  have a CLP or CDL and a
                                         be disqualified from     be disqualified from    CLP or CDL holder must
                                       operating a CMV for * *  operating a CMV for * *    be disqualified from
                                                  *                        *             operating a CMV for * *
                                                                                                    *
----------------------------------------------------------------------------------------------------------------
(1) Violating a driver or vehicle out- No less than 180 days    No less than 2 years or  No less than 3 years or
 of-service order while transporting    or more than 1 year.     more than 5 years.       more than 5 years.
 nonhazardous materials.
(2) Violating a driver or vehicle out- No less than 180 days    No less than 3 years or  No less than 3 years or
 of-service order while transporting    or more than 2 years.    more than 5 years.       more than 5 years.
 hazardous materials as defined in
 Sec. 383.5, or while operating a
 vehicle designed to transport 16 or
 more passengers, including the
 driver.
----------------------------------------------------------------------------------------------------------------


[67 FR 49756, July 31, 2002, as amended at 68 FR 4396, Jan. 29, 2003; 72 
FR 36787, July 5, 2007; 75 FR 59134, Sept. 27, 2010; 76 FR 26879, May 9, 
2011; 76 FR 75486, Dec. 2, 2011; 77 FR 59825, Oct. 1, 2012; 78 FR 58479, 
Sept. 24, 2013; 78 FR 60231, Oct. 1, 2013]



Sec.383.52  Disqualification of drivers determined to constitute an imminent hazard.

    (a) The Assistant Administrator or his/her designee must disqualify 
from operating a CMV any driver whose driving is determined to 
constitute an imminent hazard, as defined in Sec.383.5.
    (b) The period of the disqualification may not exceed 30 days unless 
the FMCSA complies with the provisions of paragraph (c) of this section.
    (c) The Assistant Administrator or his/her delegate may provide the 
driver an opportunity for a hearing after issuing a disqualification for 
a period of 30 days or less. The Assistant Administrator or his/her 
delegate must provide the driver notice of a proposed disqualification 
period of more than 30 days and an opportunity for a hearing to present 
a defense to the proposed disqualification. A disqualification imposed 
under this paragraph may not exceed one year in duration. The driver, or 
a representative on his/her behalf, may file an appeal of the 
disqualification issued by the Assistant Administrator's delegate with 
the Assistant Administrator, Adjudications Counsel

[[Page 210]]

(MC-CC), Federal Motor Carrier Safety Administration, 1200 New Jersey 
Ave., SE., Washington, DC 20590-0001.
    (d) Any disqualification imposed in accordance with the provisions 
of this section must be transmitted by the FMCSA to the jurisdiction 
where the driver is licensed and must become a part of the driver's 
record maintained by that jurisdiction.
    (e) A driver who is simultaneously disqualified under this section 
and under other provisions of this subpart, or under State law or 
regulation, shall serve those disqualification periods concurrently.

[67 FR 49759, July 31, 2002, as amended at 72 FR 55700, Oct. 1, 2007]



Sec.383.53  Penalties.

    (a) General rule. Any person who violates the rules set forth in 
subparts B and C of this part may be subject to civil or criminal 
penalties as provided for in 49 U.S.C. 521(b).
    (b) Special penalties pertaining to violation of out-of-service 
orders--(1) Driver violations. A driver who is convicted of violating an 
out-of-service order shall be subject to a civil penalty of not less 
than $2,500 for a first conviction and not less than $5,000 for a second 
or subsequent conviction, in addition to disqualification under Sec.
383.51(e).
    (2) Employer violations. An employer who is convicted of a violation 
of Sec.383.37(d) shall be subject to a civil penalty of not less than 
$2,750 nor more than $25,000.
    (c) Special penalties pertaining to railroad-highway grade crossing 
violations. An employer who is convicted of a violation of Sec.
383.37(e) must be subject to a civil penalty of not more than $10,000.

[59 FR 26028, May 18, 1994, as amended at 64 FR 48111, Sept. 2, 1999; 67 
FR 49759, July 31, 2002; 72 FR 36788, July 5, 2007; 78 FR 58480, Sept. 
24, 2013]



               Subpart E_Testing and Licensing Procedures

    Source: 53 FR 27649, July 21, 1988, unless otherwise noted.



Sec.383.71  Driver application and certification procedures.

    (a) Commercial Learner's Permit. Prior to obtaining a CLP, a person 
must meet the following requirements:
    (1) Commercial learner's permit applications submitted prior to July 
8, 2015. CLPs issued prior to July 8, 2015 for limited time periods 
according to State requirements, shall be considered valid commercial 
drivers' licenses for purposes of behind-the-wheel training on public 
roads or highways, if the following minimum conditions are met:
    (i) The learner's permit holder is at all times accompanied by the 
holder of a valid CDL;
    (ii) He/she either holds a valid automobile driver's license, or has 
passed such vision, sign/symbol, and knowledge tests as the State 
issuing the learner's permit ordinarily administers to applicants for 
automotive drivers' licenses; and
    (iii) He/she does not operate a commercial motor vehicle 
transporting hazardous materials as defined in Sec.383.5.
    (2) Commercial learner's permit applications submitted on or after 
July 8, 2015. Any person applying for a CLP on or after July 8, 2015 
must meet the following conditions:
    (i) The person must be 18 years of age or older and provide proof of 
his/her age.
    (ii) The person must have taken and passed a general knowledge test 
that meets the Federal standards contained in subparts F, G, and H of 
this part for the commercial motor vehicle group that person operates or 
expects to operate.
    (iii) The person must certify that he/she is not subject to any 
disqualification under Sec.383.51, or any license disqualification 
under State law, and that he/she does not have a driver's license from 
more than one State or jurisdiction.
    (iv) The person must provide to the State of issuance the 
information required to be included on the CLP as specified in subpart J 
of this part.
    (v) The person must provide to the State proof of citizenship or 
lawful permanent residency as specified in Table

[[Page 211]]

1 of this section or obtain a Non-domiciled CLP as specified in 
paragraph (f) of this section.
    (vi) The person must provide proof that the State to which 
application is made is his/her State of domicile, as the term is defined 
in Sec.383.5. Acceptable proof of domicile is a document with the 
person's name and residential address within the State, such as a 
government issued tax form.
    (vii) The person must provide the names of all States where the 
applicant has been licensed to drive any type of motor vehicle during 
the previous 10 years.
    (viii) A person seeking a passenger (P), school bus (S) or tank 
vehicle (N) endorsement must have taken and passed the endorsement 
knowledge test for the specific endorsement.
    (ix) The person must provide the State the certification contained 
in paragraph (b)(1) of this section.
    (b) Initial Commercial Driver's License. Prior to obtaining a CDL, a 
person must meet all of the following requirements:
    (1) Initial Commercial Driver's License applications submitted on or 
after January 30, 2012. Any person applying for a CDL on or after 
January 30, 2012, must meet the requirements set forth in paragraphs 
(b)(2) through (10), and (h) of this section, and make one of the 
following applicable certifications in paragraph (b)(1)(i), (ii), (iii), 
or (iv) of this section:
    (i) Non-excepted interstate. A person must certify that he/she 
operates or expects to operate in interstate commerce, is both subject 
to and meets the qualification requirements under 49 CFR part 391, and 
is required to obtain a medical examiner's certificate by Sec.391.45 
of this chapter;
    (ii) Excepted interstate. A person must certify that he/she operates 
or expects to operate in interstate commerce, but engages exclusively in 
transportation or operations excepted under 49 CFR 390.3(f), 391.2, 
391.68, or 398.3 from all or parts of the qualification requirements of 
49 CFR part 391, and is therefore not required to obtain a medical 
examiner's certificate by 49 CFR 391.45 of this chapter;
    (iii) Non-excepted intrastate. A person must certify that he/she 
operates only in intrastate commerce and therefore is subject to State 
driver qualification requirements; or
    (iv) Excepted intrastate. A person must certify that he/she operates 
in intrastate commerce, but engages exclusively in transportation or 
operations excepted from all or parts of the State driver qualification 
requirements.
    (2) The person must pass a driving or skills test in accordance with 
the standards contained in subparts F, G, and H of this part taken in a 
motor vehicle that is representative of the type of motor vehicle the 
person operates or expects to operate; or provide evidence that he/she 
has successfully passed a driving test administered by an authorized 
third party.
    (3) The person must certify that the motor vehicle in which the 
person takes the driving skills test is representative of the type of 
motor vehicle that person operates or expects to operate.
    (4) The person must provide the State the information required to be 
included on the CDL as specified in subpart J of this part.
    (5) The person must certify that he/she is not subject to any 
disqualification under Sec.383.51, or any license disqualification 
under State law, and that he/she does not have a driver's license from 
more than one State or jurisdiction.
    (6) The person must surrender his/her non-CDL driver's licenses and 
CLP to the State.
    (7) The person must provide the names of all States where he/she has 
previously been licensed to drive any type of motor vehicle during the 
previous 10 years.
    (8) If the person is applying for a hazardous materials endorsement, 
he/she must comply with Transportation Security Administration 
requirements codified in 49 CFR part 1572. A lawful permanent resident 
of the United States requesting a hazardous materials endorsement must 
additionally provide his/her U.S. Citizenship and Immigration Services 
(USCIS) Alien registration number.
    (9) The person must provide proof of citizenship or lawful permanent 
residency as specified in Table 1 of this

[[Page 212]]

section, or be registered under paragraph (f) of this section.

  Table 1 to Sec. 383.71--List of Acceptable Proofs of Citizenship or
                       Lawful Permanent Residency
------------------------------------------------------------------------
            Status                          Proof of status
------------------------------------------------------------------------
U.S. Citizen.................   Valid, unexpired U.S.
                                Passport.
                                Certified copy of a
                                birth certificate filed with a State
                                Office of Vital Statistics or equivalent
                                agency in the individual's State of
                                birth, Puerto Rico, the Virgin Islands,
                                Guam, American Samoa or the Commonwealth
                                of the Northern Mariana Islands.
                                Consular Report of
                                Birth Abroad (CRBA) issued by the U.S.
                                Department of State.
                                Certificate of
                                Naturalization issued by the U.S.
                                Department of Homeland Security (DHS).
                                Certificate of
                                Citizenship issued by DHS.
Lawful Permanent Resident....   Valid, unexpired
                                Permanent Resident Card, issued by USCIS
                                or INS.
------------------------------------------------------------------------

    (10) The person must provide proof that the State to which 
application is made is his/her State of domicile, as the term is defined 
in Sec.383.5. Acceptable proof of domicile is a document with the 
person's name and residential address within the State, such as a 
government issued tax form.
    (c) License transfer. When applying to transfer a CDL from one State 
of domicile to a new State of domicile, an applicant must apply for a 
CDL from the new State of domicile within no more than 30 days after 
establishing his/her new domicile. The applicant must:
    (1) Provide to the new State of domicile the certifications 
contained in paragraphs (b)(1) and (5) of this section;
    (2) Provide to the new State of domicile updated information as 
specified in subpart J of this part;
    (3) If the applicant wishes to retain a hazardous materials 
endorsement, he/she must comply with the requirements specified in 
paragraph (b)(8) of this section and State requirements as specified in 
Sec.383.73(c)(4);
    (4) Surrender the CDL from the old State of domicile to the new 
State of domicile; and
    (5) Provide the names of all States where the applicant has 
previously been licensed to drive any type of motor vehicle during the 
previous 10 years.
    (6) Provide to the State proof of citizenship or lawful permanent 
residency as specified in Table 1 of this section, or be registered 
under paragraph (f) of this section.
    (7) Provide proof to the State that this is his/her State of 
domicile, as the term is defined in Sec.383.5. Acceptable proof of 
domicile is a document with the person's name and residential address 
within the State, such as a government issued tax form.
    (d) License renewal. When applying for a renewal of a CDL, all 
applicants must:
    (1) Provide to the State certifications contained in paragraphs 
(b)(1) and (5) of this section;
    (2) Provide to the State updated information as specified in subpart 
J of this part; and
    (3) If a person wishes to retain a hazardous materials endorsement, 
he/she must comply with the requirements specified in paragraph (b)(8) 
of this section and pass the test specified in Sec.383.121 for such 
endorsement.
    (4) Provide the names of all States where the applicant has 
previously been licensed to drive any type of motor vehicle during the 
previous 10 years.
    (5) Provide to the State proof of citizenship or lawful permanent 
residency as specified in Table 1 of this section, or be registered 
under paragraph (f) of this section.
    (6) Provide proof to the State that this is his/her State of 
domicile, as the term is defined in Sec.383.5. Acceptable proof of 
domicile is a document, such as a government issued tax form, with the 
person's name and residential address within the State.

[[Page 213]]

    (e) License upgrades. When applying for a CDL or an endorsement 
authorizing the operation of a CMV not covered by the current CDL, all 
applicants must:
    (1) Provide the certifications specified in paragraph (b) of this 
section;
    (2) Pass all the knowledge tests in accordance with the standards 
contained in subparts F, G, and H of this part and all the skills tests 
specified in paragraph (b)(2) of this section for the new vehicle group 
and/or different endorsements;
    (3) Comply with the requirements specified in paragraph (b)(8) of 
this section to obtain a hazardous materials endorsement; and
    (4) Surrender the previous CDL.
    (f) Non-domiciled CLP and CDL. (1) A person must obtain a Non-
domiciled CLP or CDL:
    (i) If the applicant is domiciled in a foreign jurisdiction, as 
defined in Sec.383.5, and the Administrator has not determined that 
the commercial motor vehicle operator testing and licensing standards of 
that jurisdiction meet the standards contained in subparts G and H of 
this part.
    (ii) If the applicant is domiciled in a State that is prohibited 
from issuing CLPs and CDLs in accordance with Sec.384.405 of this 
subchapter. That person is eligible to obtain a Non-domiciled CLP or CDL 
from any State that elects to issue a Non-domiciled CLP or CDL and that 
complies with the testing and licensing standards contained in subparts 
F, G, and H of this part.
    (2) An applicant for a Non-domiciled CLP and CDL must do both of the 
following:
    (i) Complete the requirements to obtain a CLP contained in paragraph 
(a) of this section or a CDL contained in paragraph (b) of this section. 
Exception: An applicant domiciled in a foreign jurisdiction must provide 
an unexpired employment authorization document (EAD) issued by USCIS or 
an unexpired foreign passport accompanied by an approved I-94 form 
documenting the applicant's most recent admittance into the United 
States. No proof of domicile is required.
    (ii) After receipt of the Non-domiciled CLP or CDL, and for as long 
as it is valid, notify the State which issued the Non-domiciled CLP or 
CDL of any adverse action taken by any jurisdiction or governmental 
agency, foreign or domestic, against his/her driving privileges. Such 
adverse actions include, but are not be limited to, license 
disqualification or disqualification from operating a commercial motor 
vehicle for the convictions described in Sec.383.51. Notifications 
must be made within the time periods specified in Sec.383.33.
    (3) An applicant for a Non-domiciled CLP or CDL is not required to 
surrender his/her foreign license.
    (g) Existing CLP and CDL Holder's Self-Certification. Every person 
who holds a CLP or CDL must provide to the State on or after January 30, 
2012, but not later than January 30, 2014, the certification contained 
in Sec.383.71(b)(1).
    (h) Medical certification documentation required by the State. An 
applicant or CLP or CDL holder who certifies to non-excepted, interstate 
driving operations according to Sec.383.71(b)(1)(i) must comply with 
applicable requirements in paragraphs (h)(1) through (3) of this 
section:
    (1) New CLP and CDL applicants. After January 30, 2012, a new CLP or 
CDL applicant who certifies that he/she will operate CMVs in non-
excepted, interstate commerce must provide the State with an original or 
copy (as required by the State) of a medical examiner's certificate 
prepared by a medical examiner, as defined in Sec.390.5 of this 
chapter, and the State will post a certification status of ``certified'' 
on the Commercial Driver's License Information System (CDLIS) driver 
record for the driver;
    (2) Existing CLP and CDL holders. By January 30, 2014, provide the 
State with an original or copy (as required by the State) of a current 
medical examiner's certificate prepared by a medical examiner, as 
defined in 49 CFR 390.5, and the State will post a certification status 
of ``certified'' on CDLIS driver record for the driver. If the non-
excepted, interstate CLP or CDL holder fails to provide the State with a 
current medical examiner's certificate, the State will post a 
certification status of ``not-certified'' in the CDLIS

[[Page 214]]

driver record for the driver, and initiate a CLP or CDL downgrade 
following State procedures in accordance with Sec.383.73(o)(4); and
    (3) Maintaining the medical certification status of ``certified.'' 
In order to maintain a medical certification status of ``certified,'' 
after January 30, 2012, a CLP or CDL holder who certifies that he/she 
will operate CMVs in non-excepted, interstate commerce must provide the 
State with an original or copy (as required by the State) of each 
subsequently issued medical examiner's certificate.

[76 FR 26881, May 9, 2011, as amended at 77 FR 59825, Oct. 1, 2012; 78 
FR 58480, Sept. 24, 2013]



Sec.383.72  Implied consent to alcohol testing.

    Any person who holds a CLP or CDL or is required to hold a CLP or 
CDL is considered to have consented to such testing as is required by 
any State or jurisdiction in the enforcement of Sec. Sec.383.51(b), 
Table 1, item (4) and 392.5(a)(2) of this subchapter. Consent is implied 
by driving a commercial motor vehicle.

[76 FR 26883, May 9, 2011]



Sec.383.73  State procedures.

    (a) Commercial Learner's Permit. (1) Prior to July 8, 2015. When 
issuing a CLP to a person prior to July 8, 2015, a State must meet the 
requirements in Sec.383.71(a)(1):
    (2) On or after July 8, 2015. Prior to issuing a CLP to a person on 
or after July 8, 20154, a State must:
    (i) Require the applicant to make the certifications, pass the 
tests, and provide the information as described in Sec.383.71(a)(2);
    (ii) Initiate and complete a check of the applicant's driving record 
as described in paragraph (b)(3) of this section.
    (iii) Make a CLP valid for no more than 180 days from the date of 
issuance and provide for renewal of a CLP for no more than an additional 
180 days without the CLP holder having to retake the general and 
endorsement knowledge tests;
    (iv) Allow only a group-specific passenger (P) and school bus (S) 
endorsement and tank vehicle (N) endorsement on a CLP, provided the 
applicant has taken and passed the knowledge test for the specified 
endorsement. All other Federal endorsements are prohibited on a CLP; and
    (v) Complete the Social Security Number verification required by 
paragraph (g) of this section.
    (vi) Require compliance with the standards for providing proof of 
citizenship or lawful permanent residency specified in Sec.
383.71(a)(2)(v) and proof of State of domicile specified in Sec.
383.71(a)(2)(vi). Exception: A State is required to check the proof of 
citizenship or legal presence specified in this paragraph only for 
initial issuance, renewal or upgrade of a CLP or Non-domiciled CLP and 
for initial issuance, renewal, upgrade or transfer of a CDL or Non-
domiciled CDL for the first time after July 8, 2011, provided a notation 
is made on the driver's record confirming that the proof of citizenship 
or legal presence check required by this paragraph has been made and 
noting the date it was done;
    (vii) Beginning January 30, 2012, for drivers who certified their 
type of driving according to Sec.383.71 (non-excepted interstate) and, 
if the CLP applicant submits a current medical examiner's certificate, 
date-stamp the medical examiner's certificate, and post all required 
information from the medical examiner's certificate to the CDLIS driver 
record in accordance with paragraph (o) of this section.
    (b) Initial CDL. Prior to issuing a CDL to a person, a State must:
    (1) Require the driver applicant to certify, pass tests, and provide 
information as described in Sec.383.71(b);
    (2) Check that the vehicle in which the applicant takes his/her test 
is representative of the vehicle group the applicant has certified that 
he/she operates or expects to operate;
    (3) Initiate and complete a check of the applicant's driving record 
to ensure that the person is not subject to any disqualification under 
Sec.383.51, or any license disqualification under State law, and that 
the person does not have a driver's license from more than one State or 
jurisdiction. The record check must include, but is not limited to, the 
following:

[[Page 215]]

    (i) A check of the applicant's driving record as maintained by his/
her current State of licensure, if any;
    (ii) A check with the CDLIS to determine whether the driver 
applicant already has been issued a CDL, whether the applicant's license 
has been disqualified, or if the applicant has been disqualified from 
operating a commercial motor vehicle;
    (iii) A check with the Problem Driver Pointer System (PDPS) to 
determine whether the driver applicant has:
    (A) Been disqualified from operating a motor vehicle (other than a 
commercial motor vehicle);
    (B) Had a license (other than CDL) disqualified for cause in the 3-
year period ending on the date of application; or
    (C) Been convicted of any offenses contained in 49 U.S.C. 
30304(a)(3);
    (iv) A request for the applicant's complete driving record from all 
States where the applicant was previously licensed over the last 10 
years to drive any type of motor vehicle. Exception: A State is only 
required to make the request for the complete driving record specified 
in this paragraph for initial issuance of a CLP, transfer of CDL from 
another State or for drivers renewing a CDL for the first time after 
September 30, 2002, provided a notation is made on the driver's record 
confirming that the driver record check required by this paragraph has 
been made and noting the date it was done;
    (v) Beginning January 30, 2012, a check that the medical 
certification status of a driver that self-certified according to Sec.
383.71(b)(1)(i) of this chapter (non-excepted interstate) is 
``certified;''
    (4) Require the driver applicant to surrender his/her non-CDL 
driver's license and CLP;
    (5) Beginning January 30, 2012, for drivers who certified their type 
of driving according to Sec.383.71(b)(1)(i) (non-excepted interstate) 
and, if the CDL driver submits a current medical examiner's certificate, 
date-stamp the medical examiner's certificate, and post all required 
information from the medical examiner's certificate to the CDLIS driver 
record in accordance with paragraph (o) of this section.
    (6) Require compliance with the standards for providing proof of 
citizenship or lawful permanent residency specified in Sec.
383.71(b)(9) and proof of State of domicile specified in Sec.
383.71(b)(10). Exception: A State is required to check the proof of 
citizenship or legal presence specified in this paragraph only for 
initial issuance, renewal or upgrade of a CLP or Non-domiciled CLP and 
for initial issuance, renewal, upgrade or transfer of a CDL or Non-
domiciled CDL for the first time after July 8, 2011, provided a notation 
is made on the driver's record confirming that the proof of citizenship 
or legal presence check required by this paragraph has been made and 
noting the date it was done;
    (7) If not previously done, complete the Social Security Number 
verification required by paragraph (g) of this section;
    (8) For persons applying for a hazardous materials endorsement, 
require compliance with the standards for such endorsement specified in 
Sec.Sec.383.71(b)(1)(i) and 383.141; and
    (9) Make the CDL valid for no more than 8 years from the date of 
issuance.
    (c) License transfers. Prior to issuing a CDL to a person who has a 
CDL from another State, a State must:
    (1) Require the driver applicant to make the certifications 
contained in Sec.383.71(b)(1) and (5);
    (2) Complete a check of the driver applicant's record as contained 
in paragraph (b)(3) of this section;
    (3) Request and receive updates of information specified in subpart 
J of this part;
    (4) If such applicant wishes to retain a hazardous materials 
endorsement, require compliance with standards for such endorsement 
specified in Sec. Sec.383.71(b)(8) and 383.141 and ensure that the 
driver has, within the 2 years preceding the transfer, either:
    (i) Passed the test for such endorsement specified in Sec.383.121; 
or
    (ii) Successfully completed a hazardous materials test or training 
that is given by a third party and that is deemed by the State to 
substantially cover the same knowledge base as that described in Sec.
383.121;
    (5) If not previously done, complete the Social Security Number

[[Page 216]]

verification required by paragraph (g) of this section;
    (6) Require the applicant to surrender the CDL issued by the 
applicant's previous State of domicile;
    (7) Require compliance with the standards for providing proof of 
citizenship or lawful permanent residency specified in Sec.
383.71(b)(9) and proof of State of domicile specified in Sec.
383.71(b)(10). Exception: A State is required to check the proof of 
citizenship or legal presence specified in this paragraph only for 
initial issuance, renewal or upgrade of a CLP or Non-domiciled CLP and 
for initial issuance, renewal, upgrade or transfer of a CDL or Non-
domiciled CDL for the first time after July 8, 2011, provided a notation 
is made on the driver's record confirming that the proof of citizenship 
or legal presence check required by this paragraph has been made and 
noting the date it was done;
    (8) Beginning January 30, 2012, verify from the CDLIS driver record 
that the medical certification status of driver is ``certified'' for 
those who certified according to Sec.383.71(b)(1)(i). Exception: A 
driver who certified according to Sec.383.71(b)(1)(i) that he/she 
plans to operate in non-excepted interstate commerce may present a 
current medical examiner's certificate issued prior to January 30, 2012. 
The medical examiner's certificate provided by the driver must be posted 
to the CDLIS driver record in accordance with paragraph (o) of this 
section and:
    (9) Make the CDL valid for no more than 8 years from the date of 
issuance.
    (d) License Renewals. Prior to renewing any CDL a State must:
    (1) Require the driver applicant to make the certifications 
contained in Sec.383.71(b);
    (2) Complete a check of the driver applicant's record as contained 
in paragraph (b)(3) of this section;
    (3) Request and receive updates of information specified in subpart 
J of this part;
    (4) If such applicant wishes to retain a hazardous materials 
endorsement, require the driver to pass the test specified in Sec.
383.121 and comply with the standards specified in Sec. Sec.
383.71(b)(8) and 383.141 for such endorsement;
    (5) If not previously done, complete the Social Security Number 
verification required by paragraph (g) of this section;
    (6) Make the renewal of the CDL valid for no more than 8 years from 
the date of issuance;
    (7) Require compliance with the standards for providing proof of 
citizenship or lawful permanent residency specified in Sec.
383.71(b)(9) and proof of State of domicile specified in Sec.
383.71(b)(10). Exception: A State is required to check the proof of 
citizenship or legal presence specified in this paragraph only for 
initial issuance, renewal or upgrade of a CLP or Non-domiciled CLP and 
for initial issuance, renewal, upgrade or transfer of a CDL or Non-
domiciled CDL for the first time after July 8, 2011, provided a notation 
is made on the driver's record confirming that the proof of citizenship 
or legal presence check required by this paragraph has been made and 
noting the date it was done; and
    (8) Beginning January 30, 2012, verify from the CDLIS driver record 
that the medical certification status is ``certified'' for drivers who 
self-certified according to Sec.383.71(b)(1)(i). Exception: A driver 
who certified according to Sec.383.71(b)(1)(i) may present a current 
medical examiner's certificate issued prior to January 30, 2012. The 
medical examiner's certificate provided by the driver must be posted to 
the CDLIS driver record in accordance with paragraph (o) of this 
section.
    (e) License upgrades. Prior to issuing an upgrade of a CDL, a State 
must:
    (1) Require such driver applicant to provide certifications, pass 
tests, and meet applicable hazardous materials standards specified in 
Sec.383.71(e);
    (2) Complete a check of the driver applicant's record as described 
in paragraph (b)(3) of this section;
    (3) If not previously done, complete the Social Security Number 
verification required by paragraph (g) of this section;
    (4) Require the driver applicant to surrender his/her previous CDL;
    (5) Require compliance with the standards for providing proof of 
citizenship or lawful permanent residency specified in Sec.
383.71(b)(9) and proof of State of domicile specified in

[[Page 217]]

Sec.383.71(b)(10). Exception: A State is required to check the proof 
of citizenship or legal presence specified in this paragraph only for 
initial issuance, renewal or upgrade of a CLP or Non-domiciled CLP and 
for initial issuance, renewal, upgrade, or transfer of a CDL or Non-
domiciled CDL, for the first time after July 8, 2011, provided a 
notation is made on the driver's record confirming that the proof of 
citizenship or legal presence check required by this paragraph has been 
made and noting the date it was done;
    (6) Beginning January 30, 2012, verify from the CDLIS driver record 
that the medical certification status is ``certified'' for drivers who 
self-certified according to Sec.383.71(b)(1)(i). Exception: A driver 
who certified according to Sec.383.71(b)(1)(i) may present a current 
medical examiner's certificate issued prior to January 30, 2012. The 
medical examiner's certificate provided by the driver must be posted to 
the CDLIS driver record in accordance with paragraph (o) of this section 
and:
    (7) Make the CDL valid for no more than 8 years from the date of 
issuance.
    (f) Non-domiciled CLP and CDL. (1) A State may only issue a Non-
domiciled CLP or CDL to a person who meets one of the circumstances 
described in Sec.383.71(f)(1).
    (2) State procedures for the issuance of a non-domiciled CLP and 
CDL, for any modifications thereto, and for notifications to the CDLIS 
must at a minimum be identical to those pertaining to any other CLP or 
CDL, with the following exceptions:
    (i) If the applicant is requesting a transfer of his/her Non-
domiciled CDL, the State must obtain the Non-domiciled CDL currently 
held by the applicant and issued by another State;
    (ii) The State must add the word ``non-domiciled'' to the face of 
the CLP or CDL, in accordance with Sec.383.153(c); and
    (iii) The State must have established, prior to issuing any Non-
domiciled CLP or CDL, the practical capability of disqualifying the 
holder of any Non-domiciled CLP or CDL, by withdrawing or disqualifying 
his/her Non-domiciled CLP or CDL as if the Non-domiciled CLP or CDL were 
a CLP or CDL issued to a person domiciled in the State.
    (3) The State must require compliance with the standards for 
providing proof of legal presence specified in Sec.383.71(b)(9) and 
Sec.383.71(f)(2)(i).
    (g) Social Security Number verification. (1) Prior to issuing a CLP 
or a CDL to a person the State must verify the name, date of birth, and 
Social Security Number provided by the applicant with the information on 
file with the Social Security Administration. The State is prohibited 
from issuing, renewing, upgrading, or transferring a CLP or CDL if the 
Social Security Administration database does not match the applicant-
provided data.
    (2) Exception. A State is only required to perform the Social 
Security Number verification specified in this paragraph for initial 
issuance of a CLP, transfer of CDL from another State or for drivers 
renewing a CDL for the first time after July 8, 2011 who have not 
previously had their Social Security Number information verified, 
provided a notation is made on the driver's record confirming that the 
verification required by this paragraph has been made and noting the 
date it was done.
    (h) License issuance. After the State has completed the procedures 
described in paragraphs (a) through (g) of this section, as applicable, 
it may issue a CLP or CDL to the driver applicant. The State must notify 
the operator of the CDLIS of such issuance, transfer, renewal, or 
upgrade within the 10-day period beginning on the date of license 
issuance.
    (i) Surrender procedure. A State may return a surrendered license to 
a driver after physically marking it so that it cannot be mistaken for a 
valid document. Simply punching a hole in the expiration date of the 
document is insufficient. A document perforated with the word ``VOID'' 
is considered invalidated.
    (j) Penalties for false information. If a State determines, in its 
check of an applicant's license status and record prior to issuing a CLP 
or CDL, or at any time after the CLP or CDL is issued, that the 
applicant has falsified information contained in subpart J of this part, 
in any of the certifications required in Sec.383.71(b) or (g), or in 
any of the documents required to be submitted by Sec.383.71(h), the 
State must at

[[Page 218]]

a minimum disqualify the person's CLP or CDL or his/her pending 
application, or disqualify the person from operating a commercial motor 
vehicle for a period of at least 60 consecutive days.
    (k) Drivers convicted of fraud related to the testing and issuance 
of a CLP or CDL. (1) The State must have policies in effect that result, 
at a minimum, in the disqualification of the CLP or CDL of a person who 
has been convicted of fraud related to the issuance of that CLP or CDL. 
The application of a person so convicted who seeks to renew, transfer, 
or upgrade the fraudulently obtained CLP or CDL must also, at a minimum, 
be disqualified. The State must record any such withdrawal in the 
person's driving record. The person may not reapply for a new CDL for at 
least 1 year.
    (2) If a State receives credible information that a CLP- or CDL-
holder is suspected, but has not been convicted, of fraud related to the 
issuance of his/her CLP or CDL, the State must require the driver to re-
take the skills and/or knowledge tests. Within 30 days of receiving 
notification from the State that re-testing is necessary, the affected 
CLP- or CDL-holder must make an appointment or otherwise schedule to 
take the next available test. If the CLP- or CDL-holder fails to make an 
appointment within 30 days, the State must disqualify his/her CLP or 
CDL. If the driver fails either the knowledge or skills test or does not 
take the test, the State must disqualify his/her CLP or CDL. Once a CLP- 
or CDL-holder's CLP or CDL has been disqualified, he/she must reapply 
for a CLP or CDL under State procedures applicable to all CLP and CDL 
applicants.
    (l) Reciprocity. A State must allow any person who has a valid CLP, 
CDL, Non-domiciled CLP, or Non-domiciled CDL and who is not disqualified 
from operating a CMV, to operate a CMV in the State.
    (m) Document verification. The State must require at least two 
persons within the driver licensing agency to participate substantively 
in the processing and verification of the documents involved in the 
licensing process for initial issuance, renewal or upgrade of a CLP or 
Non-domiciled CLP and for initial issuance, renewal, upgrade or transfer 
of a CDL or Non-domiciled CDL. The documents being processed and 
verified must include, at a minimum, those provided by the applicant to 
prove legal presence and domicile, the information filled out on the 
application form, and knowledge and skills test scores. This section 
does not require two people to process or verify each document involved 
in the licensing process. Exception: For offices with only one staff 
member, at least some of the documents must be processed or verified by 
a supervisor before issuance or, when a supervisor is not available, 
copies must be made of some of the documents involved in the licensing 
process and a supervisor must verify them within one business day of 
issuance of the CLP, Non-domiciled CLP, CDL or Non-domiciled CDL.
    (n) Computer system controls. The State must establish computer 
system controls that will:
    (1) Prevent the issuance of an initial, renewed, upgraded, or 
transferred CLP or CDL when the results of transactions indicate the 
applicant is unqualified. These controls, at a minimum, must be 
established for the following transactions: State, CDLIS, and PDPS 
driver record checks; Social Security Number verification; and knowledge 
and skills test scores verification.
    (2) Suspend the issuance process whenever State, CDLIS, and/or PDPS 
driver record checks return suspect results. The State must demonstrate 
that it has a system to detect and prevent fraud when a driver record 
check returns suspect results. At a minimum, the system must ensure 
that:
    (i) The results are not connected to a violation of any State or 
local law relating to motor vehicle traffic control (other than parking, 
vehicle weight, or vehicle defect violations);
    (ii) The name of the persons performing the record check and 
authorizing the issuance, and the justification for the authorization 
are documented by the State; and
    (iii) The person performing the record check and the person 
authorizing the issuance are not the same.
    (o) Medical recordkeeping--(1) Status of CDL holder. Beginning 
January 30, 2012, for each operator of a commercial motor vehicle 
required to have a CLP

[[Page 219]]

or CDL, the current licensing State must:
    (i) Post the driver's self-certification of type of driving under 
Sec.383.71(b)(1),
    (ii) Retain the original or a copy of the medical certificate of any 
driver required to provide documentation of physical qualification for 3 
years beyond the date the certificate was issued, and
    (iii) Post the information from the medical examiner's certificate 
within 10 calendar days to the CDLIS driver record, including:
    (A) Medical examiner's name;
    (B) Medical examiner's telephone number;
    (C) Date of medical examiner's certificate issuance;
    (D) Medical examiner's license number and the State that issued it;
    (E) Medical examiner's National Registry Number issued in accordance 
with Sec.390.109;
    (F) The indicator of medical certification status, i.e., 
``certified'' or ``not-certified'';
    (G) Expiration date of the medical examiner's certificate;
    (H) Existence of any medical variance on the medical certificate, 
such as an exemption, Skill Performance Evaluation (SPE) certification, 
or grandfather provisions;
    (I) Any restrictions (e.g., corrective lenses, hearing aid, required 
to have possession of an exemption letter or SPE certificate while on-
duty, etc.); and
    (J) Date the medical examiner's certificate information was posted 
to the CDLIS driver record.
    (2) Status update. Beginning January 30, 2012, the State must, 
within 10 calendar days of the driver's medical certification status 
expiring or a medical variance expiring or being rescinded, update the 
medical certification status of that driver as ``not-certified.''
    (3) Variance update. Beginning January 30, 2012, within 10 calendar 
days of receiving information from FMCSA regarding issuance or renewal 
of a medical variance for a driver, the State must update the CDLIS 
driver record to include the medical variance information provided by 
FMCSA.
    (4) Downgrade. (i) Beginning January 30, 2012, if a driver's medical 
certification or medical variance expires, or FMCSA notifies the State 
that a medical variance was removed or rescinded, the State must:
    (A) Notify the CLP or CDL holder of his/her CLP or CDL ``not-
certified'' medical certification status and that the CMV privileges 
will be removed from the CLP or CDL unless the driver submits a current 
medical certificate and/or medical variance, or changes his/her self-
certification to driving only in excepted or intrastate commerce (if 
permitted by the State);
    (B) Initiate established State procedures for downgrading the CLP or 
CDL. The CLP or CDL downgrade must be completed and recorded within 60 
days of the driver's medical certification status becoming ``not-
certified'' to operate a CMV.
    (ii) Beginning January 30, 2014, if a driver fails to provide the 
State with the certification contained in Sec.383.71(b)(1), or a 
current medical examiner's certificate if the driver self-certifies 
according to Sec.383.71(b)(1)(i) that he/she is operating in non-
excepted interstate commerce as required by Sec.383.71(h), the State 
must mark that CDLIS driver record as ``not-certified'' and initiate a 
CLP or CDL downgrade following State procedures in accordance with 
paragraph (o)(4)(i)(B) of this section.
    (5) FMCSA Medical Programs is designated as the keeper of the list 
of State contacts for receiving medical variance information from FMCSA. 
Beginning January 30, 2012, States are responsible for insuring their 
medical variance contact information is always up-to-date with FMCSA's 
Medical Programs.

[76 FR 26883, May 9, 2011, as amended at 77 FR 24127, Apr. 20, 2012; 78 
FR 17880, Mar. 25, 2013; 78 FR 58480, Sept. 24, 2013]



Sec.383.75  Third party testing.

    (a) Third party tests. A State may authorize a third party tester to 
administer the skills tests as specified in subparts G and H of this 
part, if the following conditions are met:
    (1) The skills tests given by the third party are the same as those 
that would otherwise be given by the State using the same version of the 
skills tests, the

[[Page 220]]

same written instructions for test applicants, and the same scoring 
sheets as those prescribed in subparts G and H of this part;
    (2) The State must conduct an on-site inspection of each third party 
tester at least once every 2 years, with a focus on examiners with 
irregular results such as unusually high or low pass/fail rates;
    (3) The State must issue the third party tester a CDL skills testing 
certificate upon the execution of a third party skills testing 
agreement.
    (4) The State must issue each third party CDL skills test examiner a 
skills testing certificate upon successful completion of a formal skills 
test examiner training course prescribed in Sec.384.228.
    (5) The State must, at least once every 2 years, do one of the 
following for each third party examiner:
    (i) Have State employees covertly take the tests administered by the 
third party as if the State employee were a test applicant;
    (ii) Have State employees co-score along with the third party 
examiner during CDL skills tests to compare pass/fail results; or
    (iii) Re-test a sample of drivers who were examined by the third 
party to compare pass/fail results;
    (6) The State must take prompt and appropriate remedial action 
against a third party tester that fails to comply with State or Federal 
standards for the CDL testing program, or with any other terms of the 
third party contract;
    (7) A skills test examiner who is also a skills instructor either as 
a part of a school, training program or otherwise is prohibited from 
administering a skills test to an applicant who received skills training 
by that skills test examiner; and
    (8) The State has an agreement with the third party containing, at a 
minimum, provisions that:
    (i) Allow the FMCSA, or its representative, and the State to conduct 
random examinations, inspections, and audits of its records, facilities, 
and operations without prior notice;
    (ii) Require that all third party skills test examiners meet the 
qualification and training standards of Sec.384.228;
    (iii) Allow the State to do any of the following:
    (A) Have State employees covertly take the tests administered by the 
third party as if the State employee were a test applicant;
    (B) Have State employees co-score along with the third party 
examiner during CDL skills tests to compare pass/fail results; or
    (C) Have the State re-test a sample of drivers who were examined by 
the third party;
    (iv) Reserve unto the State the right to take prompt and appropriate 
remedial action against a third party tester that fails to comply with 
State or Federal standards for the CDL testing program, or with any 
other terms of the third party contract;
    (v) Require the third party tester to initiate and maintain a bond 
in an amount determined by the State to be sufficient to pay for re-
testing drivers in the event that the third party or one or more of its 
examiners is involved in fraudulent activities related to conducting 
skills testing of applicants for a CDL. Exception: A third party tester 
that is a government entity is not required to maintain a bond.
    (vi) Require the third party tester to use only CDL skills examiners 
who have successfully completed a formal CDL skills test examiner 
training course as prescribed by the State and have been certified by 
the State as a CDL skills examiner qualified to administer CDL skills 
tests;
    (vii) Require the third party tester to use designated road test 
routes that have been approved by the State;
    (viii) Require the third party tester to submit a schedule of CDL 
skills testing appointments to the State no later than two business days 
prior to each test; and
    (ix) Require the third party tester to maintain copies of the 
following records at its principal place of business:
    (A) A copy of the State certificate authorizing the third party 
tester to administer a CDL skills testing program for the classes and 
types of commercial motor vehicles listed;
    (B) A copy of each third party examiner's State certificate 
authorizing the third party examiner to administer

[[Page 221]]

CDL skills tests for the classes and types of commercial motor vehicles 
listed;
    (C) A copy of the current third party agreement;
    (D) A copy of each completed CDL skills test scoring sheet for the 
current year and the past two calendar years;
    (E) A copy of the third party tester's State-approved road test 
route(s); and
    (F) A copy of each third party examiner's training record.
    (b) Proof of testing by a third party. The third party tester must 
notify the State driver licensing agency through secure electronic means 
when a driver applicant passes skills tests administered by the third 
party tester.
    (c) Minimum number of tests conducted.
    The State must revoke the skills testing certification of any 
examiner who does not conduct skills test examinations of at least 10 
different applicants per calendar year. Exception: Examiners who do not 
meet the 10-test minimum must either take the refresher training 
specified in Sec.384.228 of this chapter or have a State examiner ride 
along to observe the third party examiner successfully administer at 
least one skills test.

[76 FR 26886, May 9, 2011, as amended at 78 FR 17881, Mar. 25, 2013]



Sec.383.77  Substitute for driving skills tests for drivers with
military CMV experience.

    At the discretion of a State, the driving skills test as specified 
in Sec.383.113 may be waived for a CMV driver with military CMV 
experience who is currently licensed at the time of his/her application 
for a CDL, and substituted with an applicant's driving record in 
combination with certain driving experience. The State shall impose 
conditions and limitations to restrict the applicants from whom a State 
may accept alternative requirements for the skills test described in 
Sec.383.113. Such conditions must require at least the following:
    (a) An applicant must certify that, during the two-year period 
immediately prior to applying for a CDL, he/she:
    (1) Has not had more than one license (except for a military 
license);
    (2) Has not had any license suspended, revoked, or cancelled;
    (3) Has not had any convictions for any type of motor vehicle for 
the disqualifying offenses contained in Sec.383.51(b);
    (4) Has not had more than one conviction for any type of motor 
vehicle for serious traffic violations contained in Sec.383.51(c); and
    (5) Has not had had any conviction for a violation of military, 
State or local law relating to motor vehicle traffic control (other than 
a parking violation) arising in connection with any traffic accident, 
and has no record of an accident in which he/she was at fault; and
    (b) An applicant must provide evidence and certify that he/she:
    (1) Is regularly employed or was regularly employed within the last 
90 days in a military position requiring operation of a CMV;
    (2) Was exempted from the CDL requirements in Sec.383.3(c); and
    (3) Was operating a vehicle representative of the CMV the driver 
applicant operates or expects to operate, for at least the 2 years 
immediately preceding discharge from the military.

[76 FR 26887, May 9, 2011]



Sec.383.79  Skills testing of out-of-State students.

    (a) A State may administer its skills test, in accordance with 
subparts F, G, and H of this part, to a person who has taken training in 
that State and is to be licensed in another United States jurisdiction 
(i.e., his/her State of domicile). Such test results must be transmitted 
electronically directly from the testing State to the licensing State in 
an efficient and secure manner.
    (b) The State of domicile of a CDL applicant must accept the results 
of a skills test administered to the applicant by any other State, in 
accordance with subparts F, G, and H of this part, in fulfillment of the 
applicant's testing requirements under Sec.383.71, and the State's 
test administration requirements under Sec.383.73.

[76 FR 26887, May 9, 2011]

[[Page 222]]



                Subpart F_Vehicle Groups and Endorsements

    Source: 53 FR 27651, July 21, 1988, unless otherwise noted.



Sec.383.91  Commercial motor vehicle groups.

    (a) Vehicle group descriptions. Each driver applicant must possess 
and be tested on his/her knowledge and skills, described in subpart G of 
this part, for the commercial motor vehicle group(s) for which he/she 
desires a CDL. The commercial motor vehicle groups are as follows:
    (1) Combination vehicle (Group A)--Any combination of vehicles with 
a gross combination weight rating (GCWR) of 11,794 kilograms or more 
(26,001 pounds or more) provided the GVWR of the vehicle(s) being towed 
is in excess of 4,536 kilograms (10,000 pounds).
    (2) Heavy Straight Vehicle (Group B)--Any single vehicle with a GVWR 
of 11,794 kilograms or more (26,001 pounds or more), or any such vehicle 
towing a vehicle not in excess of 4,536 kilograms (10,000 pounds) GVWR.
    (3) Small Vehicle (Group C)--Any single vehicle, or combination of 
vehicles, that meets neither the definition of Group A nor that of Group 
B as contained in this section, but that either is designed to transport 
16 or more passengers including the driver, or is used in the 
transportation of materials found to be hazardous for the purposes of 
the hazardous materials as defined in Sec.383.5.
    (b) Representative vehicle. For purposes of taking the driving test 
in accordance with Sec.383.113, a representative vehicle for a given 
vehicle group contained in Sec.383.91(a), is any commercial motor 
vehicle which meets the definition of that vehicle group.
    (c) Relation between vehicle groups. Each driver applicant who 
desires to operate in a different commercial motor vehicle group from 
the one which his/her CDL authorizes shall be required to retake and 
pass all related tests, except the following:
    (1) A driver who has passed the knowledge and skills tests for a 
combination vehicle (Group A) may operate a heavy straight vehicle 
(Group B) or a small vehicle (Group C), provided that he/she possesses 
the requisite endorsement(s); and
    (2) A driver who has passed the knowledge and skills tests for a 
heavy straight vehicle (Group B) may operate any small vehicle (Group 
C), provided that he/she possesses the requisite endorsement(s).
    (d) Vehicle group illustration. Figure 1 illustrates typical 
vehicles within each of the vehicle groups defined in this section.

[[Page 223]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.039


[53 FR 27651, July 21, 1988, as amended at 54 FR 47989, Nov. 20, 1989; 
61 FR 9566, Mar. 8, 1996; 77 FR 59825, Oct. 1, 2012]

[[Page 224]]



Sec.383.93  Endorsements.

    (a) General. (1) In addition to passing the knowledge and skills 
tests described in subpart G of this part, all persons who operate or 
expect to operate the type(s) of motor vehicles described in paragraph 
(b) of this section must pass specialized tests to obtain each 
endorsement. The State shall issue CDL endorsements only to drivers who 
successfully complete the tests.
    (2) The only endorsements allowed on a CLP are the following:
    (i) Passenger (P);
    (ii) School bus (S); and
    (iii) Tank vehicle (N).
    (3) The State must use the codes listed in Sec.383.153 when 
placing endorsements on a CLP or CDL.
    (b) Endorsement descriptions. An operator must obtain State-issued 
endorsements to his/her CDL to operate commercial motor vehicles which 
are:
    (1) Double/triple trailers;
    (2) Passenger vehicles;
    (3) Tank vehicles;
    (4) Used to transport hazardous materials as defined in Sec.383.5, 
or
    (5) School buses.
    (c) Endorsement testing requirements. The following tests are 
required for the endorsements contained in paragraph (b) of this 
section:
    (1) Double/Triple Trailers--a knowledge test;
    (2) Passenger--a knowledge and a skills test;
    (3) Tank vehicle--a knowledge test;
    (4) Hazardous Materials--a knowledge test; and
    (5) School bus--a knowledge and a skills test.

[53 FR 27651, July 21, 1988, as amended at 67 FR 49760, July 31, 2002; 
68 FR 23850, May 5, 2003; 76 FR 26887, May 9, 2011]



Sec.383.95  Restrictions.

    (a) Air brake. (1) If an applicant either fails the air brake 
component of the knowledge test, or performs the skills test in a 
vehicle not equipped with air brakes, the State must indicate on the CLP 
or CDL, if issued, that the person is restricted from operating a CMV 
equipped with any type of air brakes.
    (2) For the purposes of the skills test and the restriction, air 
brakes include any braking system operating fully or partially on the 
air brake principle.
    (b) Full air brake. (1) If an applicant performs the skills test in 
a vehicle equipped with air over hydraulic brakes, the State must 
indicate on the CDL, if issued, that the person is restricted from 
operating a CMV equipped with any braking system operating fully on the 
air brake principle.
    (2) For the purposes of the skills test and the restriction, air 
over hydraulic brakes includes any braking system operating partially on 
the air brake and partially on the hydraulic brake principle.
    (c) Manual transmission. (1) If an applicant performs the skills 
test in a vehicle equipped with an automatic transmission, the State 
must indicate on the CDL, if issued, that the person is restricted from 
operating a CMV equipped with a manual transmission.
    (2) For the purposes of the skills test and the restriction, an 
automatic transmission includes any transmission other than a manual 
transmission as defined in Sec.383.5.
    (d) Tractor-trailer. If an applicant performs the skills test in a 
combination vehicle for a Group A CDL with the power unit and towed unit 
connected with a pintle hook or other non-fifth wheel connection, the 
State must indicate on the CDL, if issued, that the person is restricted 
from operating a tractor-trailer combination connected by a fifth wheel 
that requires a Group A CDL.
    (e) Group A passenger vehicle. If an applicant applying for a 
passenger endorsement performs the skills test in a passenger vehicle 
requiring a Group B CDL, the State must indicate on the CDL, if issued, 
that the person is restricted from operating a passenger vehicle 
requiring a Group A CDL.
    (f) Group A and B passenger vehicle. If an applicant applying for a 
passenger endorsement performs the skills test in a passenger vehicle 
requiring a Group C CDL, the State must indicate on the CDL, if issued, 
that the person is restricted from operating a passenger vehicle 
requiring a Group A or B CDL.
    (g) Medical variance restrictions. If the State is notified 
according to Sec.383.73(o)(3) that the driver has been issued a 
medical variance, the State

[[Page 225]]

must indicate the existence of such a medical variance on the CDLIS 
driver record and the CDL document, if issued, using the restriction 
code ``V'' to indicate there is information about a medical variance on 
the CDLIS driver record.

    Note: In accordance with the agreement between Canada and the United 
States (see footnote to Sec.391.41 of this chapter), drivers with a 
medical variance restriction code on their CDL are restricted from 
operating a CMV in the other country.

[76 FR 26887, May 9, 2011]



                 Subpart G_Required Knowledge and Skills

    Source: 53 FR 27654, July 21, 1988, unless otherwise noted.



Sec.383.110  General requirement.

    All drivers of CMVs must have the knowledge and skills necessary to 
operate a CMV safely as contained in this subpart. The specific types of 
items that a State must include in the knowledge and skills tests that 
it administers to CDL applicants are included in this subpart.

[76 FR 26888, May 9, 2011]



Sec.383.111  Required knowledge.

    (a) All CMV operators must have knowledge of the following 20 
general areas:
    (1) Safe operations regulations. Driver-related elements of the 
regulations contained in parts 391, 392, 393, 395, 396, and 397 of this 
subchapter, such as:
    (i) Motor vehicle inspection, repair, and maintenance requirements;
    (ii) Procedures for safe vehicle operations;
    (iii) The effects of fatigue, poor vision, hearing impairment, and 
general health upon safe commercial motor vehicle operation;
    (iv) The types of motor vehicles and cargoes subject to the 
requirements contained in part 397 of this subchapter; and
    (v) The effects of alcohol and drug use upon safe commercial motor 
vehicle operations.
    (2) Safe vehicle control systems. The purpose and function of the 
controls and instruments commonly found on CMVs.
    (3) CMV safety control systems. (i) Proper use of the motor 
vehicle's safety system, including lights, horns, side and rear-view 
mirrors, proper mirror adjustments, fire extinguishers, symptoms of 
improper operation revealed through instruments, motor vehicle operation 
characteristics, and diagnosing malfunctions.
    (ii) CMV drivers must have knowledge of the correct procedures 
needed to use these safety systems in an emergency situation, e.g., 
skids and loss of brakes.
    (4) Basic control. The proper procedures for performing various 
basic maneuvers, including:
    (i) Starting, warming up, and shutting down the engine;
    (ii) Putting the vehicle in motion and stopping;
    (iii) Backing in a straight line; and
    (iv) Turning the vehicle, e.g., basic rules, off tracking, right/
left turns and right curves.
    (5) Shifting. The basic shifting rules and terms for common 
transmissions, including:
    (i) Key elements of shifting, e.g., controls, when to shift, and 
double clutching;
    (ii) Shift patterns and procedures; and
    (iii) Consequences of improper shifting.
    (6) Backing. The procedures and rules for various backing maneuvers, 
including:
    (i) Backing principles and rules; and
    (ii) Basic backing maneuvers, e.g., straight-line backing, and 
backing on a curved path.
    (7) Visual search. The importance of proper visual search, and 
proper visual search methods, including:
    (i) Seeing ahead and to the sides;
    (ii) Use of mirrors; and
    (iii) Seeing to the rear.
    (8) Communication. The principles and procedures for proper 
communications and the hazards of failure to signal properly, including:
    (i) Signaling intent, e.g., signaling when changing direction in 
traffic;
    (ii) Communicating presence, e.g., using horn or lights to signal 
presence; and

[[Page 226]]

    (iii) Misuse of communications.
    (9) Speed management. The importance of understanding the effects of 
speed, including:
    (i) Speed and stopping distance;
    (ii) Speed and surface conditions;
    (iii) Speed and the shape of the road;
    (iv) Speed and visibility; and
    (v) Speed and traffic flow.
    (10) Space management. The procedures and techniques for controlling 
the space around the vehicle, including:
    (i) The importance of space management;
    (ii) Space cushions, e.g., controlling space ahead/to the rear;
    (iii) Space to the sides; and
    (iv) Space for traffic gaps.
    (11) Night operation. Preparations and procedures for night driving, 
including:
    (i) Night driving factors, e.g., driver factors (vision, glare, 
fatigue, inexperience);
    (ii) Roadway factors (low illumination, variation in illumination, 
unfamiliarity with roads, other road users, especially drivers 
exhibiting erratic or improper driving); and
    (iii) Vehicle factors (headlights, auxiliary lights, turn signals, 
windshields and mirrors).
    (12) Extreme driving conditions. The basic information on operating 
in extreme driving conditions and the hazards encountered in such 
conditions, including:
    (i) Bad weather, e.g., snow, ice, sleet, high wind;
    (ii) Hot weather; and
    (iii) Mountain driving.
    (13) Hazard perceptions. The basic information on hazard perception 
and clues for recognition of hazards, including:
    (i) Road characteristics; and
    (ii) Road user activities.
    (14) Emergency maneuvers. The basic information concerning when and 
how to make emergency maneuvers, including:
    (i) Evasive steering;
    (ii) Emergency stop;
    (iii) Off road recovery;
    (iv) Brake failure; and
    (v) Blowouts.
    (15) Skid control and recovery. The information on the causes and 
major types of skids, as well as the procedures for recovering from 
skids.
    (16) Relationship of cargo to vehicle control. The principles and 
procedures for the proper handling of cargo, including:
    (i) Consequences of improperly secured cargo, drivers' 
responsibilities, and Federal/State and local regulations;
    (ii) Principles of weight distribution; and
    (iii) Principles and methods of cargo securement.
    (17) Vehicle inspections. The objectives and proper procedures for 
performing vehicle safety inspections, as follows:
    (i) The importance of periodic inspection and repair to vehicle 
safety.
    (ii) The effect of undiscovered malfunctions upon safety.
    (iii) What safety-related parts to look for when inspecting 
vehicles, e.g., fluid leaks, interference with visibility, bad tires, 
wheel and rim defects, braking system defects, steering system defects, 
suspension system defects, exhaust system defects, coupling system 
defects, and cargo problems.
    (iv) Pre-trip/enroute/post-trip inspection procedures.
    (v) Reporting findings.
    (18) Hazardous materials. Knowledge of the following:
    (i) What constitutes hazardous material requiring an endorsement to 
transport;
    (ii) Classes of hazardous materials;
    (iii) Labeling/placarding requirements; and
    (iv) Need for specialized training as a prerequisite to receiving 
the endorsement and transporting hazardous cargoes.
    (19) Mountain driving. Practices that are important when driving 
upgrade and downgrade, including:
    (i) Selecting a safe speed;
    (ii) Selecting the right gear; and
    (iii) Proper braking techniques.
    (20) Fatigue and awareness. Practices that are important to staying 
alert and safe while driving, including;
    (i) Being prepared to drive;
    (ii) What to do when driving to avoid fatigue;
    (iii) What to do when sleepy while driving; and

[[Page 227]]

    (iv) What to do when becoming ill while driving.
    (b) Air brakes. All CMV drivers operating vehicles equipped with air 
brakes must have knowledge of the following 7 areas:
    (1) General air brake system nomenclature;
    (2) The dangers of contaminated air supply (dirt, moisture, and 
oil);
    (3) Implications of severed or disconnected air lines between the 
power unit and the trailer(s);
    (4) Implications of low air pressure readings;
    (5) Procedures to conduct safe and accurate pre-trip inspections, 
including knowledge about:
    (i) Automatic fail-safe devices;
    (ii) System monitoring devices; and
    (iii) Low pressure warning alarms.
    (6) Procedures for conducting en route and post-trip inspections of 
air-actuated brake systems, including:
    (i) Ability to detect defects that may cause the system to fail;
    (ii) Tests that indicate the amount of air loss from the braking 
system within a specified period, with and without the engine running; 
and
    (iii) Tests that indicate the pressure levels at which the low air 
pressure warning devices and the tractor protection valve should 
activate.
    (7) General operating practices and procedures, including:
    (i) Proper braking techniques;
    (ii) Antilock brakes;
    (iii) Emergency stops; and
    (iv) Parking brake.
    (c) Combination vehicles. All CMV drivers operating combination 
vehicles must have knowledge of the following 3 areas:
    (1) Coupling and uncoupling--The procedures for proper coupling and 
uncoupling a tractor to a semi-trailer;
    (2) Vehicle inspection--The objectives and proper procedures that 
are unique for performing vehicle safety inspections on combination 
vehicles; and
    (3) General operating practices and procedures, including:
    (i) Safely operating combination vehicles; and
    (ii) Air brakes.

[76 FR 26888, May 9, 2011]



Sec.383.113  Required skills.

    (a) Pre-trip vehicle inspection skills. Applicants for a CDL must 
possess the following basic pre-trip vehicle inspection skills for the 
vehicle class that the driver operates or expects to operate:
    (1) All test vehicles. Applicants must be able to identify each 
safety-related part on the vehicle and explain what needs to be 
inspected to ensure a safe operating condition of each part, including:
    (i) Engine compartment;
    (ii) Cab/engine start;
    (iii) Steering;
    (iv) Suspension;
    (v) Brakes;
    (vi) Wheels;
    (vii) Side of vehicle;
    (viii) Rear of vehicle; and
    (ix) Special features of tractor trailer, school bus, or coach/
transit bus, if this type of vehicle is being used for the test.
    (2) Air brake equipped test vehicles. Applicants must demonstrate 
the following skills with respect to inspection and operation of air 
brakes:
    (i) Locate and verbally identify air brake operating controls and 
monitoring devices;
    (ii) Determine the motor vehicle's brake system condition for proper 
adjustments and that air system connections between motor vehicles have 
been properly made and secured;
    (iii) Inspect the low pressure warning device(s) to ensure that they 
will activate in emergency situations;
    (iv) With the engine running, make sure that the system maintains an 
adequate supply of compressed air;
    (v) Determine that required minimum air pressure build up time is 
within acceptable limits and that required alarms and emergency devices 
automatically deactivate at the proper pressure level; and
    (vi) Operationally check the brake system for proper performance.
    (b) Basic vehicle control skills. All applicants for a CDL must 
possess and demonstrate the following basic motor vehicle control skills 
for the vehicle class that the driver operates or expects to operate:
    (1) Ability to start, warm up, and shut down the engine;

[[Page 228]]

    (2) Ability to put the motor vehicle in motion and accelerate 
smoothly, forward and backward;
    (3) Ability to bring the motor vehicle to a smooth stop;
    (4) Ability to back the motor vehicle in a straight line, and check 
path and clearance while backing;
    (5) Ability to position the motor vehicle to negotiate safely and 
then make left and right turns;
    (6) Ability to shift as required and select appropriate gear for 
speed and highway conditions; and
    (7) Ability to back along a curved path.
    (c) Safe on-road driving skills. All applicants for a CDL must 
possess and demonstrate the following safe on-road driving skills for 
their vehicle class:
    (1) Ability to use proper visual search methods;
    (2) Ability to signal appropriately when changing direction in 
traffic;
    (3) Ability to adjust speed to the configuration and condition of 
the roadway, weather and visibility conditions, traffic conditions, and 
motor vehicle, cargo and driver conditions;
    (4) Ability to choose a safe gap for changing lanes, passing other 
vehicles, as well as for crossing or entering traffic;
    (5) Ability to position the motor vehicle correctly before and 
during a turn to prevent other vehicles from passing on the wrong side, 
as well as to prevent problems caused by off-tracking;
    (6) Ability to maintain a safe following distance depending on the 
condition of the road, visibility, and vehicle weight;
    (7) Ability to adjust operation of the motor vehicle to prevailing 
weather conditions including speed selection, braking, direction 
changes, and following distance to maintain control; and
    (8) Ability to observe the road and the behavior of other motor 
vehicles, particularly before changing speed and direction.
    (d) Test area. Skills tests shall be conducted in on-street 
conditions or under a combination of on-street and off-street 
conditions.
    (e) Simulation technology. A State may utilize simulators to perform 
skills testing, but under no circumstances as a substitute for the 
required testing in on-street conditions.

[76 FR 26889, May 9, 2011]



Sec.383.115  Requirements for double/triple trailers endorsement.

    In order to obtain a double/triple trailers endorsement each 
applicant must have knowledge covering:
    (a) Procedures for assembly and hookup of the units;
    (b) Proper placement of heaviest trailer;
    (c) Handling and stability characteristics including off-tracking, 
response to steering, sensory feedback, braking, oscillatory sway, 
rollover in steady turns, and yaw stability in steady turns;
    (d) Potential problems in traffic operations, including problems the 
motor vehicle creates for other motorists due to slower speeds on steep 
grades, longer passing times, possibility for blocking entry of other 
motor vehicles on freeways, splash and spray impacts, aerodynamic 
buffeting, view blockages, and lateral placement; and
    (e) Operating practices and procedures not otherwise specified.

[76 FR 26890, May 9, 2011]



Sec.383.117  Requirements for passenger endorsement.

    An applicant for the passenger endorsement must satisfy both of the 
following additional knowledge and skills test requirements.
    (a) Knowledge test. All applicants for the passenger endorsement 
must have knowledge covering the following topics:
    (1) Proper procedures for loading/unloading passengers;
    (2) Proper use of emergency exits, including push-out windows;
    (3) Proper responses to such emergency situations as fires and 
unruly passengers;
    (4) Proper procedures at railroad-highway grade crossings and 
drawbridges;
    (5) Proper braking procedures; and
    (6) Operating practices and procedures not otherwise specified.
    (b) Skills test. To obtain a passenger endorsement applicable to a 
specific vehicle class, an applicant must take

[[Page 229]]

his/her skills test in a passenger vehicle satisfying the requirements 
of that vehicle group as defined in Sec.383.91.

[76 FR 26890, May 9, 2011]



Sec.383.119  Requirements for tank vehicle endorsement.

    In order to obtain a tank vehicle endorsement, each applicant must 
have knowledge covering the following:
    (a) Causes, prevention, and effects of cargo surge on motor vehicle 
handling;
    (b) Proper braking procedures for the motor vehicle when it is 
empty, full, and partially full;
    (c) Differences in handling of baffled/compartmented tank interiors 
versus non-baffled motor vehicles;
    (d) Differences in tank vehicle type and construction;
    (e) Differences in cargo surge for liquids of varying product 
densities;
    (f) Effects of road grade and curvature on motor vehicle handling 
with filled, half-filled, and empty tanks;
    (g) Proper use of emergency systems;
    (h) For drivers of DOT specification tank vehicles, retest and 
marking requirements; and
    (i) Operating practices and procedures not otherwise specified.

[76 FR 26890, May 9, 2011]



Sec.383.121  Requirements for hazardous materials endorsement.

    In order to obtain a hazardous materials endorsement, each applicant 
must have such knowledge as is required of a driver of a hazardous 
materials laden vehicle, from information contained in 49 CFR parts 171, 
172, 173, 177, 178, and 397, on the following:
    (a) Hazardous materials regulations including:
    (1) Hazardous materials table;
    (2) Shipping paper requirements;
    (3) Marking;
    (4) Labeling;
    (5) Placarding requirements;
    (6) Hazardous materials packaging;
    (7) Hazardous materials definitions and preparation;
    (8) Other regulated material (e.g., ORM-D);
    (9) Reporting hazardous materials accidents; and
    (10) Tunnels and railroad crossings.
    (b) Hazardous materials handling including:
    (1) Forbidden materials and packages;
    (2) Loading and unloading materials;
    (3) Cargo segregation;
    (4) Passenger carrying buses and hazardous materials;
    (5) Attendance of motor vehicles;
    (6) Parking;
    (7) Routes;
    (8) Cargo tanks; and
    (9) ``Safe havens.''
    (c) Operation of emergency equipment including:
    (1) Use of equipment to protect the public;
    (2) Special precautions for equipment to be used in fires;
    (3) Special precautions for use of emergency equipment when loading 
or unloading a hazardous materials laden motor vehicle; and
    (4) Use of emergency equipment for tank vehicles.
    (d) Emergency response procedures including:
    (1) Special care and precautions for different types of accidents;
    (2) Special precautions for driving near a fire and carrying 
hazardous materials, and smoking and carrying hazardous materials;
    (3) Emergency procedures; and
    (4) Existence of special requirements for transporting Class 1.1 and 
1.2 explosives.
    (e) Operating practices and procedures not otherwise specified.

[76 FR 26890, May 9, 2011]



Sec.383.123  Requirements for a school bus endorsement.

    (a) An applicant for the school bus endorsement must satisfy the 
following three requirements:
    (1) Qualify for passenger vehicle endorsement. Pass the knowledge 
and skills test for obtaining a passenger vehicle endorsement.
    (2) Knowledge test. Must have knowledge covering the following 
topics:
    (i) Loading and unloading children, including the safe operation of 
stop signal devices, external mirror systems, flashing lights, and other 
warning and passenger safety devices required for school buses by State 
or Federal law or regulation.

[[Page 230]]

    (ii) Emergency exits and procedures for safely evacuating passengers 
in an emergency.
    (iii) State and Federal laws and regulations related to safely 
traversing railroad-highway grade crossings; and
    (iv) Operating practices and procedures not otherwise specified.
    (3) Skills test. Must take a driving skills test in a school bus of 
the same vehicle group (see Sec.383.91(a)) as the school bus applicant 
will drive.
    (b) Exception. Knowledge and skills tests administered before 
September 30, 2002 and approved by FMCSA as meeting the requirements of 
this section, meet the requirements of paragraphs (a)(2) and (3) of this 
section

[76 FR 26891, May 9, 2011]



                             Subpart H_Tests

    Source: 53 FR 27657, July 21, 1988, unless otherwise noted.



Sec.383.131  Test manuals.

    (a) Driver information manual. (1) A State must provide an FMCSA 
pre-approved driver information manual to a CLP or CDL applicant. The 
manual must be comparable to the American Association of Motor Vehicle 
Administrators' (AAMVA's) ``2005 CDL Test System (July 2010 Version) 
Model Commercial Driver Manual'', which FMCSA has approved and provides 
to all State Driver Licensing Agencies. The driver information manual 
must include:
    (i) Information on how to obtain a CDL and endorsements;
    (ii) Information on the requirements described in Sec.383.71, the 
implied consent to alcohol testing described in Sec.383.72, the 
procedures and penalties contained in Sec.383.51(b) to which a CLP or 
CDL holder is exposed for refusal to comply with such alcohol testing, 
State procedures described in Sec.383.73, and other appropriate driver 
information contained in subpart E of this part;
    (iii) Information on vehicle groups and endorsements as specified in 
subpart F of this part;
    (iv) The substance of the knowledge and skills that drivers must 
have, as outlined in subpart G of this part for the different vehicle 
groups and endorsements; and
    (v) Details of testing procedures, including the purpose of the 
tests, how to respond, and directions for taking the tests.
    (2) A State may include any additional State-specific information 
related to the CDL testing and licensing process.
    (b) Examiner information manual. (1) A State must provide an FMCSA 
pre-approved examiner information manual that conforms to model 
requirements in paragraphs (b)(1)(i-xi) of this section to all knowledge 
and skills test examiners. To be pre-approved by FMCSA, the examiner 
information manual must be comparable to AAMVA's ``2005 CDL Test System 
(July 2010 Version) Model CDL Examiner's Manual,'' which FMCSA has 
approved and provides to all State Driver Licensing Agencies. The 
examiner information manual must include:
    (i) Information on driver application procedures contained in Sec.
383.71, State procedures described in Sec.383.73, and other 
appropriate driver information contained in subpart E of this part;
    (ii) Details on information that must be given to the applicant;
    (iii) Details on how to conduct the knowledge and skills tests;
    (iv) Scoring procedures and minimum passing scores for the knowledge 
and skills tests;
    (v) Information for selecting driving test routes for the skills 
tests;
    (vi) List of the skills to be tested;
    (vii) Instructions on where and how the skills will be tested;
    (viii) How performance of the skills will be scored;
    (ix) Causes for automatic failure of skills tests;
    (x) Standardized scoring sheets for the skills tests; and
    (xi) Standardized driving instructions for the applicants.
    (2) A State may include any additional State-specific information 
related to the CDL testing process.

[76 FR 26891, May 9, 2011]



Sec.383.133  Test methods.

    (a) All tests must be constructed in such a way as to determine if 
the applicant possesses the required knowledge

[[Page 231]]

and skills contained in subpart G of this part for the type of motor 
vehicle or endorsement the applicant wishes to obtain.
    (b) Knowledge tests:
    (1) States must use the FMCSA pre-approved pool of test questions to 
develop knowledge tests for each vehicle group and endorsement. The pool 
of questions must be comparable to those in AAMVA's ``2005 CDL Test 
System (July 2010 Version) 2005 Test Item Summary Forms,'' which FMCSA 
has approved and provides to all State Driver Licensing Agencies.
    (2) The State method of generating knowledge tests must conform to 
the requirements in paragraphs (b)(2)(i) through (iv) of this section 
and be pre-approved by FMCSA. The State method of generating knowledge 
tests must be comparable to the requirements outlined in AAMVA's ``2005 
CDL Test System (July 2010 Version) 2005 Requirements Document For Use 
In Developing Computer-Generated Multiple-Choice CDL Knowledge Tests'', 
which FMCSA has approved and provides to all State Driver Licensing 
Agencies to develop knowledge tests for each vehicle group and 
endorsement. These requirements include:
    (i) The total difficulty level of the questions used in each version 
of a test must fall within a set range;
    (ii) Twenty-five percent of the questions on a test must be new 
questions that were not contained in the previous version of the test;
    (iii) Identical questions from the previous version of the test must 
be in a different location on the test and the three possible responses 
to the questions must be in a different order; and
    (iv) Each test must contain a set number of questions with a 
prescribed number of questions from each of the knowledge areas.
    (3) Each knowledge test must be valid and reliable so as to ensure 
that driver applicants possess the knowledge required under Sec.
383.111. The knowledge tests may be administered in written form, 
verbally, or in automated format and can be administered in a foreign 
language, provided no interpreter is used in administering the test.
    (4) A State must use a different version of the test when an 
applicant retakes a previously failed test.
    (c) Skills tests:
    (1) A State must develop, administer and score the skills tests 
based solely on the information and standards contained in the driver 
and examiner manuals referred to in Sec.383.131(a) and (b).
    (2) A State must use the standardized scores and instructions for 
administering the tests contained in the examiner manual referred to in 
Sec.383.131(b).
    (3) An applicant must complete the skills tests in a representative 
vehicle to ensure that the applicant possess the skills required under 
Sec.383.113. In determining whether the vehicle is a representative 
vehicle for the skills test and the group of CDL for which the applicant 
is applying, the vehicle's gross vehicle weight rating or gross 
combination weight rating must be used, not the vehicle's actual gross 
vehicle weight or gross combination weight.
    (4) Skills tests must be conducted in on-street conditions or under 
a combination of on-street and off-street conditions.
    (5) Interpreters are prohibited during the administration of skills 
tests. Applicants must be able to understand and respond to verbal 
commands and instructions in English by a skills test examiner. Neither 
the applicant nor the examiner may communicate in a language other than 
English during the skills test.
    (6) The skills test must be administered and successfully completed 
in the following order: Pre-trip inspection, basic vehicle control 
skills, on-road skills. If an applicant fails one segment of the skills 
test:
    (i) The applicant cannot continue to the next segment of the test; 
and
    (ii) Scores for the passed segments of the test are only valid 
during initial issuance of the CLP. If the CLP is renewed, all three 
segments of the skills test must be retaken.
    (d) Passing scores for the knowledge and skills tests must meet the 
standards contained in Sec.383.135.

[76 FR 26891, May 9, 2011]

[[Page 232]]



Sec.383.135  Passing knowledge and skills tests.

    (a) Knowledge tests. (1) To achieve a passing score on each of the 
knowledge tests, a driver applicant must correctly answer at least 80 
percent of the questions.
    (2) If a driver applicant who fails the air brake portion of the 
knowledge test (scores less than 80 percent correct) is issued a CLP or 
CDL, an air brake restriction must be indicated on the CLP or CDL as 
required in Sec.383.95(a).
    (3) A driver applicant who fails the combination vehicle portion of 
the knowledge test (scores less than 80 percent correct) must not be 
issued a Group A CLP or CDL.
    (b) Skills Tests. (1) To achieve a passing score on each segment of 
the skills test, the driver applicant must demonstrate that he/she can 
successfully perform all of the skills listed in Sec.383.113 and 
attain the scores listed in Appendix A of the examiner manual referred 
to in Sec.383.131(b) for the type of vehicle being used in the test.
    (2) A driver applicant who does not obey traffic laws, causes an 
accident during the test, or commits any other offense listed as a 
reason for automatic failure in the standards contained in the driver 
and examiner manuals referred to in Sec. Sec.383.131(a) and (b), must 
automatically fail the test.
    (3) If a driver applicant who performs the skills test in a vehicle 
not equipped with any type of air brake system is issued a CDL, an air 
brake restriction must be indicated on the license as required in Sec.
383.95(a).
    (4) If a driver applicant who performs the skills test in a vehicle 
equipped with air over hydraulic brakes is issued a CDL, a full air 
brake restriction must be indicated on the license as required in Sec.
383.95(b).
    (5) If a driver applicant who performs the skills test in a vehicle 
equipped with an automatic transmission is issued a CDL, a manual 
transmission restriction must be indicated on the license as required in 
Sec.383.95(c).
    (6) If a driver applicant who performs the skills test in a 
combination vehicle requiring a Group A CDL equipped with any non-fifth 
wheel connection is issued a CDL, a tractor-trailer restriction must be 
indicated on the license as required in Sec.383.95(d).
    (7) If a driver applicant wants to remove any of the restrictions in 
paragraphs (b)(3) through (5) of this section, the applicant does not 
have to retake the complete skills test. The State may administer a 
modified skills test that demonstrates that the applicant can safely and 
effectively operate the vehicle's full air brakes, air over hydraulic 
brakes, and/or manual transmission. In addition, to remove the air brake 
or full air brake restriction, the applicant must successfully perform 
the air brake pre-trip inspection and pass the air brake knowledge test.
    (8) If a driver applicant wants to remove the tractor-trailer 
restriction in paragraph (b)(6) of this section, the applicant must 
retake all three skills tests in a representative tractor-trailer.
    (c) State recordkeeping. States must record and retain the knowledge 
and skills test scores of tests taken by driver applicants. The test 
scores must either be made part of the driver history record or be 
linked to the driver history record in a separate file.

[76 FR 26892, May 9, 2011]



    Subpart I_Requirement for Transportation Security Administration 
          approval of hazardous materials endorsement issuances



Sec.383.141  General.

    (a) Applicability. This section applies to State agencies 
responsible for issuing hazardous materials endorsements for a CDL, and 
applicants for such endorsements.
    (b) Prohibition. A State may not issue, renew, upgrade, or transfer 
a hazardous materials endorsement for a CDL to any individual 
authorizing that individual to operate a commercial motor vehicle 
transporting a hazardous material in commerce unless the Transportation 
Security Administration has determined that the individual does not pose 
a security risk warranting denial of the endorsement.
    (c) Individual notification. At least 60 days prior to the 
expiration date of the

[[Page 233]]

CDL or hazardous materials endorsement, a State must notify the holder 
of a hazardous materials endorsement that the individual must pass a 
Transportation Security Administration security threat assessment 
process as part of any application for renewal of the hazardous 
materials endorsement. The notice must advise a driver that, in order to 
expedite the security screening process, he or she should file a renewal 
application as soon as possible, but not later than 30 days before the 
date of expiration of the endorsement. An individual who does not 
successfully complete the Transportation Security Administration 
security threat assessment process referenced in paragraph (b) of this 
section may not be issued a hazardous materials endorsement.
    (d) Hazardous materials endorsement renewal cycle. Each State must 
require that hazardous materials endorsements be renewed every 5 years 
or less so that individuals are subject to a Transportation Security 
Administration security screening requirement referenced in paragraph 
(b) of this section at least every 5 years.

[68 FR 24850, May 5, 2003, as amended at 68 FR 63033, Nov. 7, 2003; 69 
FR 51393, Aug. 19, 2004; 70 FR 22271, Apr. 29, 2005; 77 FR 59825, Oct. 
1, 2012]



 Subpart J_Commercial Learner's Permit and Commercial Driver's License 
                                Documents

    Source: 53 FR 27657, July 21, 1988, unless otherwise noted.



Sec.383.151  General.

    (a) The CDL must be a document that is easy to recognize as a CDL.
    (b) The CLP must be a separate document from the CDL or non-CDL.
    (c) At a minimum, the CDL and the CLP must contain the information 
specified in Sec.383.153.

[76 FR 26892, May 9, 2011]



Sec.383.153  Information on the CLP and CDL documents and applications.

    (a) Commercial Driver's License. All CDLs must contain all of the 
following information:
    (1) The prominent statement that the license is a ``Commercial 
Driver's License'' or ``CDL,'' except as specified in paragraph (c) of 
this section.
    (2) The full name, signature, and mailing or residential address in 
the licensing State of the person to whom such license is issued.
    (3) Physical and other information to identify and describe such 
person including date of birth (month, day, and year), sex, and height.
    (4) Color photograph, digitized color image, or black and white 
laser engraved photograph of the driver. The State may issue a temporary 
CDL without a photo or image, if it is valid for no more than 60 days.
    (5) The driver's State license number.
    (6) The name of the State which issued the license.
    (7) The date of issuance and the date of expiration of the license.
    (8) The group or groups of commercial motor vehicle(s) that the 
driver is authorized to operate, indicated as follows:
    (i) A for Combination Vehicle;
    (ii) B for Heavy Straight Vehicle; and
    (iii) C for Small Vehicle.
    (9) The endorsement(s) for which the driver has qualified, if any, 
indicated as follows:
    (i) T for double/triple trailers;
    (ii) P for passenger;
    (iii) N for tank vehicle;
    (iv) H for hazardous materials;
    (v) X for a combination of tank vehicle and hazardous materials 
endorsements;
    (vi) S for school bus; and
    (vii) At the discretion of the State, additional codes for 
additional groupings of endorsements, as long as each such discretionary 
code is fully explained on the front or back of the CDL document.
    (10) The restriction(s) placed on the driver from operating certain 
equipment or vehicles, if any, indicated as follows:
    (i) L for No Air brake equipped CMV;
    (ii) Z for No Full air brake equipped CMV;
    (iii) E for No Manual transmission equipped CMV;
    (iv) O for No Tractor-trailer CMV;
    (v) M for No Class A passenger vehicle;

[[Page 234]]

    (vi) N for No Class A and B passenger vehicle;
    (vii) K for Intrastate only;
    (viii) V for medical variance; and
    (ix) At the discretion of the State, additional codes for additional 
restrictions, as long as each such restriction code is fully explained 
on the front or back of the CDL document.
    (b) Commercial Learner's Permit. (1) A CLP may, but is not required 
to, contain a digital color image or photograph or black and white laser 
engraved photograph.
    (2) All CLPs must contain all of the following information:
    (i) The prominent statement that the permit is a ``Commercial 
Learner's Permit'' or ``CLP,'' except as specified in paragraph (c) of 
this section, and that it is invalid unless accompanied by the 
underlying driver's license issued by the same jurisdiction.
    (ii) The full name, signature, and mailing or residential address in 
the permitting State of the person to whom the permit is issued.
    (iii) Physical and other information to identify and describe such 
person including date of birth (month, day, and year), sex, and height.
    (iv) The driver's State license number.
    (v) The name of the State which issued the permit.
    (vi) The date of issuance and the date of expiration of the permit.
    (vii) The group or groups of commercial motor vehicle(s) that the 
driver is authorized to operate, indicated as follows:
    (A) A for Combination Vehicle;
    (B) B for Heavy Straight Vehicle; and
    (C) C for Small Vehicle.
    (viii) The endorsement(s) for which the driver has qualified, if 
any, indicated as follows:
    (A) P for passenger endorsement. A CLP holder with a P endorsement 
is prohibited from operating a CMV carrying passengers, other than 
Federal/State auditors and inspectors, test examiners, other trainees, 
and the CDL holder accompanying the CLP holder as prescribed by Sec.
CFR 383.25(a)(1) of this part;
    (B) S for school bus endorsement. A CLP holder with an S endorsement 
is prohibited from operating a school bus with passengers other than 
Federal/State auditors and inspectors, test examiners, other trainees, 
and the CDL holder accompanying the CLP holder as prescribed by Sec.
383.25(a)(1) of this part; and
    (C) N for tank vehicle endorsement. A CLP holder with an N 
endorsement may only operate an empty tank vehicle and is prohibited 
from operating any tank vehicle that previously contained hazardous 
materials that has not been purged of any residue.
    (ix) The restriction(s) placed on the driver, if any, indicated as 
follows:
    (A) P for No passengers in CMV bus;
    (B) X for No cargo in CMV tank vehicle;
    (C) L for No Air brake equipped CMV;
    (D) V for medical variance;
    (E) M for No Class A passenger vehicle;
    (F) N for No Class A and B passenger vehicle;
    (G) K for Intrastate only.
    (H) Any additional jurisdictional restrictions that apply to the CLP 
driving privilege.
    (c) If the CLP or CDL is a Non-domiciled CLP or CDL, it must contain 
the prominent statement that the license or permit is a ``Non-domiciled 
Commercial Driver's License,'' ``Non-domiciled CDL,'' ``Non-domiciled 
Commercial Learner's Permit,'' or ``Non-domiciled CLP,'' as appropriate. 
The word ``Non-domiciled'' must be conspicuously and unmistakably 
displayed, but may be noncontiguous with the words ``Commercial Driver's 
License,'' ``CDL,'' ``Commercial Learner's Permit,'' or ``CLP.''
    (d) If the State has issued the applicant an air brake restriction 
as specified in Sec.383.95, that restriction must be indicated on the 
CLP or CDL.
    (e) Except in the case of a Non-domiciled CLP or CDL holder who is 
domiciled in a foreign jurisdiction:
    (1) A driver applicant must provide his/her Social Security Number 
on the application of a CLP or CDL.
    (2) The State must provide the Social Security Number to the CDLIS.
    (3) The State must not display the Social Security Number on the CLP 
or CDL.
    (f) The State may issue a multipart CDL provided that:

[[Page 235]]

    (1) Each document is explicitly tied to the other document(s) and to 
a single driver's record.
    (2) The multipart license document includes all of the data elements 
specified in this section.
    (g) Current CDL holders are not required to be retested to determine 
whether they need any of the new restrictions for no full air brakes, no 
manual transmission and no tractor-trailer. These new restrictions only 
apply to CDL applicants who take skills tests on or after July 8, 2015 
(including those applicants who previously held a CDL before the new 
restrictions went into effect).
    (h) On or after July 8, 2015 current CLP and CDL holders who do not 
have the standardized endorsement and restriction codes and applicants 
for a CLP or CDL are to be issued CLPs with the standardized codes upon 
initial issuance, renewal or upgrade and CDLs with the standardized 
codes upon initial issuance, renewal, upgrade or transfer.

[76 FR 26892, May 9, 2011; 76 FR 39018, July 5, 2011, as amended at 78 
FR 17881, Mar. 25, 2013; 78 FR 58480, Sept. 24, 2013]



Sec.383.155  Tamperproofing requirements.

    States must make the CLP and CDL tamperproof to the maximum extent 
practicable. At a minimum, a State must use the same tamperproof method 
used for noncommercial drivers' licenses.

[76 FR 26893, May 9, 2011]



PART 384_STATE COMPLIANCE WITH COMMERCIAL DRIVER'S LICENSE PROGRAM
--Table of Contents



                            Subpart A_General

Sec.
384.101 Purpose and scope.
384.103 Applicability.
384.105 Definitions.
384.107 Matter incorporated by reference.

    Subpart B_Minimum Standards for Substantial Compliance by States

384.201 Testing program.
384.202 Test standards.
384.203 Driving while under the influence.
384.204 CLP or CDL issuance and information.
384.205 CDLIS information.
384.206 State record checks.
384.207 Notification of licensing.
384.208 Notification of disqualification.
384.209 Notification of traffic violations.
384.210 Limitation on licensing.
384.211 Surrender of old licenses.
384.212 Domicile requirement.
384.213 Penalties for driving without a proper CDL.
384.214 Reciprocity.
384.215 First offenses.
384.216 Second offenses.
384.217 Drug offenses.
384.218 Second serious traffic violation.
384.219 Third serious traffic violation.
384.220 Problem Driver Pointer System information.
384.221 Out-of-service regulations (intoxicating beverage).
384.222 Violation of out-of-service orders.
384.223 Railroad-highway grade crossing violation.
384.224 Noncommercial motor vehicle violations.
384.225 CDLIS driver recordkeeping.
384.226 Prohibition on masking convictions.
384.227 Record of digital image or photograph.
384.228 Examiner training and record checks.
384.229 Skills test examiner auditing and monitoring.
384.230 [Reserved]
384.231 Satisfaction of State disqualification requirement.
384.232 Required timing of record checks.
384.233 Background records checks.
384.234 Driver medical certification recordkeeping.

          Subpart C_Procedures for Determining State Compliance

384.301 Substantial compliance--general requirement.
384.303 [Reserved]
384.305 State certifications for Federal fiscal years after FY 1994.
384.307 FMCSA program reviews of State compliance.
384.309 Results of compliance determination.

              Subpart D_Consequences of State Noncompliance

384.401 Withholding of funds based on noncompliance.
384.403 Period of availability; effect of compliance and noncompliance.
384.405 Decertification of State CDL program.
384.407 Emergency CDL grants.
384.409 Notification of noncompliance.


[[Page 236]]


    Authority: 49 U.S.C. 31136, 31301, et seq., and 31502; secs. 103 and 
215 of Pub. L. 106-59, 113 Stat. 1753, 1767; and 49 CFR 1.87.

    Source: 59 FR 26039, May 18, 1994, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 384 appear at 66 FR 
49872, Oct. 1, 2001.



                            Subpart A_General



Sec.384.101  Purpose and scope.

    (a) Purpose. The purpose of this part is to ensure that the States 
comply with the provisions of section 12009(a) of the Commercial Motor 
Vehicle Safety Act of 1986 (49 U.S.C. 31311(a)).
    (b) Scope. This part:
    (1) Includes the minimum standards for the actions States must take 
to be in substantial compliance with each of the 22 requirements of 49 
U.S.C. 31311(a);
    (2) Establishes procedures for determinations to be made of such 
compliance by States; and
    (3) Specifies the consequences of State noncompliance.

[62 FR 37152, July 11, 1997]



Sec.384.103  Applicability.

    The rules in this part apply to all States.



Sec.384.105  Definitions.

    (a) The definitions in part 383 of this title apply to this part, 
except where otherwise specifically noted.
    (b) As used in this part:
    CDLIS motor vehicle record (CDLIS MVR) means a report generated from 
the CDLIS driver record meeting the requirements for access to CDLIS 
information and provided by States to users authorized in Sec.
384.225(e)(3) and (4), subject to the provisions of the Driver Privacy 
Protection Act, 18 U.S.C. 2721-2725.
    Issue and issuance means the initial issuance, renewal or upgrade of 
a CLP or Non-domiciled CLP and the initial issuance, renewal, upgrade or 
transfer of a CDL or Non-domiciled CDL, as described in Sec.383.73 of 
this subchapter.
    Licensing entity means the agency of State government that is 
authorized to issue drivers' licenses.
    Year of noncompliance means any Federal fiscal year during which--
    (1) A State fails to submit timely certification as prescribed in 
subpart C of this part; or
    (2) The State does not meet one or more of the standards of subpart 
B of this part, based on a final determination by the FMCSA under Sec.
384.307(c) of this part.

[59 FR 26039, May 18, 1994, as amended at 73 FR 73125, Dec. 1, 2008; 76 
FR 26893, May 9, 2011; 78 FR 17881, Mar. 25, 2013]



Sec.384.107  Matter incorporated by reference.

    (a) Incorporation by reference. This part includes references to 
certain matter or materials. The text of the materials is not included 
in the regulations contained in this part. The materials are hereby made 
a part of the regulations in this part. The Director of the Office of 
the Federal Register has approved the materials incorporated by 
reference in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. For 
materials subject to change, only the specific version approved by the 
Director of the Office of the Federal Register and specified in the 
regulation are incorporated. Material is incorporated as it exists on 
the date of the approval and a notice of any change in these materials 
will be published in the Federal Register.
    (b) Materials incorporated. The AAMVA ``Commercial Driver's License 
Information System (CDLIS) State Procedures Manual,'' Release 5.2.0, 
February 2011, incorporation by reference approved for Sec. Sec.
384.225 and 384.231.
    (c) Addresses. (1) All of the materials incorporated by reference 
are available for inspection at:
    (i) The Department of Transportation Library, 1200 New Jersey Ave., 
SE., Washington, DC 20590-0001; telephone is (202) 366-0746. These 
documents are also available for inspection and copying as provided in 
49 CFR part 7.
    (ii) The National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call 202-741-
6030, or go to: http://www.archives.gov/federal--register/code--of--
federal--regulations/ibr--locations.html.

[[Page 237]]

    (2) Information and copies of all of the materials incorporated by 
reference may be obtained by writing to: American Association of Motor 
Vehicle Administrators, Inc., 4301 Wilson Blvd, Suite 400, Arlington, VA 
22203; Web site is http://www.aamva.org.

[67 FR 49761, July 31, 2002, as amended at 72 FR 55700, Oct. 1, 2007; 73 
FR 73125, Dec. 1, 2008; 76 FR 68332, Nov. 4, 2011]



    Subpart B_Minimum Standards for Substantial Compliance by States



Sec.384.201  Testing program.

    (a) The State shall adopt and administer a program for testing and 
ensuring the fitness of persons to operate commercial motor vehicles 
(CMVs) in accordance with the minimum Federal standards contained in 
part 383 of this title.
    (b) To obtain a copy of FMCSA pre-approved State Testing System 
referenced in Sec. Sec.383.131, 383.133 and 383.135, State Driver 
Licensing Agencies may contact: FMCSA, CDL Division, 1200 New Jersey 
Avenue, SE, Washington DC 20590.

[76 FR 26893, May 9, 2011]



Sec.384.202  Test standards.

    No State shall authorize a person to operate a CMV unless such 
person passes a knowledge and driving skills test for the operation of a 
CMV in accordance with part 383 of this title.



Sec.384.203  Driving while under the influence.

    (a) The State must have in effect and enforce through licensing 
sanctions the disqualifications prescribed in Sec.383.51(b) of this 
subchapter for driving a CMV with a 0.04 alcohol concentration.
    (b) Nothing in this section shall be construed to require a State to 
apply its criminal or other sanctions for driving under the influence to 
a person found to have operated a CMV with an alcohol concentration of 
0.04, except licensing sanctions including suspension, revocation, or 
cancellation.
    (c) A State that enacts and enforces through licensing sanctions the 
disqualifications prescribed in Sec.383.51(b) of this subchapter for 
driving a CMV with a 0.04 alcohol concentration and gives full faith and 
credit to the disqualification of CMV drivers by other States shall be 
deemed in substantial compliance with section 12009(a)(3) of the 
Commercial Motor Vehicle Safety Act of 1986 (49 U.S.C. 31311(a)(3)).

[67 FR 49761, July 31, 2002]



Sec.384.204  CLP or CDL issuance and information.

    (a) General rule. The State shall authorize a person to operate a 
CMV only by issuance of a CLP or CDL, unless an exception in Sec.
383.3(c) or (d) applies, which contains, at a minimum, the information 
specified in part 383, subpart J, of this subchapter.
    (b) Exceptions--(1) Training. The State may authorize a person who 
does not hold a CDL valid for the type of vehicle in which training 
occurs to undergo behind-the-wheel training in a CMV only by means of a 
CLP issued and used in accordance with Sec.383.25 of this subchapter.
    (2) Confiscation of CLP or CDL pending enforcement. A State may 
allow a CLP or CDL holder whose CLP or CDL is held in trust by that 
State or any other State in the course of enforcement of the motor 
vehicle traffic code, but who has not been convicted of a disqualifying 
offense under Sec.383.51 of this subchapter based on such enforcement, 
to drive a CMV while holding a dated receipt for such CLP or CDL.

[76 FR 26894, May 9, 2011]



Sec.384.205  CDLIS information.

    Before issuing a CLP or a CDL to any person, the State must, within 
the period of time specified in Sec.384.232, perform the check of the 
Commercial Driver's License Information System (CDLIS) in accordance 
with Sec.383.73(b)(3)(ii) of this subchapter, and, based on that 
information, issue the license or, in the case of adverse information, 
promptly implement the disqualifications, licensing limitations, 
denials, and/or penalties that are called for in any applicable 
section(s) of this subpart.

[76 FR 26894, May 9, 2011]

[[Page 238]]



Sec.384.206  State record checks.

    (a) Issuing State's records. (1) Before issuing, renewing, 
upgrading, or transferring a CLP or CDL to any person, the driver's 
State of record must, within the period of time specified in Sec.
384.232, check its own driver records as follows:
    (i) The driver record of the person in accordance with Sec.
383.73(b)(3)(i) of this chapter; and
    (ii) For a driver who certifies that his/her type of driving is non-
excepted, interstate commerce according to Sec.383.71(b)(1)(i) of this 
chapter, the medical certification status information on the person's 
CDLIS driver record.
    (2) Based on the findings of its own State record check, the State 
of record must do one of the following as appropriate:
    (i) Issue, renew, upgrade, or transfer the applicant's CLP or CDL;
    (ii) In the event the State obtains adverse information regarding 
the applicant, promptly implement the disqualifications, licensing 
limitations, denials, or penalties that are called for in any applicable 
section(s) of this subpart; or
    (iii) In the event there is no information regarding the driver's 
self-certification for driving type required by Sec.383.71(b)(1), or 
for a driver who is required by Sec.383.71(h) to be ``certified,'' if 
the medical certification status of the individual is ``non-certified,'' 
the State must deny the CDL action requested by the applicant and 
initiate a downgrade of the CDL, if required by Sec.383.73(o)(4) of 
this chapter.
    (b) Other States' records. (1) Before the initial or transfer 
issuance of a CLP or CDL to a person, and before renewing or upgrading a 
CLP or CDL held by any person, the issuing State must:
    (i) Require the applicant to provide the names of all States where 
the applicant has previously been licensed to operate any type of motor 
vehicle during the previous 10 years.
    (ii) Within the time period specified in Sec.384.232, request the 
complete driver record from all States where the applicant was licensed 
within the previous 10 years to operate any type of motor vehicle.
    (2) States receiving a request for the driver record of a person 
currently or previously licensed by the State must provide the 
information within 30 days.
    (3) Based on the findings of the other State record checks, the 
issuing State must, in the case of adverse information regarding the 
applicant, promptly implement the disqualifications, licensing 
limitations, denials, or penalties that are called for in any applicable 
section(s) of this subpart.

[76 FR 26894, May 9, 2011, as amended at 78 FR 58480, Sept. 24, 2013]



Sec.384.207  Notification of licensing.

    Within the period defined in Sec.383.73(h) of this subchapter, the 
State must:
    (a) Notify the operator of the CDLIS of each CLP or CDL issuance;
    (b) Notify the operator of the CDLIS of any changes in driver 
identification information; and
    (c) In the case of transfer issuances, implement the Change State of 
Record transaction, as specified by the operator of the CDLIS, in 
conjunction with the previous State of record and the operator of the 
CDLIS.

[59 FR 26039, May 18, 1994, as amended at 76 FR 26894, May 9, 2011]



Sec.384.208  Notification of disqualification.

    (a) No later than 10 days after disqualifying a CLP or CDL holder 
licensed by another State, or disqualifying an out-of-State CLP or CDL 
holder's privilege to operate a commercial motor vehicle for at least 60 
days, the State must notify the State that issued the license of the 
disqualification.
    (b) The notification must include both the disqualification and the 
violation that resulted in the disqualification, revocation, suspension, 
or cancellation. The notification and the information it provides must 
be recorded on the CDLIS driver record.

[67 FR 49761, July 31, 2002, as amended at 73 FR 73125, Dec. 1, 2008; 76 
FR 26894, May 9, 2011]



Sec.384.209  Notification of traffic violations.

    (a) Required notification with respect to CLP or CDL holders. (1) 
Whenever a person who holds a CLP or CDL from another State is convicted 
of a violation

[[Page 239]]

of any State or local law relating to motor vehicle traffic control 
(other than parking, vehicle weight or vehicle defect violations), in 
any type of vehicle, the licensing entity of the State in which the 
conviction occurs must notify the licensing entity in the State where 
the driver is licensed of this conviction within the time period 
established in paragraph (c) of this section.
    (2) Whenever a person who holds a foreign commercial driver's 
license is convicted of a violation of any State or local law relating 
to motor vehicle traffic control (other than parking, vehicle weight or 
vehicle defect violations), in any type of vehicle, the licensing entity 
of the State in which the conviction occurs must report that conviction 
to the Federal Convictions and Withdrawal Database.
    (b) Required notification with respect to non-CDL holders. (1) 
Whenever a person who does not hold a CDL, but who is licensed to drive 
by another State, is convicted of a violation in a CMV of any State or 
local law relating to motor vehicle traffic control (other than a 
parking violation), the licensing entity of the State in which the 
conviction occurs must notify the licensing entity in the State where 
the driver is licensed of this conviction within the time period 
established in paragraph (c) of this section.
    (2) Whenever a person who is unlicensed or holds a foreign non-
commercial driver's license is convicted of a violation in a CMV of any 
State or local law relating to motor vehicle traffic control (other than 
a parking violation), the licensing entity of the State in which the 
conviction occurs must report that conviction to the Federal Convictions 
and Withdrawal Database.

[78 FR 60232, Oct. 1, 2013]



Sec.384.210  Limitation on licensing.

    A State must not knowingly issue a CLP, a CDL, or a commercial 
special license or permit (including a provisional or temporary license) 
permitting a person to drive a CMV during a period in which:
    (a) A person is disqualified from operating a CMV, as 
disqualification is defined in Sec.383.5 of this subchapter, or under 
the provisions of Sec.383.73(j) or Sec.384.231(b)(2) of this 
subchapter;
    (b) The CLP or CDL holder's noncommercial driving privilege has been 
disqualified; or
    (c) Any type of driver's license held by such person is disqualified 
by the State where the driver is licensed for any State or local law 
related to motor vehicle traffic control (other than parking, vehicle 
weight or vehicle defect violations).

[76 FR 26894, May 9, 2011]



Sec.384.211  Surrender of old licenses.

    The State may not initially issue, upgrade, or transfer a CDL to a 
person unless such person first surrenders any previously issued 
driver's license and CLP.

[76 FR 26894, May 9, 2011]



Sec.384.212  Domicile requirement.

    (a) The State may issue CDLs or CLPs only to persons for whom the 
State is the State of domicile as defined in Sec.383.5 of this 
subchapter; except that the State may issue a Non-domiciled CLP or CDL 
under the conditions specified in Sec. Sec.383.23(b), 383.71(f), and 
383.73(f) of this subchapter.
    (b) The State must require any person holding a CLP or CDL issued by 
another State to apply for a transfer CLP or CDL from the State within 
30 days after establishing domicile in the State, as specified in Sec.
383.71(c) of this subchapter.

[76 FR 26894, May 9, 2011]



Sec.384.213  State penalties for drivers of CMVs.

    The State must impose on drivers of CMVs appropriate civil and 
criminal penalties that are consistent with the penalties prescribed 
under part 383, subpart D, of this subchapter.

[67 FR 49761, July 31, 2002]



Sec.384.214  Reciprocity.

    The State must allow any person to operate a CMV in the State who is 
not disqualified from operating a CMV and who holds a CLP or CDL that 
is--

[[Page 240]]

    (a) Issued to him or her by his/her State or jurisdiction of 
domicile in accordance with part 383 of this subchapter;
    (b) Not disqualified; and
    (c) Valid, under the terms of part 383, subpart F, of this 
subchapter, for the type of vehicle being driven.

[76 FR 26895, May 9, 2011]



Sec.384.215  First offenses.

    (a) General rule. The State must disqualify from operating a CMV 
each person who is convicted, as defined in Sec.383.5 of this 
subchapter, in any State or jurisdiction, of a disqualifying offense 
specified in items (1) through (8) of Table 1 to Sec.383.51 of this 
subchapter, for no less than one year.
    (b) Special rule for hazardous materials offenses. If the offense 
under paragraph (a) of this section occurred while the driver was 
operating a vehicle transporting hazardous materials as defined in Sec.
383.5, the State shall disqualify the person for no less than three 
years.

[59 FR 26039, May 18, 1994, as amended at 67 FR 49762, July 31, 2002; 77 
FR 59825, Oct. 1, 2012]



Sec.384.216  Second offenses.

    (a) General rule. The State must disqualify for life from operating 
a CMV each person who is convicted, as defined in Sec.383.5 of this 
subchapter, in any State or jurisdiction, of a subsequent offense as 
described in Table 1 to Sec.383.51 of this subchapter.
    (b) Special rule for certain lifetime disqualifications. A driver 
disqualified for life under Table 1 to Sec.383.51 may be reinstated 
after 10 years by the driver's State of residence if the requirements of 
Sec.383.51(a)(6) have been met.

[67 FR 49762, July 31, 2002; 78 FR 58480, Sept. 24, 2013]



Sec.384.217  Drug offenses.

    The State must disqualify from operating a CMV for life any person 
who is convicted, as defined in Sec.383.5 of this subchapter, in any 
State or jurisdiction of a first offense of using a CMV (or, in the case 
of a CLP or CDL holder, a CMV or a non-CMV) in the commission of a 
felony described in item (9) of Table 1 to Sec.383.51 of this 
subchapter. The State shall not apply the special rule in Sec.
384.216(b) to lifetime disqualifications imposed for controlled 
substance felonies as detailed in item (9) of Table 1 to Sec.383.51 of 
this subchapter.

[76 FR 26895, May 9, 2011]



Sec.384.218  Second serious traffic violation.

    The State must disqualify from operating a CMV for a period of not 
less than 60 days each person who, in a three-year period, is convicted, 
as defined in Sec.383.5 of this subchapter, in any State(s) or 
jurisdiction(s), of two serious traffic violations as specified in Table 
2 to Sec.383.51.

[67 FR 49762, July 31, 2002]



Sec.384.219  Third serious traffic violation.

    The State must disqualify from operating a CMV for a period of not 
less than 120 days each person who, in a three-year period, is 
convicted, as defined in Sec.383.5 of this subchapter, in any State(s) 
or jurisdiction(s), of three serious traffic violations as specified in 
Table 2 to Sec.383.51. This disqualification period must be in 
addition to any other previous period of disqualification.

[67 FR 49762, July 31, 2002]



Sec.384.220  Problem Driver Pointer System information.

    Before issuing a CLP or CDL to any person, the State must, within 
the period of time specified in Sec.384.232, perform the check of the 
Problem Driver Pointer System in accordance with Sec.383.73(b)(3)(iii) 
of this subchapter, and, based on that information, promptly implement 
the disqualifications, licensing limitations, and/or penalties that are 
called for in any applicable section(s) of this subpart.

[76 FR 26895, May 9, 2011]



Sec.384.221  Out-of-service regulations (intoxicating beverage).

    The State shall adopt, and enforce on operators of CMVs as defined 
in Sec. Sec.383.5 and 390.5 of this title, the provisions of Sec.
392.5 (a) and (c) of this title in accordance with the Motor Carrier 
Safety Assistance Program as contained in 49 CFR part 350 and applicable 
policy and guidelines.

[[Page 241]]



Sec.384.222  Violation of out-of-service orders.

    The State must have and enforce laws and/or regulations applicable 
to drivers of CMVs and their employers, as defined in Sec.383.5 of 
this subchapter, which meet the minimum requirements of Sec.383.37(d), 
Table 4 to Sec.383.51, and Sec.383.53(b) of this subchapter.

[67 FR 49762, July 31, 2002, as amended at 78 FR 58480, Sept. 24, 2013]



Sec.384.223  Railroad-highway grade crossing violation.

    The State must have and enforce laws and/or regulations applicable 
to CMV drivers and their employers, as defined in Sec.383.5 of this 
subchapter, which meet the minimum requirements of Sec.383.37(e), 
Table 3 to Sec.383.51, and Sec.383.53(c) of this subchapter.

[67 FR 49762, July 31, 2002, as amended at 78 FR 58480, Sept. 24, 2013]



Sec.384.224  Noncommercial motor vehicle violations.

    The State must have and enforce laws and/or regulations applicable 
to drivers of non-CMVs, as defined in Sec.383.5 of this subchapter, 
which meet the minimum requirements of Tables 1 and 2 to Sec.383.51 of 
this subchapter.

[67 FR 49762, July 31, 2002]



Sec.384.225  CDLIS driver recordkeeping.

    The State must:
    (a) CLP or CDL holder. Post and maintain as part of the CDLIS driver 
record:
    (1) All convictions, disqualifications and other licensing actions 
for violations of any State or local law relating to motor vehicle 
traffic control (other than parking, vehicle weight, or vehicle defect 
violations) committed in any type of vehicle.
    (2) The following medical certification status information:
    (i) Driver self-certification for the type of driving operations 
provided in accordance with Sec.383.71(b)(1) of this chapter, and
    (ii) Information from medical certification recordkeeping in 
accordance with Sec.383.73(o) of this chapter.
    (b) A person required to have a CLP or CDL. Record and maintain as 
part of the CDLIS driver record all convictions, disqualifications and 
other licensing actions for violations of any State or local law 
relating to motor vehicle traffic control (other than parking, vehicle 
weight, or vehicle defect violations) committed while the driver was 
operating a CMV.
    (c) Make CDLIS driver record information required by this section 
available to the users designated in paragraph (e) of this section, or 
to their authorized agent, within 10 days of:
    (1) Receiving the conviction or disqualification information from 
another State; or
    (2) The date of the conviction, if it occurred in the same State.
    (d) Retain on the CDLIS driver record record all convictions, 
disqualifications and other licensing actions for violations for at 
least 3 years or longer as required under Sec.384.231(d).
    (e) Only the following users or their authorized agents may receive 
the designated information:
    (1) States--All information on all CDLIS driver records.
    (2) Secretary of Transportation--All information on all CDLIS driver 
records.
    (3) Driver--All information on that driver's CDLIS driver record 
obtained on the CDLIS Motor Vehicle Record from the State according to 
its procedures.
    (4) Motor Carrier or Prospective Motor Carrier--After notification 
to a driver, all information on that driver's, or prospective driver's, 
CDLIS driver record obtained on the CDLIS Motor Vehicle Record from the 
State according to its procedures.
    (f) The content of the report provided a user authorized by 
paragraph (e) of this section from the CDLIS driver record, or from a 
copy of this record maintained for use by the National Law Enforcement 
Telecommunications System, must be comparable to the report that would 
be generated by a CDLIS State-to-State request for a CDLIS driver 
history, as defined in the ``CDLIS State Procedures Manual'' 
(incorporated by reference, see Sec.384.107(b)), and must include the 
medical certification status information of the driver in paragraph 
(a)(2) of this

[[Page 242]]

section. This does not preclude authorized users from requesting a CDLIS 
driver status.

[67 FR 49762, July 31, 2002, as amended at 73 FR 73125, Dec. 1, 2008; 76 
FR 26895, May 9, 2011; 78 FR 58480, Sept. 24, 2013]



Sec.384.226  Prohibition on masking convictions.

    The State must not mask, defer imposition of judgment, or allow an 
individual to enter into a diversion program that would prevent a CLP or 
CDL holder's conviction for any violation, in any type of motor vehicle, 
of a State or local traffic control law (other than parking, vehicle 
weight, or vehicle defect violations) from appearing on the CDLIS driver 
record, whether the driver was convicted for an offense committed in the 
State where the driver is licensed or another State.

[76 FR 26895, May 9, 2011]



Sec.384.227  Record of digital image or photograph.

    The State must:
    (a) Record the digital color image or photograph or black and white 
laser engraved photograph that is captured as part of the application 
process and placed on the licensing document of every person who is 
issued a CDL, as required under Sec.383.153. The digital color image 
or photograph or black and white laser engraved photograph must either 
be made part of the driver history or be linked to the driver history in 
a separate file.
    (b) Check the digital color image or photograph or black and white 
laser engraved photograph on record whenever the CDL applicant or holder 
appears in person to renew, upgrade, or transfer a CDL and when a 
duplicate CDL is issued.
    (c) Check the digital color image or photograph or black and white 
laser engraved photograph on record whenever the CLP applicant or holder 
appears in person to issue, renew or upgrade a CLP and when a duplicate 
CLP is issued.
    (d) If no digital color image or photograph or black and white laser 
engraved photograph exists on record, the State must check the 
photograph or image on the base-license presented with the CLP or CDL 
application.

[76 FR 26895, May 9, 2011, as amended at 78 FR 17881, Mar. 25, 2013]



Sec.384.228  Examiner training and record checks.

    For all State and third party CDL test examiners, the State must 
meet the following 10 requirements:
    (a) Establish examiner training standards for initial and refresher 
training that provides CDL test examiners with a fundamental 
understanding of the objectives of the CDL testing program, and with all 
of the knowledge and skills necessary to serve as a CDL test examiner 
and assist jurisdictions in meeting the Federal CDL testing 
requirements.
    (b) Require all State knowledge and skills test examiners to 
successfully complete a formal CDL test examiner training course and 
examination before certifying them to administer CDL knowledge and 
skills tests.
    (c) The training course for CDL knowledge test examiners must cover 
at least the following three units of instruction:
    (1) Introduction to CDL Licensing System:
    (i) The Commercial Motor Vehicle Safety Act of 1986.
    (ii) Drivers covered by CDL program.
    (iii) CDL vehicle classification.
    (iv) CDL endorsements and restrictions.
    (2) Overview of the CDL tests:
    (i) CDL test, classifications, and endorsements.
    (ii) Different examinations.
    (iii) Representative vehicles.
    (iv) Validity and reliability.
    (v) Test maintenance.
    (3) Knowledge tests:
    (i) General knowledge tests.
    (ii) Specialized knowledge tests.
    (iii) Selecting the appropriate tests and test forms.
    (iv) Knowledge test administration.
    (d) The training course for CDL skills test examiners must cover at 
least the following five units of instruction:
    (1) Introduction to CDL Licensing System:
    (i) The Commercial Motor Vehicle Safety Act of 1986.
    (ii) Drivers covered by CDL program.

[[Page 243]]

    (iii) CDL vehicle classification.
    (iv) CDL endorsements and restrictions.
    (2) Overview of the CDL tests:
    (i) CDL test, classifications, and endorsements.
    (ii) Different examinations.
    (iii) Representative vehicles.
    (iv) Validity and reliability.
    (v) Test maintenance.
    (3) Vehicle inspection test:
    (i) Test overview.
    (ii) Description of safety rules.
    (iii) Test scoring procedures.
    (iv) Scoring standards.
    (v) Calculating final score.
    (4) Basic control skills testing:
    (i) Setting up the basic control skills course.
    (ii) Description of safety rules.
    (iii) General scoring procedures.
    (iv) Administering the test.
    (v) Calculating the score.
    (5) Road test:
    (i) Setting up the road test.
    (ii) Required maneuvers.
    (iii) Administering the road test.
    (iv) Calculating the score.
    (e) Require all third party skills test examiners to successfully 
complete a formal CDL test examiner training course and examination 
before certifying them to administer CDL skills tests. The training 
course must cover at least the five units of instruction in paragraph 
(d) of this section.
    (f) Require State and third party CDL test examiners to successfully 
complete a refresher training course and examination every four years to 
maintain their CDL test examiner certification. The refresher training 
course must cover at least the following:
    (1) For CDL knowledge test examiners, the three units of training 
described in paragraph (c) of this section.
    (2) For CDL skills test examiners, the five units of training 
described in paragraph (d) of this section.
    (3) Any State specific material and information related to 
administering CDL knowledge and skills tests.
    (4) Any new Federal CDL regulations, updates to administering the 
tests, and new safety related equipment on the vehicles.
    (g) Complete nationwide criminal background check of all skills test 
examiners prior to certifying them to administer CDL skills tests.
    (h)(1) Complete nationwide criminal background check of all State 
and third party test examiners at the time of hiring.
    (2) Complete nationwide criminal background check of any State and 
third party current test examiner who has not had a nationwide criminal 
background check.
    (i) Maintain a record of the results of the criminal background 
check and CDL examiner test training and certification of all CDL test 
examiners.
    (j) Rescind the certification to administer CDL tests of all test 
examiners who:
    (1) Do not successfully complete the required refresher training 
every four years; or
    (2) Do not pass annual nationwide criminal background checks. 
Criteria for not passing the criminal background check must include at 
least the following:
    (i) Any felony conviction within the last 10 years; or
    (ii) Any conviction involving fraudulent activities.
    (k) The six units of training described in paragraphs (c) and (d) of 
this section may be supplemented with State-specific material and 
information related to administering CDL knowledge and skills tests.

[76 FR 26895, May 9, 2011 as amended at 78 FR 17882, Mar. 25, 2013]



Sec.384.229  Skills test examiner auditing and monitoring.

    To ensure the integrity of the CDL skills testing program, the State 
must:
    (a) At least once every 2 years, conduct unannounced, on-site 
inspections of third party testers' and examiners' records, including 
comparison of the CDL skills test results of applicants who are issued 
CDLs with the CDL scoring sheets that are maintained in the third party 
testers' files;
    (b) At least once every two years, conduct covert and overt 
monitoring of examinations performed by State and third party CDL skills 
test examiners. For third party testers and examiners who were granted 
the training and skills testing exception under

[[Page 244]]

Sec.383.75(a)(7), the covert and overt monitoring must be performed at 
least once every year;
    (c) Establish and maintain a database to track pass/fail rates of 
applicants tested by each State and third party CDL skills test 
examiner, in order to focus covert and overt monitoring on examiners who 
have unusually high pass or failure rates;
    (d) Establish and maintain a database of all third party testers and 
examiners, which at a minimum tracks the dates and results of audits and 
monitoring actions by the State, the dates third party testers were 
certified by the State, and name and identification number of each third 
party CDL skills test examiner;
    (e) Establish and maintain a database of all State CDL skills 
examiners, which at a minimum tracks the dates and results of monitoring 
action by the State, and the name and identification number of each 
State CDL skills examiner; and
    (f) Establish and maintain a database that tracks skills tests 
administered by each State and third party CDL skills test examiner's 
name and identification number.

[76 FR 26896, May 9, 2011, as amended at 78 FR 58480, Sept. 24, 2013]



Sec.384.230     [Reserved]



Sec.384.231  Satisfaction of State disqualification requirement.

    (a) Applicability. The provisions of Sec. Sec.384.203, 384.206(b), 
384.210, 384.213, 384.215 through 384.219, 384.221 through 384.224, and 
384.231 of this part apply to the State of licensure of the person 
affected by the provision. The provisions of Sec.384.210 of this part 
also apply to any State to which a person makes application for a 
transfer CDL.
    (b) Required action--(1) CLP or CDL holders. A State must satisfy 
the requirement of this subpart that the State disqualify a person who 
holds a CLP or a CDL by, at a minimum, disqualifying the person's CLP or 
CDL for the applicable period of disqualification.
    (2) A person required to have a CLP or CDL. A State must satisfy the 
requirement of this subpart that the State disqualify a person required 
to have a CLP or CDL who is convicted of an offense or offenses 
necessitating disqualification under Sec.383.51 of this subchapter. At 
a minimum, the State must implement the limitation on licensing 
provisions of Sec.384.210 and the timing and recordkeeping 
requirements of paragraphs (c) and (d) of this section so as to prevent 
such a person from legally obtaining a CLP or CDL from any State during 
the applicable disqualification period(s) specified in this subpart.
    (c) Required timing. The State must disqualify a driver as 
expeditiously as possible.
    (d) Recordkeeping requirements. The State must conform to the 
requirements of the CDLIS State Procedures Manual (incorporated by 
reference in Sec.384.107(b).) These requirements include the 
maintenance of such driver records and driver identification data on the 
CDLIS as the FMCSA finds are necessary to the implementation and 
enforcement of the disqualifications called for in Sec. Sec.384.215 
through 384.219, and 384.221 through 384.224 of this part.

[67 FR 49762, July 31, 2002, as amended at 73 FR 73126, Dec. 1, 2008; 76 
FR 26896, May 9, 2011]



Sec.384.232  Required timing of record checks.

    The State shall perform the record checks prescribed in Sec. Sec.
384.205, 384.206, and 384.220, no earlier than 10 days prior to issuance 
for licenses issued before October 1, 1995. For licenses issued after 
September 30, 1995, the State shall perform the record checks no earlier 
than 24 hours prior to issuance if the license is issued to a driver who 
does not currently possess a valid CDL from the same State and no 
earlier than 10 days prior to issuance for all other drivers.



Sec.384.233  Background records checks.

    (a) The State shall comply with Transportation Security 
Administration requirements concerning background records checks for 
drivers seeking to obtain, renew, transfer or upgrade a hazardous 
materials endorsement in 49 CFR Part 1572, to the extent those 
provisions impose requirements on the State.

[[Page 245]]

    (b) The State shall comply with each requirement of 49 CFR 383.141.

[68 FR 23850, May 5, 2003]



Sec.384.234  Driver medical certification recordkeeping.

    The State must meet the medical certification recordkeeping 
requirements of Sec.383.73(b)(5) and (o) of this chapter.

[77 FR 26989, May 8, 2012]



          Subpart C_Procedures for Determining State Compliance



Sec.384.301  Substantial compliance-general requirements.

    (a) To be in substantial compliance with 49 U.S.C. 31311(a), a State 
must meet each and every standard of subpart B of this part by means of 
the demonstrable combined effect of its statutes, regulations, 
administrative procedures and practices, organizational structures, 
internal control mechanisms, resource assignments (facilities, 
equipment, and personnel), and enforcement practices.
    (b)(1) A State must come into substantial compliance with the 
requirements of subpart B of this part in effect as of September 30, 
2002 as soon as practical, but, unless otherwise specifically provided 
in this part, not later than September 30, 2005.
    (2) Exception. A State must come into substantial compliance with 49 
CFR 383.123 not later than September 30, 2006.
    (c) A State must come into substantial compliance with the 
requirements of subpart B of this part in effect as of September 4, 2007 
as soon as practical but, unless otherwise specifically provided in this 
part, not later than September 4, 2010.
    (d) A State must come into substantial compliance with the 
requirements of subpart B of this part in effect as of January 30, 2009, 
as soon as practical, but not later than January 30, 2012.
    (e) A State must come into substantial compliance with the 
requirements of subpart B of this part in effect as of October 27, 2010 
as soon as practical, but not later than October 28, 2013.
    (f) A State must come into substantial compliance with the 
requirements of subpart B of this part in effect as of July 8, 2011 and 
April 24, 2013 as soon as practical but, unless otherwise specifically 
provided in this part, not later than July 8, 2015.
    (g) A State must come into substantial compliance with the 
requirements of subpart B of this part, which is effective as of 
December 5, 2011, as soon as practicable, but not later than January 30, 
2012.
    (h) A State must come into substantial compliance with the 
requirements of subpart B of this part in effect as of January 3, 2012) 
as soon as practical, but not later than January 3, 2015.

[67 FR 49763, July 31, 2002, as amended at 70 FR 56593, Sept. 28, 2005; 
72 FR 36788, July 5, 2007; 73 FR 73126, Dec. 1, 2008; 75 FR 59135, Sept. 
27, 2010; 76 FR 26896, May 9, 2011; 76 FR 39018, July 5, 2011; 76 FR 
68332, Nov. 4, 2011; 76 FR 75486, Dec. 2, 2011; 78 FR 17882, Mar. 25, 
2013]



Sec.384.303     [Reserved]



Sec.384.305  State certifications for Federal fiscal years after FY 1994.

    (a) Certification requirement. Prior to January 1 of each Federal 
fiscal year after FY 1994, each State shall review its compliance with 
this part and certify to the Federal Motor Carrier Safety Administrator 
as prescribed in paragraph (b) of this section. The certification shall 
be submitted as a signed original and four copies to the Division 
Administrator/State Director or Officer-in-Charge, Federal Motor Carrier 
Safety Administration, located in that State.
    (b) Certification content. The certification shall consist of a 
statement signed by the Governor of the State, or by an official 
designated by the Governor, and reading as follows: ``I (name of 
certifying official), (position title), of the State (Commonwealth) of 
------, do hereby certify that the State (Commonwealth) has continuously 
been in substantial compliance with all requirements of 49 U.S.C. 
31311(a), as defined in 49 CFR 384.301, since [the first day of the 
current Federal fiscal year], and contemplates no changes in statutes, 
regulations, or administrative procedures, or in the enforcement 
thereof, which would affect such substantial compliance through [the 
last

[[Page 246]]

date of the current Federal fiscal year].''

(Approved by the Office of Management and Budget under control number 
2125-0542)

[59 FR 26039, May 18, 1994, as amended at 62 FR 37152, July 11, 1997; 78 
FR 58481, Sept. 24, 2013]



Sec.384.307  FMCSA program reviews of State compliance.

    (a) FMCSA Program Reviews. Each State's CDL program will be subject 
to review to determine whether or not the State meets the general 
requirement for substantial compliance in Sec.384.301. The State must 
cooperate with the review and provide any information requested by the 
FMCSA.
    (b) Preliminary FMCSA determination and State response. If, after 
review, a preliminary determination is made either that the State has 
not submitted the required annual self-certification or that the State 
does not meet one or more of the minimum standards for substantial 
compliance under subpart B of this part, the State will be informed 
accordingly.
    (c) Reply. The State will have up to 30 calendar days to respond to 
the preliminary determination. The State's reply must explain what 
corrective action it either has implemented or intends to implement to 
correct the deficiencies cited in the notice or, alternatively, why the 
FMCSA preliminary determination is incorrect. The State must provide 
documentation of corrective action as required by the agency. Corrective 
action must be adequate to correct the deficiencies noted in the program 
review and be implemented on a schedule mutually agreed upon by the 
agency and the State. Upon request by the State, an informal conference 
will be provided during this time.
    (d) Final FMCSA determination. If, after reviewing a timely response 
by the State to the preliminary determination, a final determination is 
made that the State is not in compliance with the affected standard, the 
State will be notified of the final determination. In making its final 
determination, the FMCSA will take into consideration the corrective 
action either implemented or planned to be implemented in accordance 
with the mutually agreed upon schedule.
    (e) State's right to judicial review. Any State aggrieved by an 
adverse decision under this section may seek judicial review under 5 
U.S.C. Chapter 7.

[67 FR 49763, July 31, 2002]



Sec.384.309  Results of compliance determination.

    (a) A State shall be determined not substantially in compliance with 
49 U.S.C. 31311(a) for any fiscal year in which it:
    (1) Fails to submit the certification as prescribed in this subpart; 
or
    (2) Does not meet one or more of the standards of subpart B of this 
part, as established in a final determination by the FMCSA under Sec.
384.307(d).
    (b) A State shall be in substantial compliance with 49 U.S.C. 
31311(a) for any fiscal year in which neither of the eventualities in 
paragraph (a) of this section occurs.

[62 FR 37152, July 11, 1997, as amended at 78 FR 58481, Sept. 24, 2013]



              Subpart D_Consequences of State Noncompliance



Sec.384.401  Withholding of funds based on noncompliance.

    (a) Following the first year of noncompliance. An amount up to 5 
percent of the Federal-aid highway funds required to be apportioned to 
any State under each of sections 104(b)(1), (b)(3), and (b)(4) of title 
23 U.S.C. shall be withheld from a State on the first day of the fiscal 
year following such State's first year of noncompliance under this part.
    (b) Following second and subsequent year(s) of noncompliance. An 
amount up to 10 percent of the Federal-aid highway funds required to be 
apportioned to any State under each of sections 104(b)(1), (b)(3), and 
(b)(4) of title 23 U.S.C. shall be withheld from a State on the first 
day of the fiscal year following such State's second or subsequent 
year(s) of noncompliance under this part.

[72 FR 36788, July 5, 2007]



Sec.384.403  Availability of funds withheld for noncompliance.

    (a) Federal-aid highway funds withheld from a State under Sec.
384.401(a) or

[[Page 247]]

(b) shall not thereafter be available for apportionment to the State.
    (b) MCSAP funds withheld from a State under Sec.384.401(a)(2) or 
(b)(2) remain available until June 30 of the fiscal year in which they 
were withheld. If before June 30 the State submits a document signed by 
the Governor or his or her delegate certifying, and the FMCSA 
determines, that the State is now in substantial compliance with the 
standards of subpart B of this part, the withheld funds shall be 
restored to the State. After June 30, unrestored funds shall lapse and 
be allocated in accordance with Sec.350.313 of this subchapter to all 
States currently in substantial compliance with subpart B of this part.

[67 FR 49763, July 31, 2002, as amended at 78 FR 58481, Sept. 24, 2013]



Sec.384.405  Decertification of State CDL program.

    (a) Prohibition on CLP or CDL transactions. The Administrator may 
prohibit a State found to be in substantial noncompliance from 
performing any of the following CLP or CDL transactions:
    (1) Initial issuance.
    (2) Renewal.
    (3) Transfer.
    (4) Upgrade.
    (b) Conditions considered in making decertification determination. 
The Administrator will consider, but is not limited to, the following 
five conditions in determining whether the CDL program of a State in 
substantial noncompliance should be decertified:
    (1) The State computer system does not check the Commercial Driver's 
License Information System (CDLIS) and/or national Driver Registry 
problem Driver Pointer System (PDPS) as required by Sec.383.73 of this 
subchapter when issuing, renewing or upgrading a CLP or issuing, 
renewing, upgrading or transferring a CDL.
    (2) The State does not disqualify drivers convicted of disqualifying 
offenses in commercial motor vehicles.
    (3) The State does not transmit convictions for out-of-State drivers 
to the State where the driver is licensed.
    (4) The State does not properly administer knowledge and/or skills 
tests to CLP or CDL applicants or drivers.
    (5) The State fails to submit a corrective action plan for a 
substantial compliance deficiency or fails to implement a corrective 
action plan within the agreed time frame.
    (c) Standard for considering deficiencies. The deficiencies 
described in paragraph (b) of this section must affect a substantial 
number of either CLP and CDL applicants or drivers.
    (d) Decertification: Preliminary determination. If the Administrator 
finds that a State is in substantial noncompliance with subpart B of 
this part, as indicated by the factors specified in paragraph (b) of 
this section, among other things, the FMCSA will inform the State that 
it has made a preliminary determination of noncompliance and that the 
State's CDL program may therefore be decertified. Any response from the 
State, including factual or legal arguments or a plan to correct the 
noncompliance, must be submitted within 30 calendar days after receipt 
of the preliminary determination.
    (e) Decertification: Final determination. If, after considering all 
material submitted by the State in response to the FMCSA preliminary 
determination, the Administrator decides that substantial noncompliance 
exists, which warrants decertification of the CDL program, he/she will 
issue a decertification order prohibiting the State from issuing CLPs 
and CDLs until such time as the Administrator determines that the 
condition(s) causing the decertification has (have) been corrected.
    (f) Recertification of a State. The Governor of the decertified 
State or his/her designated representative must submit a certification 
and documentation that the condition causing the decertification has 
been corrected. If the FMCSA determines that the condition causing the 
decertification has been satisfactorily corrected, the Administrator 
will issue a recertification order, including any conditions that must 
be met in order to begin issuing CLPs and CDLs in the State.
    (g) State's right to judicial review. Any State aggrieved by an 
adverse decision under this section may seek judicial review under 5 
U.S.C. Chapter 7.
    (h) Validity of previously issued CLPs or CDLs. A CLP or CDL issued 
by a

[[Page 248]]

State prior to the date the State is prohibited from issuing CLPs or 
CDLs in accordance with provisions of paragraph (a) of this section, 
will remain valid until its stated expiration date.

[76 FR 26896, May 9, 2011, as amended at 78 FR 17882, Mar. 25, 2013]



Sec.384.407  Emergency CDL grants.

    The FMCSA may provide grants of up to $1,000,000 per State from 
funds made available under 49 U.S.C. 31107(a), to assist States whose 
CDL programs may fail to meet the compliance requirements of subpart B 
of this part, but which are determined by the FMCSA to be making a good 
faith effort to comply with these requirements.

[67 FR 49764, July 31, 2002]



Sec.384.409  Notification of noncompliance.

    If FMCSA determines that a State is not in substantial compliance 
with Sec.384.209, or if FMCSA issues a decertification order 
prohibiting a State from issuing commercial driver's licenses, FMCSA 
will notify commercial learner's permit and commercial driver's license 
holders of these actions by publication of a Federal Register notice. 
The notification will advise commercial learner's permit and commercial 
driver's license holders that they must comply with the self-reporting 
requirements of Sec.383.31(a) with respect to convictions obtained in 
that State until such time that FMCSA determines the State to be in 
substantial compliance.

[78 FR 24688, Apr. 26, 2013]



PART 385_SAFETY FITNESS PROCEDURES--Table of Contents



                            Subpart A_General

Sec.
385.1 Purpose and scope.
385.3 Definitions and acronyms.
385.4 Matter incorporated by reference.
385.5 Safety fitness standard.
385.7 Factors to be considered in determining a safety rating.
385.9 Determination of a safety rating.
385.11 Notification of safety fitness determination.
385.13 Unsatisfactory rated motor carriers; prohibition on 
          transportation; ineligibility for Federal contracts.
385.14 Motor carriers, brokers, and freight forwarders delinquent in 
          paying civil penalties: prohibition on transportation.
385.15 Administrative review.
385.17 Change to safety rating based upon corrective actions.
385.19 Safety fitness information.

    Subpart B_Safety Monitoring System for Mexico-Domiciled Carriers

385.101 Definitions.
385.103 Safety monitoring system.
385.105 Expedited action.
385.107 The safety audit.
385.109 The compliance review.
385.111 Suspension and revocation of Mexico-domiciled carrier 
          registration.
385.113 Administrative review.
385.115 Reapplying for provisional registration.
385.117 Duration of safety monitoring system.
385.119 Applicability of safety fitness and enforcement procedures.

 Subpart C_Certification of Safety Auditors, Safety Investigators, and 
                            Safety Inspectors

385.201 Who is qualified to perform a review of a motor carrier or an 
          intermodal equipment provider?
385.203 What are the requirements to obtain and maintain certification?
385.205 How can a person who has lost his or her certification be re-
          certified?

             Subpart D_New Entrant Safety Assurance Program

385.301 What is a motor carrier required to do before beginning 
          interstate operations?
385.303 How does a motor carrier register with the FMCSA?
385.305 What happens after the FMCSA receives a request for new entrant 
          registration?
305.306 What are the consequences of furnishing misleading information 
          or making a false statement in connection with the 
          registration process?
385.307 What happens after a motor carrier begins operations as a new 
          entrant?
305.308 What may cause an expedited action?
385.309 What is the purpose of the safety audit?
385.311 What will the safety audit consist of?
385.313 Who will conduct the safety audit?
385.315 Where will the safety audit be conducted?
385.317 Will a safety audit result in a safety fitness determination by 
          the FMCSA?
385.319 What happens after the completion of the safety audit?

[[Page 249]]

385.321 What failures of safety management practices disclosed by the 
          safety audit will result in a notice to a new entrant that its 
          USDOT new entrant registration will be revoked?
385.323 May FMCSA extend the period under Sec.385.319(c) for a new 
          entrant to take corrective action to remedy its safety 
          management practices?
385.325 What happens after a new entrant has been notified under 
          385.319(c) to take corrective action to remedy its safety 
          management practices?
385.327 May a new entrant request an administrative review of a 
          determination of a failed safety audit?
385.329 May a new entrant that has had its USDOT new entrant 
          registration revoked and its operations placed out of service 
          reapply?
385.331 What happens if a new entrant operates a CMV after having been 
          issued an order placing its interstate operations out of 
          service?
385.333 What happens at the end of the 18-month safety monitoring 
          period?
385.335 If the FMCSA conducts a compliance review on a new entrant, will 
          the new entrant also be subject to a safety audit?
385.337 What happens if a new entrant refuses to permit a safety audit 
          to be performed on its operations?

              Subpart E_Hazardous Materials Safety Permits

385.401 What is the purpose and scope of this subpart?
385.402 What definitions are used in this subpart?
385.403 Who must hold a safety permit?
385.405 How does a motor carrier apply for a safety permit?
385.407 What conditions must a motor carrier satisfy for FMCSA to issue 
          a safety permit?
385.409 When may a temporary safety permit be issued to a motor carrier?
385.411 Must a motor carrier obtain a safety permit if it has a State 
          permit?
385.413 What happens if a motor carrier receives a proposed safety 
          rating that is less than Satisfactory?
385.415 What operational requirements apply to the transportation of a 
          hazardous material for which a permit is required?
385.417 Is a motor carrier's safety permit number available to others?
385.419 How long is a safety permit effective?
385.421 Under what circumstances will a safety permit be subject to 
          revocation or suspension by FMCSA?
385.423 Does a motor carrier have a right to an administrative review of 
          a denial, suspension, or revocation of a safety permit?

                Subpart F_Intermodal Equipment Providers

385.501 Roadability review.
385.503 Results of roadability review.

Subpart G [Reserved]

  Subpart H_Special Rules for New Entrant Non-North America-Domiciled 
                                Carriers

385.601 Scope of rules.
385.603 Application.
385.605 New entrant registration driver's license and drug and alcohol 
          testing requirements.
385.607 FMCSA action on the application.
385.609 Requirement to notify FMCSA of change in applicant information.

Appendix to Subpart H of Part 385--Explanation of Pre-Authorization 
          Safety Audit Evaluation Criteria for Non-North America-
          Domiciled Motor Carriers

   Subpart I_Safety Monitoring System for Non-North America-Domiciled 
                                Carriers

385.701 Definitions.
385.703 Safety monitoring system.
385.705 Expedited action.
385.707 The compliance review.
385.709 Suspension and revocation of non-North America-domiciled carrier 
          registration.
385.711 Administrative review.
385.713 Reapplying for new entrant registration.
385.715 Duration of safety monitoring system.
385.717 Applicability of safety fitness and enforcement procedures.

Subpart J [Reserved]

Appendix A to Part 385--Explanation of Safety Audit Evaluation Criteria
Appendix B to Part 385--Explanation of Safety Rating Process

    Authority: 49 U.S.C. 113, 504, 521(b), 5105(e), 5109, 13901-13905, 
31133, 31135, 31136, 31137(a), 31144, 31148, and 31502; Sec. 113(a), 
Pub. L. 103-311; Sec. 408, Pub. L. 104-88; Sec. 350 of Pub. L. 107-87; 
and 49 CFR 1.87.

    Effective Date Note: At 78 FR 52649, Aug. 23, 2013, the authority 
citation for part 385, effective Aug. 23, 2015. For the convenience of 
the user, the revised text is set forth as follows:
    Authority: 49 U.S.C. 113, 504, 521(b), 5105(e), 5109, 5113, 13901-
13905, 13908, 31136, 31144, 31148, 31151, and 31502; Sec. 350 of Pub. L. 
107-87; and 49 CFR 1.87.

[[Page 250]]


    Source: 53 FR 50968, Dec. 19, 1988, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 385 appear at 66 FR 
49872, Oct. 1, 2001.



                            Subpart A_General



Sec.385.1  Purpose and scope.

    (a) This part establishes the FMCSA's procedures to determine the 
safety fitness of motor carriers, to assign safety ratings, to direct 
motor carriers to take remedial action when required, and to prohibit 
motor carriers receiving a safety rating of ``unsatisfactory'' from 
operating a CMV.
    (b) This part establishes the safety assurance program for a new 
entrant motor carrier initially seeking to register with FMCSA to 
conduct interstate operations. It also describes the consequences that 
will occur if the new entrant fails to maintain adequate basic safety 
management controls.
    (c) This part establishes the safety permit program for a motor 
carrier to transport the types and quantities of hazardous materials 
listed in Sec.385.403.
    (d) The provisions of this part apply to all motor carriers subject 
to the requirements of this subchapter, except non-business private 
motor carriers of passengers.
    (e) Subpart F of this part establishes procedures to perform a 
roadability review of intermodal equipment providers to determine their 
compliance with the applicable Federal Motor Carrier Safety Regulations 
(FMCSRs).

[65 FR 50934, Aug. 22, 2000, as amended at 67 FR 31982, May 13, 2002; 69 
FR 39366, June 30, 2004; 73 FR 76818, Dec. 17, 2008; 75 FR 17240, Apr. 
5, 2010; 77 FR 28450, May 14, 2012]



Sec.385.3  Definitions and acronyms.

    Applicable safety regulations or requirements means 49 CFR chapter 
III, subchapter B--Federal Motor Carrier Safety Regulations or, if the 
carrier is an intrastate motor carrier subject to the hazardous 
materials safety permit requirements in subpart E of this part, the 
equivalent State standards; and 49 CFR chapter I, subchapter C--
Hazardous Materials Regulations.
    CMV means a commercial motor vehicle as defined in Sec.390.5 of 
this subchapter.
    Commercial motor vehicle shall have the same meaning as described in 
Sec.390.5 of this subchapter, except that this definition will also 
apply to intrastate motor vehicles subject to the hazardous materials 
safety permit requirements of subpart E of this part.
    FMCSA means the Federal Motor Carrier Safety Administration.
    FMCSRs mean Federal Motor Carrier Safety Regulations (49 CFR parts 
350-399).
    HMRs means the Hazardous Materials Regulations (49 CFR parts 100-
178).
    Motor carrier operations in commerce means commercial motor vehicle 
transportation operations either--
    (1) In interstate commerce, or
    (2) Affecting interstate commerce.
    New entrant is a motor carrier not domiciled in Mexico that applies 
for a United States Department of Transportation (DOT) identification 
number in order to initiate operations in interstate commerce.
    New entrant registration is the registration (US DOT number) granted 
a new entrant before it can begin interstate operations in an 18-month 
monitoring period. A safety audit must be performed on a new entrant's 
operations within 12 months after receipt of its US DOT number for motor 
carriers of property and 120 days for motor carriers of passengers, and 
it must be found to have adequate basic safety management controls to 
continue operating in interstate commerce at the end of the 18-month 
period.
    PHMSA means Pipeline and Hazardous Materials Safety Administration.
    Preventable accident on the part of a motor carrier means an 
accident (1) that involved a commercial motor vehicle, and (2) that 
could have been averted but for an act, or failure to act, by the motor 
carrier or the driver.
    Reviews. For the purposes of this part:
    (1) Compliance review means an on-site examination of motor carrier 
operations, such as drivers' hours of service, maintenance and 
inspection, driver qualification, commercial drivers license 
requirements, financial responsibility, accidents, hazardous materials, 
and other safety and transportation

[[Page 251]]

records to determine whether a motor carrier meets the safety fitness 
standard. A compliance review may be conducted in response to a request 
to change a safety rating, to investigate potential violations of safety 
regulations by motor carriers, or to investigate complaints or other 
evidence of safety violations. The compliance review may result in the 
initiation of an enforcement action.
    (2) Safety audit means an examination of a motor carrier's 
operations to provide educational and technical assistance on safety and 
the operational requirements of the FMCSRs and applicable HMRs and to 
gather critical safety data needed to make an assessment of the 
carrier's safety performance and basic safety management controls. 
Safety audits do not result in safety ratings.
    (3) Safety management controls means the systems, policies programs, 
practices, and procedures used by a motor carrier to ensure compliance 
with applicable safety and hazardous materials regulations which ensure 
the safe movement of products and passengers through the transportation 
system, and to reduce the risk of highway accidents and hazardous 
materials incidents resulting in fatalities, injuries, and property 
damage.
    (4) Roadability review means an on-site examination of the 
intermodal equipment provider's compliance with the applicable FMCSRs.
    Safety ratings. (1) Satisfactory safety rating means that a motor 
carrier has in place and functioning adequate safety management controls 
to meet the safety fitness standard prescribed in Sec.385.5. Safety 
management controls are adequate if they are appropriate for the size 
and type of operation of the particular motor carrier.
    (2) Conditional safety rating means a motor carrier does not have 
adequate safety management controls in place to ensure compliance with 
the safety fitness standard that could result in occurrences listed in 
Sec.385.5 (a) through (k).
    (3) Unsatisfactory safety rating means a motor carrier does not have 
adequate safety management controls in place to ensure compliance with 
the safety fitness standard which has resulted in occurrences listed in 
Sec.385.5 (a) through (k).
    (4) Unrated carrier means that a safety rating has not been assigned 
to the motor carrier by the FMCSA.

[53 FR 50968, Dec. 19, 1988, as amended at 56 FR 40805, Aug. 16, 1991; 
62 FR 60042, Nov. 6, 1997; 67 FR 12779, Mar. 19, 2002; 67 FR 31983, May 
13, 2002; 69 FR 39367, June 30, 2004; 72 FR 36788, July 5, 2007; 73 FR 
76818, Dec. 17, 2008; 75 FR 17240, Apr. 5, 2010; 77 FR 28450, May 14, 
2012; 78 FR 58481, Sept. 24, 2013; 78 FR 60232, Oct. 1, 2013]



Sec.385.4  Matter incorporated by reference.

    (a) Incorporation by reference. Certain material is incorporated by 
reference into this part with the approval of the Director of the 
Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any 
edition other than that specified in this section, FMCSA must publish 
notice of change in the Federal Register and the material must be 
available to the public. All approved material is available for 
inspection at Federal Motor Carrier Safety Administration, Office of 
Enforcement and Compliance (MC-EC), 1200 New Jersey Ave. SE., 
Washington, DC 20590-0001; Attention: Chief, Compliance Division at 202-
366-1812, and is available from the sources listed below. It is also 
available for inspection at the National Archives and Records 
Administration (NARA). For information on the availability of this 
material at NARA, call 202-741-6030 or go to http://www.archives.gov/
federal--register/code--of--federal--regulations/ibr--locations.html.
    (b) Commercial Vehicle Safety Alliance, 6303 Ivy Lane, Suite 310, 
Greenbelt, Maryland 20770-6319. Phone number (301) 830-6143.
    (1) ``North American Standard Out-of-Service Criteria and Level VI 
Inspection Procedures and Out-of-Service Criteria for Commercial Highway 
Vehicles Transporting Transuranics and Highway Route Controlled 
Quantities of Radioactive Materials as defined in 49 CFR Part 173.403,'' 
April 1, 2013; incorporation by reference approved for Sec.385.415(b).

[[Page 252]]

    (2) [Reserved]

[77 FR 59825, Oct. 1, 2012, as amended at 78 FR 56620, Sept. 13, 2013; 
78 FR 58481, Sept. 24, 2013]



Sec.385.5  Safety fitness standard.

    The satisfactory safety rating is based on the degree of compliance 
with the safety fitness standard for motor carriers. For intrastate 
motor carriers subject to the hazardous materials safety permit 
requirements of subpart E of this part, the motor carrier must meet the 
equivalent State requirements. To meet the safety fitness standard, the 
motor carrier must demonstrate it has adequate safety management 
controls in place, which function effectively to ensure acceptable 
compliance with applicable safety requirements to reduce the risk 
associated with:
    (a) Commercial driver's license standard violations (part 383 of 
this chapter),
    (b) Inadequate levels of financial responsibility (part 387 of this 
chapter),
    (c) The use of unqualified drivers (part 391 of this chapter),
    (d) Improper use and driving of motor vehicles (part 392 of this 
chapter),
    (e) Unsafe vehicles operating on the highways (part 393 of this 
chapter),
    (f) Failure to maintain accident registers and copies of accident 
reports (part 390 of this chapter),
    (g) The use of fatigued drivers (part 395 of this chapter),
    (h) Inadequate inspection, repair, and maintenance of vehicles (part 
396 of this chapter),
    (i) Transportation of hazardous materials, driving and parking rule 
violations (part 397 of this chapter),
    (j) Violation of hazardous materials regulations (parts 170-177 of 
this title), and
    (k) Motor vehicle accidents and hazardous materials incidents.

[77 FR 28454, May 14, 2012]



Sec.385.7  Factors to be considered in determining a safety rating.

    The factors to be considered in determining the safety fitness and 
assigning a safety rating include information from safety reviews, 
compliance reviews and any other data. The factors may include all or 
some of the following:
    (a) Adequacy of safety management controls. The adequacy of controls 
may be questioned if their degree of formalization, automation, etc., is 
found to be substantially below the norm for similar carriers. 
Violations, accidents or incidents substantially above the norm for 
similar carriers will be strong evidence that management controls are 
either inadequate or not functioning properly.
    (b) Frequency and severity of regulatory violations.
    (c) Frequency and severity of driver/vehicle regulatory violations 
identified during roadside inspections of motor carrier operations in 
commerce and, if the motor carrier operates in the United States, of 
operations in Canada and Mexico.
    (d) Number and frequency of out-of-service driver/vehicle violations 
of motor carrier operations in commerce and, if the motor carrier 
operates in the United States, of operations in Canada and Mexico.
    (e) Increase or decrease in similar types of regulatory violations 
discovered during safety or compliance reviews.
    (f) For motor carrier operations in commerce and (if the motor 
carrier operates in the United States) in Canada and Mexico: Frequency 
of accidents; hazardous materials incidents; accident rate per million 
miles; indicators of preventable accidents; and whether such accidents, 
hazardous materials incidents, and preventable accident indicators have 
increased or declined over time.
    (g) Number and severity of violations of CMV and motor carrier 
safety rules, regulations, standards, and orders that are both issued by 
a State, Canada, or Mexico and compatible with Federal rules, 
regulations, standards, and orders.

[53 FR 50968, Dec. 19, 1988, as amended at 58 FR 33776, June 21, 1993; 
72 FR 36788, July 5, 2007]



Sec.385.9  Determination of a safety rating.

    (a) Following a compliance review of a motor carrier operation, the 
FMCSA, using the factors prescribed in Sec.385.7 as

[[Page 253]]

computed under the Safety Fitness Rating Methodology set forth in 
appendix B of this part, shall determine whether the present operations 
of the motor carrier are consistent with the safety fitness standard set 
forth in Sec.385.5, and assign a safety rating accordingly.
    (b) Unless otherwise specifically provided in this part, a safety 
rating will be issued to a motor carrier within 30 days following the 
completion of a compliance review.

[62 FR 60042, Nov. 6, 1997, as amended at 75 FR 17241, Apr. 5, 2010; 77 
FR 28450, May 14, 2012]



Sec.385.11  Notification of safety fitness determination.

    (a) The FMCSA will provide a motor carrier written notice of any 
safety rating resulting from a compliance review as soon as practicable, 
but not later than 30 days after the review. The notice will take the 
form of a letter issued from the FMCSA's headquarters office and will 
include a list of FMCSR and HMR compliance deficiencies which the motor 
carrier must correct.
    (b) If the safety rating is ``satisfactory'' or improves a previous 
``unsatisfactory'' safety rating, it is final and becomes effective on 
the date of the notice.
    (c) In all other cases, a notice of a proposed safety rating will be 
issued. It becomes the final safety rating after the following time 
periods:
    (1) For motor carriers transporting hazardous materials in 
quantities requiring placarding or transporting passengers by CMV--45 
days after the date of the notice.
    (2) For all other motor carriers operating CMVs--60 days after the 
date of the notice.
    (d) A proposed safety rating of ``unsatisfactory'' is a notice to 
the motor carrier that the FMCSA has made a preliminary determination 
that the motor carrier is ``unfit'' to continue operating in interstate 
commerce, and that the prohibitions in Sec.385.13 will be imposed 
after 45 or 60 days if necessary safety improvements are not made.
    (e) A motor carrier may request the FMCSA to perform an 
administrative review of a proposed or final safety rating. The process 
and the time limits are described in Sec.385.15.
    (f) A motor carrier may request a change to a proposed or final 
safety rating based upon its corrective actions. The process and the 
time limits are described in Sec.385.17.

[65 FR 50934, Aug. 22, 2000, as amended at 75 FR 17241, Apr. 5, 2010; 77 
FR 28450, May 14, 2012]



Sec.385.13  Unsatisfactory rated motor carriers; prohibition on
transportation; ineligibility for Federal contracts.

    (a) Generally, a motor carrier rated ``unsatisfactory'' is 
prohibited from operating a CMV. Information on motor carriers, 
including their most current safety rating, is available from the FMCSA 
on the Internet at http://www.safersys.org, or by telephone at (800) 
832-5660.
    (1) Motor carriers transporting hazardous materials in quantities 
requiring placarding, and motor carriers transporting passengers in a 
CMV, are prohibited from operating a CMV in motor carrier operations in 
commerce beginning on the 46th day after the date of the FMCSA notice of 
proposed ``unsatisfactory'' rating.
    (2) All other motor carriers rated as a result of reviews completed 
on or after November 20, 2000, are prohibited from operating a CMV in 
motor carrier operations in commerce beginning on the 61st day after the 
date of the FMCSA notice of proposed ``unsatisfactory'' rating. If FMCSA 
determines that the motor carrier is making a good-faith effort to 
improve its safety fitness, FMCSA may allow the motor carrier to operate 
for up to 60 additional days.
    (b) A Federal agency must not use a motor carrier that holds an 
``unsatisfactory'' rating to transport passengers in a CMV or to 
transport hazardous materials in quantities requiring placarding.
    (c) A Federal agency must not use a motor carrier for other CMV 
transportation if that carrier holds an ``unsatisfactory'' rating which 
became effective on or after January 22, 2001.
    (d) Penalties. (1) If a proposed ``unsatisfactory'' safety rating 
becomes final, FMCSA will issue an order placing out

[[Page 254]]

of service the motor carrier's operations in commerce. The out-of-
service order shall apply both to the motor carrier's operations in 
interstate commerce and to its operations affecting interstate commerce.
    (2) If a motor carrier's intrastate operations are declared out of 
service by a State, FMCSA must issue an order placing out of service the 
carrier's operations in interstate commerce. The following conditions 
apply:
    (i) The State that issued the intrastate out-of-service order 
participates in the Motor Carrier Safety Assistance Program and uses the 
FMCSA safety rating methodology provided in this part; and
    (ii) The motor carrier has its principal place of business in the 
State that issued the out-of-service order.
    (iii) The order prohibiting the motor carrier from operating a CMV 
in interstate commerce shall remain in effect until the State determines 
that the carrier is fit.
    (3) Any motor carrier that operates CMVs in violation of this 
section is subject to the penalty provisions of 49 U.S.C. 521(b) and 
appendix B to part 386 of the FMCSRs.
    (e) Revocation of operating authority. If a proposed 
``unsatisfactory'' safety rating or a proposed determination of 
unfitness becomes final, FMCSA will, following notice, issue an order 
revoking the operating authority of the owner or operator. For purposes 
of this section, the term ``operating authority'' means the registration 
required under 49 U.S.C. 13902 and Sec.392.9a of this subchapter. Any 
motor carrier that operates CMVs after revocation of its operating 
authority will be subject to the penalty provisions listed in 49 U.S.C. 
14901.

[65 FR 50934, Aug. 22, 2000, as amended at 72 FR 36788, July 5, 2007; 72 
FR 55700, Oct. 1, 2007; 75 FR 17241, Apr. 5, 2010; 77 FR 28450, 28454, 
May 14, 2012]



Sec.385.14  Motor carriers, brokers, and freight forwarders delinquent
in paying civil penalties: prohibition on transportation.

    (a) A CMV owner or operator that has failed to pay civil penalties 
imposed by the FMCSA, or has failed to abide by a payment plan, may be 
prohibited from operating CMVs in interstate commerce under 49 CFR 
386.83.
    (b) A broker, freight forwarder, or for-hire motor carrier that has 
failed to pay civil penalties imposed by the FMCSA, or has failed to 
abide by a payment plan, may be prohibited from operating in interstate 
commerce, and its registration may be suspended under the provisions of 
49 CFR 386.84.

[65 FR 78427, Dec. 15, 2000]



Sec.385.15  Administrative review.

    (a) A motor carrier may request FMCSA to conduct an administrative 
review if it believes FMCSA has committed an error in assigning its 
proposed or final safety rating in accordance with Sec.385.11.
    (b) The motor carrier's request must explain the error it believes 
the FMCSA committed in issuing the safety rating. The motor carrier must 
include a list of all factual and procedural issues in dispute, and any 
information or documents that support its argument.
    (c) The motor carrier must submit its request in writing to the 
Chief Safety Officer, Federal Motor Carrier Safety Administration, 1200 
New Jersey Ave., SE., Washington, DC 20590-0001.
    (1) If a motor carrier has received a notice of a proposed 
``unsatisfactory'' safety rating, it should submit its request within 15 
days from the date of the notice. This time frame will allow the FMCSA 
to issue a written decision before the prohibitions outlined in Sec.
385.13 (a)(1) and (2) take effect. Failure to petition within this 15-
day period may prevent the FMCSA from issuing a final decision before 
such prohibitions take effect.
    (2) A motor carrier must make a request for an administrative review 
within 90 days of the date of the proposed safety rating issued under 
Sec.385.11 (c) or a final safety rating issued under Sec.385.11 (b), 
or within 90 days after denial of a request for a change in rating under 
Sec.385.17(i).
    (d) The FMCSA may ask the motor carrier to submit additional data 
and attend a conference to discuss the safety rating. If the motor 
carrier does not provide the information requested, or does not attend 
the conference, the

[[Page 255]]

FMCSA may dismiss its request for review.
    (e) The FMCSA will notify the motor carrier in writing of its 
decision following the administrative review. The FMCSA will complete 
its review:
    (1) Within 30 days after receiving a request from a hazardous 
materials or passenger motor carrier that has received a proposed or 
final ``unsatisfactory'' safety rating.
    (2) Within 45 days after receiving a request from any other motor 
carrier that has received a proposed or final ``unsatisfactory'' safety 
rating.
    (f) The decision constitutes final agency action.
    (g) Any motor carrier may request a rating change under the 
provisions of Sec.385.17.

[65 FR 50935, Aug. 22, 2000, as amended at 72 FR 55701, Oct. 1, 2007; 75 
FR 17241, Apr. 5, 2010; 77 FR 28450, 28454, May 14, 2012]



Sec.385.17  Change to safety rating based upon corrective actions.

    (a) A motor carrier that has taken action to correct the 
deficiencies that resulted in a proposed or final rating of 
``conditional'' or ``unsatisfactory'' may request a rating change at any 
time.
    (b) A motor carrier must make this request in writing to the FMCSA 
Service Center for the geographic area where the carrier maintains its 
principal place of business. The addresses and geographical boundaries 
of the Service Centers are listed in Sec.390.27 of this chapter.
    (c) The motor carrier must base its request upon evidence that it 
has taken corrective actions and that its operations currently meet the 
safety standard and factors specified in Sec. Sec.385.5 and 385.7. The 
request must include a written description of corrective actions taken, 
and other documentation the carrier wishes the FMCSA to consider.
    (d) The FMCSA will make a final determination on the request for 
change based upon the documentation the motor carrier submits, and any 
additional relevant information.
    (e) The FMCSA will perform reviews of requests made by motor 
carriers with a proposed or final ``unsatisfactory'' safety rating in 
the following time periods after the motor carrier's request:
    (1) Within 30 days for motor carriers transporting passengers in 
CMVs or placardable quantities of hazardous materials.
    (2) Within 45 days for all other motor carriers.
    (f) The filing of a request for change to a proposed or final safety 
rating under this section does not stay the 45-day period specified in 
Sec.385.13(a)(1) for motor carriers transporting passengers or 
hazardous materials in quantities requiring placarding.
    (g) FMCSA may allow a motor carrier (except a motor carrier 
transporting passengers or a motor carrier transporting hazardous 
materials in quantities requiring placarding) with a proposed rating of 
``unsatisfactory'' to continue its motor carrier operations in commerce 
for up to 60 days beyond the 60 days specified in the proposed rating, 
if FMCSA determines that the motor carrier is making a good faith effort 
to improve its safety status. This additional period would begin on the 
61st day after the date of the notice of proposed ``unsatisfactory'' 
rating.
    (h) If the FMCSA determines that the motor carrier has taken the 
corrective actions required and that its operations currently meet the 
safety standard and factors specified in Sec. Sec.385.5 and 385.7, the 
agency will notify the motor carrier in writing of its upgraded safety 
rating.
    (i) If the FMCSA determines that the motor carrier has not taken all 
the corrective actions required, or that its operations still fail to 
meet the safety standard and factors specified in Sec. Sec.385.5 and 
385.7, the agency will notify the motor carrier in writing.
    (j) Any motor carrier whose request for change is denied in 
accordance with paragraph (i) of this section may request administrative 
review under the procedures of Sec.385.15. The motor carrier must make 
the request within 90 days of the denial of the request for a rating 
change. If the proposed rating

[[Page 256]]

has become final, it shall remain in effect during the period of any 
administrative review.

[65 FR 50935, Aug. 22, 2000, as amended at 72 FR 36788, July 5, 2007; 75 
FR 17241, Apr. 5, 2010; 77 FR 28450, May 14, 2012; 77 FR 64762, Oct. 23, 
2012]



Sec.385.19  Safety fitness information.

    (a) Final ratings will be made available to other Federal and State 
agencies in writing, telephonically or by remote computer access.
    (b) The final safety rating assigned to a motor carrier will be made 
available to the public upon request. Any person requesting the assigned 
rating of a motor carrier shall provide the FMCSA with the motor 
carrier's name, principal office address, and, if known, the USDOT 
number or the docket number, if any.
    (c) Requests should be addressed to the Federal Motor Carrier Safety 
Administration, Office of Information Technology (MC-RI), 1200 New 
Jersey Ave., SE., Washington, DC 20590-0001. The information can also be 
found at the SAFER website: http://www.safersys.org.
    (d) Oral requests by telephone to (800) 832-5660 will be given an 
oral response.

[62 FR 60043, Nov. 6, 1997, as amended at 66 FR 49872, Oct. 1, 2001; 72 
FR 55701, Oct. 1, 2007; 75 FR 17241, Apr. 5, 2010; 77 FR 28450, May 14, 
2012; 77 FR 59826, Oct. 1, 2012]



    Subpart B_Safety Monitoring System for Mexico-Domiciled Carriers

    Source: 67 FR 12771, Mar. 19, 2002, unless otherwise noted.



Sec.385.101  Definitions

    Compliance review means a compliance review as defined in Sec.
385.3 of this part.
    Provisional certificate of registration means the registration under 
Sec.368.6 of this subchapter that the FMCSA grants to a Mexico-
domiciled motor carrier to provide interstate transportation of property 
within the United States solely within the municipalities along the 
United States-Mexico border and the commercial zones of such 
municipalities. It is provisional because it will be revoked if the 
registrant does not demonstrate that it is exercising basic safety 
management controls during the safety monitoring period established in 
this subpart.
    Provisional operating authority means the registration under Sec.
365.507 of this subchapter that the FMCSA grants to a Mexico-domiciled 
motor carrier to provide interstate transportation within the United 
States beyond the municipalities along the United States-Mexico border 
and the commercial zones of such municipalities. It is provisional 
because it will be revoked if the registrant is not assigned a 
Satisfactory safety rating following a compliance review conducted 
during the safety monitoring period established in this subpart.
    Safety audit means an examination of a motor carrier's operations to 
provide educational and technical assistance on safety and the 
operational requirements of the FMCSRs and applicable HMRs and to gather 
critical safety data needed to make an assessment of the carrier's 
safety performance and basic safety management controls. Safety audits 
do not result in safety ratings.



Sec.385.103  Safety monitoring system.

    (a) General. Each Mexico-domiciled carrier operating in the United 
States will be subject to an oversight program to monitor its compliance 
with applicable Federal Motor Carrier Safety Regulations (FMCSRs), 
Federal Motor Vehicle Safety Standards (FMVSSs), and Hazardous Materials 
Regulations (HMRs).
    (b) Roadside monitoring. Each Mexico-domiciled carrier that receives 
provisional operating authority or a provisional Certificate of 
Registration will be subject to intensified monitoring through frequent 
roadside inspections.
    (c) CVSA decal. Each Mexico-domiciled carrier granted provisional 
operating authority under part 365 of this subchapter must have on every 
commercial motor vehicle it operates in the United States a current 
decal attesting to a satisfactory inspection by a Commercial Vehicle 
Safety Alliance (CVSA) inspector.

[[Page 257]]

    (d) Safety audit. The FMCSA will conduct a safety audit on a Mexico-
domiciled carrier within 18 months after the FMCSA issues the carrier a 
provisional Certificate of Registration under part 368 of this 
subchapter.
    (e) Compliance review. The FMCSA will conduct a compliance review on 
a Mexico-domiciled carrier within 18 months after the FMCSA issues the 
carrier provisional operating authority under part 365 of this 
subchapter.



Sec.385.105  Expedited action.

    (a) A Mexico-domiciled motor carrier committing any of the following 
violations identified through roadside inspections, or by any other 
means, may be subjected to an expedited safety audit or compliance 
review, or may be required to submit a written response demonstrating 
corrective action:
    (1) Using drivers not possessing, or operating without, a valid 
Licencia Federal de Conductor. An invalid Licencia Federal de Conductor 
includes one that is falsified, revoked, expired, or missing a required 
endorsement.
    (2) Operating vehicles that have been placed out of service for 
violations of the Commercial Vehicle Safety Alliance (CVSA) North 
American Standard Out-of-Service Criteria, without making the required 
repairs.
    (3) Involvement in, due to carrier act or omission, a hazardous 
materials incident within the United States involving:
    (i) A highway route controlled quantity of a Class 7 (radioactive) 
material as defined in Sec.173.403 of this title;
    (ii) Any quantity of a Class 1, Division 1.1, 1.2, or 1.3 explosive 
as defined in Sec.173.50 of this title; or
    (iii) Any quantity of a poison inhalation hazard Zone A or B 
material as defined in Sec.173.115, Sec.173.132, or Sec.173.133 of 
this title.
    (4) Involvement in, due to carrier act or omission, two or more 
hazardous material incidents occurring within the United States and 
involving any hazardous material not listed in paragraph (a)(3) of this 
section and defined in chapter I of this title.
    (5) Using a driver who tests positive for controlled substances or 
alcohol or who refuses to submit to required controlled substances or 
alcohol tests.
    (6) Operating within the United States a motor vehicle that is not 
insured as required by part 387 of this chapter.
    (7) Having a driver or vehicle out-of-service rate of 50 percent or 
more based upon at least three inspections occurring within a 
consecutive 90-day period.
    (b) Failure to respond to an agency demand for a written response 
demonstrating corrective action within 30 days will result in the 
suspension of the carrier's provisional operating authority or 
provisional Certificate of Registration until the required showing of 
corrective action is submitted to the FMCSA.
    (c) A satisfactory response to a written demand for corrective 
action does not excuse a carrier from the requirement that it undergo a 
safety audit or compliance review, as appropriate, during the 
provisional registration period.



Sec.385.107  The safety audit.

    (a) The criteria used in a safety audit to determine whether a 
Mexico-domiciled carrier exercises the necessary basic safety management 
controls are specified in appendix A to this part.
    (b) If the FMCSA determines, based on the safety audit, that the 
Mexico-domiciled carrier has adequate basic safety management controls, 
the FMCSA will provide the carrier written notice of this finding as 
soon as practicable, but not later than 45 days after the completion of 
the safety audit. The carrier's Certificate of Registration will remain 
provisional and the carrier's on-highway performance will continue to be 
closely monitored for the remainder of the 18-month provisional 
registration period.
    (c) If the FMCSA determines, based on the safety audit, that the 
Mexico-domiciled carrier's basic safety management controls are 
inadequate, it will initiate a suspension and revocation proceeding in 
accordance with Sec.385.111 of this subpart.
    (d) The safety audit is also used to assess the basic safety 
management controls of Mexico-domiciled applicants for provisional 
operating authority to operate beyond United States municipalities and 
commercial zones

[[Page 258]]

on the United States-Mexico border under Sec.365.507 of this 
subchapter.



Sec.385.109  The compliance review.

    (a) The criteria used in a compliance review to determine whether a 
Mexico-domiciled carrier granted provisional operating authority under 
Sec.365.507 of this subchapter exercises the necessary basic safety 
management controls are specified in Appendix B to this part.
    (b) Satisfactory rating. If the FMCSA assigns a Mexico-domiciled 
carrier a Satisfactory rating following a compliance review conducted 
under this subpart, the FMCSA will provide the carrier written notice as 
soon as practicable, but not later than 45 days after the completion of 
the compliance review. The carrier's operating authority will remain in 
provisional status and its on-highway performance will continue to be 
closely monitored for the remainder of the 18-month provisional 
registration period.
    (c) Conditional rating. If the FMCSA assigns a Mexico-domiciled 
carrier a Conditional rating following a compliance review conducted 
under this subpart, it will initiate a revocation proceeding in 
accordance with Sec.385.111 of this subpart. The carrier's provisional 
operating authority will not be suspended prior to the conclusion of the 
revocation proceeding.
    (d) Unsatisfactory rating. If the FMCSA assigns a Mexico-domiciled 
carrier an Unsatisfactory rating following a compliance review conducted 
under this subpart, it will initiate a suspension and revocation 
proceeding in accordance with Sec.385.111 of this subpart.



Sec.385.111  Suspension and revocation of Mexico-domiciled carrier
registration.

    (a) If a carrier is assigned an ``Unsatisfactory'' safety rating 
following a compliance review conducted under this subpart, or a safety 
audit conducted under this subpart determines that a carrier does not 
exercise the basic safety management controls necessary to ensure safe 
operations, the FMCSA will provide the carrier written notice, as soon 
as practicable, that its registration will be suspended effective 15 
days from the service date of the notice unless the carrier 
demonstrates, within 10 days of the service date of the notice, that the 
compliance review or safety audit contains material error.
    (b) For purposes of this section, material error is a mistake or 
series of mistakes that resulted in an erroneous safety rating or an 
erroneous determination that the carrier does not exercise the necessary 
basic safety management controls.
    (c) If the carrier demonstrates that the compliance review or safety 
audit contained material error, its registration will not be suspended. 
If the carrier fails to show a material error in the safety audit, the 
FMCSA will issue an Order:
    (1) Suspending the carrier's provisional operating authority or 
provisional Certificate of Registration and requiring it to immediately 
cease all further operations in the United States; and
    (2) Notifying the carrier that its provisional operating authority 
or provisional Certificate of Registration will be revoked unless it 
presents evidence of necessary corrective action within 30 days from the 
service date of the Order.
    (d) If a carrier is assigned a ``Conditional'' rating following a 
compliance review conducted under this subpart, the provisions of 
subparagraphs (a) through (c) of this section will apply, except that 
its provisional registration will not be suspended under paragraph 
(c)(1) of this section.
    (e) If a carrier subject to this subpart fails to provide the 
necessary documents for a safety audit or compliance review upon 
reasonable request, or fails to submit evidence of the necessary 
corrective action as required by Sec.385.105 of this subpart, the 
FMCSA will provide the carrier with written notice, as soon as 
practicable, that its registration will be suspended 15 days from the 
service date of the notice unless it provides all necessary documents or 
information. This suspension will remain in effect until the necessary 
documents or information are produced and:
    (1) A safety audit determines that the carrier exercises basic 
safety management controls necessary for safe operations;

[[Page 259]]

    (2) The carrier is rated Satisfactory or Conditional after a 
compliance review; or
    (3) The FMCSA determines, following review of the carrier's response 
to a demand for corrective action under Sec.385.105, that the carrier 
has taken the necessary corrective action.
    (f) If a carrier commits any of the violations specified in Sec.
385.105(a) of this subpart after the removal of a suspension issued 
under this section, the suspension will be automatically reinstated. The 
FMCSA will issue an Order requiring the carrier to cease further 
operations in the United States and demonstrate, within 15 days from the 
service date of the Order, that it did not commit the alleged 
violation(s). If the carrier fails to demonstrate that it did not commit 
the violation(s), the FMCSA will issue an Order revoking its provisional 
operating authority or provisional Certificate of Registration.
    (g) If the FMCSA receives credible evidence that a carrier has 
operated in violation of a suspension order issued under this section, 
it will issue an Order requiring the carrier to show cause, within 10 
days of the service date of the Order, why its provisional operating 
authority or provisional Certificate of Registration should not be 
revoked. If the carrier fails to make the necessary showing, the FMCSA 
will revoke its registration.
    (h) If a Mexico-domiciled motor carrier operates a commercial motor 
vehicle in violation of a suspension or out-of-service order, it is 
subject to the penalty provisions in 49 U.S.C. 521(b)(2)(A), not to 
exceed $10,000 for each offense.
    (i) Notwithstanding any provision of this subpart, a carrier subject 
to this subpart is also subject to the suspension and revocation 
provisions of 49 U.S.C. 13905 for repeated violations of DOT regulations 
governing its motor carrier operations.



Sec.385.113  Administrative review.

    (a) A Mexico-domiciled motor carrier may request the FMCSA to 
conduct an administrative review if it believes the FMCSA has committed 
an error in assigning a safety rating or suspending or revoking the 
carrier's provisional operating authority or provisional Certificate of 
Registration under this subpart.
    (b) The carrier must submit its request in writing, in English, to 
the Associate Administrator for Enforcement and Program Delivery (MC-E), 
Federal Motor Carrier Safety Administration, 1200 New Jersey Ave., SE., 
Washington, DC 20590-0001.
    (c) The carrier's request must explain the error it believes the 
FMCSA committed in assigning the safety rating or suspending or revoking 
the carrier's provisional operating authority or provisional Certificate 
of Registration and include any information or documents that support 
its argument.
    (d) The FMCSA will complete its administrative review no later than 
10 days after the carrier submits its request for review. The Associate 
Administrator's decision will constitute the final agency action.

[67 FR 12771, Mar. 19, 2002, as amended at 72 FR 55701, Oct. 1, 2007]



Sec.385.115  Reapplying for provisional registration.

    (a) A Mexico-domiciled motor carrier whose provisional operating 
authority or provisional Certificate of Registration has been revoked 
may reapply under part 365 or 368 of this subchapter, as appropriate, no 
sooner than 30 days after the date of revocation.
    (b) The Mexico-domiciled motor carrier will be required to initiate 
the application process from the beginning. The carrier will be required 
to demonstrate how it has corrected the deficiencies that resulted in 
revocation of its registration and how it will ensure that it will have 
adequate basic safety management controls. It will also have to undergo 
a pre-authorization safety audit if it applies for provisional operating 
authority under part 365 of this subchapter.



Sec.385.117  Duration of safety monitoring system.

    (a) Each Mexico-domiciled carrier subject to this subpart will 
remain in the safety monitoring system for at least 18 months from the 
date FMCSA issues its provisional Certificate of Registration or 
provisional operating authority, except as provided in paragraphs (c) 
and (d) of this section.

[[Page 260]]

    (b) If, at the end of this 18-month period, the carrier's most 
recent safety audit or safety rating was Satisfactory and no additional 
enforcement or safety improvement actions are pending under this 
subpart, the Mexico-domiciled carrier's provisional operating authority 
or provisional Certificate of Registration will become permanent.
    (c) If, at the end of this 18-month period, the FMCSA has not been 
able to conduct a safety audit or compliance review, the carrier will 
remain in the safety monitoring system until a safety audit or 
compliance review is conducted. If the results of the safety audit or 
compliance review are satisfactory, the carrier's provisional operating 
authority or provisional Certificate of Registration will become 
permanent.
    (d) If, at the end of this 18-month period, the carrier's 
provisional operating authority or provisional Certificate of 
Registration is suspended under Sec.385.111(a) of this subpart, the 
carrier will remain in the safety monitoring system until the FMCSA 
either:
    (1) Determines that the carrier has taken corrective action; or
    (2) Completes measures to revoke the carrier's provisional operating 
authority or provisional Certificate of Registration under Sec.
385.111(c) of this subpart.



Sec.385.119  Applicability of safety fitness and enforcement procedures.

    At all times during which a Mexico-domiciled motor carrier is 
subject to the safety monitoring system in this subpart, it is also 
subject to the general safety fitness procedures established in subpart 
A of this part and to compliance and enforcement procedures applicable 
to all carriers regulated by the FMCSA.



 Subpart C_Certification of Safety Auditors, Safety Investigators, and 
                            Safety Inspectors

    Source: 67 FR 12779, Mar. 19, 2002, unless otherwise noted.



Sec.385.201  Who is qualified to perform a review of a motor carrier
or an intermodal equipment provider?

    (a) An FMCSA employee, or a State or local government employee 
funded through the Motor Carrier Safety Assistance Program (MCSAP), who 
was qualified to perform a compliance review before June 17, 2002, may 
perform a compliance review, safety audit, roadability review, or 
roadside inspection if he or she complies with Sec.385.203(b).
    (b) A person who was not qualified to perform a compliance review 
before June 17, 2002, may perform a compliance review, safety audit, 
roadability review, or roadside inspection after complying with the 
requirements of Sec.385.203(a).

[73 FR 76818, Dec. 17, 2008]



Sec.385.203  What are the requirements to obtain and maintain certification?

    (a) After June 17, 2002, a person who is not qualified under Sec.
385.201(a) may not perform a compliance review, safety audit, 
roadability review, or roadside inspection unless he or she has been 
certified by FMCSA or a State or local agency applying the FMCSA 
standards after successfully completing classroom training and 
examinations on the FMCSRs and HMRs as described in detail on the FMCSA 
website (www.fmcsa.dot.gov). These employees must also comply with the 
maintenance of certification/qualification requirements of paragraph (b) 
of this section.
    (b) Maintenance of certification/qualification. A person may not 
perform a compliance review, safety audit, roadability review, or 
roadside inspection unless he or she meets the quality-control and 
periodic re-training requirements adopted by the FMCSA to ensure the 
maintenance of high standards and familiarity with amendments to the 
FMCSRs and HMRs. These maintenance of certification/qualification 
requirements are described in detail on the FMCSA website 
(www.fmcsa.dot.gov).
    (c) The requirements of paragraphs (a) and (b) of this section for 
training, performance and maintenance of certification/qualification, 
which are described on the FMCSA website

[[Page 261]]

(www.fmcsa.dot.gov), are also available in hard copy from the Federal 
Motor Carrier Safety Administration, Professional Development and 
Training Division (MC-MHT), 4600 N. Fairfax Drive, Suite 700, Arlington, 
Virginia 22203.

[67 FR 12779, Mar. 19, 2002, as amended at 72 FR 55701, Oct. 1, 2007; 73 
FR 76819, Dec. 17, 2008]



Sec.385.205  How can a person who has lost his or her certification
be re-certified?

    He or she must successfully complete the requirements of Sec.
385.203(a) and (b).



             Subpart D_New Entrant Safety Assurance Program

    Source: 67 FR 31983, May 13, 2002, unless otherwise noted.



Sec.385.301  What is a motor carrier required to do before beginning 
interstate operations?

    (a) Before a motor carrier of property or passengers begins 
interstate operations, it must register with the FMCSA and receive a 
USDOT number. In addition, for-hire motor carriers must obtain operating 
authority from FMCSA following the registration procedures described in 
49 CFR part 365, unless providing transportation exempt from 49 CFR part 
365 registration requirements.
    (b) This subpart applies to motor carriers domiciled in the United 
States and Canada.
    (c) A Mexico-domiciled motor carrier of property or passengers must 
register with the FMCSA by following the registration procedures 
described in 49 CFR part 365 or 368, as appropriate. The regulations in 
this subpart do not apply to Mexico-domiciled carriers.

    Effective Date Note: At 78 FR 52649, Aug. 23, 2013, Sec.385.301 
was revised, effective Aug. 23, 2015. For the convenience of the user, 
the revised text is set forth as follows:



Sec.385.301  What is a motor carrier required to do before beginning 
          interstate operations?

    (a) Before a motor carrier of property or passengers begins 
interstate operations, it must register with FMCSA and receive a USDOT 
Number. In addition, for-hire motor carriers must obtain operating 
authority from FMCSA, unless exclusively providing transportation exempt 
from the commercial registration requirements in 49 U.S.C. chapter 139. 
Both the USDOT Number and operating authority are obtained by following 
registration procedures described in 49 CFR part 390, subpart E. Part 
365 of this chapter provides detailed instructions for obtaining 
operating authority.
    (b) This subpart applies to motor carriers domiciled in the United 
States and Canada.
    (c) The regulations in this subpart do not apply to a Mexico-
domiciled motor carrier. A Mexico-domiciled motor carrier of property or 
passengers must register with FMCSA by following the registration 
procedures described in 49 CFR parts 365, 368 and 390. Parts 365 (for 
long-haul carriers) and 368 (for commercial zone carriers) of this 
chapter provide detailed information about how a Mexico-domiciled motor 
carrier may obtain operating authority.



Sec.385.303  How does a motor carrier register with the FMCSA?

    A motor carrier may contact the FMCSA by internet 
(www.fmcsa.dot.gov); or Washington, DC headquarters by mail at, Federal 
Motor Carrier Safety Administration, 1200 New Jersey Ave., SE., 
Washington, DC 20590-0001; fax (703) 280-4003; or telephone 1-800-832-
5660, and request the application materials for a new entrant motor 
carrier.

[67 FR 31983, May 13, 2002, as amended at 72 FR 55701, Oct. 1, 2007]

    Effective Date Note: At 78 FR 52649, Aug. 23, 2013, Sec.385.303 
was revised, effective Aug. 23, 2015. For the convenience of the user, 
the revised text is set forth as follows:



Sec.385.303  How does a motor carrier register with the FMCSA?

    A motor carrier registers with FMCSA by completing Form MCSA-1, 
which is an electronic application that must be completed on-line at the 
FMCSA Web site at http://www.fmcsa.dot.gov (Keyword ``MCSA-1''). 
Complete instructions for the Form MCSA-1 also are available at the same 
location.



Sec.385.305  What happens after the FMCSA receives a request for new
entrant registration?

    (a) The requester for new entrant registration will be directed to 
the FMCSA Internet website (www.fmcsa.dot.gov) to secure and/or complete 
the application package online.
    (b) The application package will contain the following:

[[Page 262]]

    (1) Educational and technical assistance material regarding the 
requirements of the FMCSRs and HMRs, if applicable.
    (2) The Form MCS-150, The Motor Carrier Identification Report.
    (3) Application forms to obtain operating authority under 49 CFR 
365, as appropriate.
    (c) Upon completion of the application forms, the new entrant will 
be issued a USDOT number.
    (d) For-hire motor carriers, unless providing transportation exempt 
from 49 CFR part 365 registration requirements, must also comply with 
the procedures established in 49 CFR part 365 to obtain operating 
authority before operating in interstate commerce.

[67 FR 31983, May 13, 2002, as amended at 73 FR 76488, Dec. 16, 2008]

    Effective Date Note: At 78 FR 52649, Aug. 23, 2013, Sec.385.305 
was revised, effective Aug. 23, 2015. For the convenience of the user, 
the revised text is set forth as follows:



Sec.385.305  What happens after the FMCSA receives a request for new 
          entrant registration?

    (a) The applicant for new entrant registration will be directed to 
the FMCSA Internet Web site (http://www.fmcsa.dot.gov) to secure and/or 
complete the application package online.
    (b) The application package will include the following:
    (1) Educational and technical assistance material regarding the 
requirements of the FMCSRs and HMRs, if applicable.
    (2) Form MCSA-1--FMCSA Registration/Update (USDOT Number--Operating 
Authority Application). This form is used to obtain both a USDOT Number 
and operating authority.
    (c) Upon completion of the application form, the new entrant will be 
issued an inactive USDOT Number. An applicant may not begin operations 
nor mark a commercial motor vehicle with the USDOT Number until after 
the date of the Agency's written notice that the USDOT Number has been 
activated. Violations of this section may be subject to the penalties 
under Sec.392.9b(b) of this chapter.
    (d) Additional requirements for certain for-hire motor carriers. 
For-hire motor carriers, unless providing transportation exempt from the 
commercial registration requirements in 49 U.S.C. chapter 139, must 
obtain operating authority as prescribed under Sec.390.201(b) and part 
365 of this chapter before operating in interstate commerce.



Sec.385.306  What are the consequences of furnishing misleading information
or making a false statement in connection with the registration process?

    A carrier that furnishes false or misleading information, or 
conceals material information in connection with the registration 
process, is subject to the following actions:
    (a) Revocation of registration.
    (b) Assessment of the civil and/or criminal penalties prescribed in 
49 U.S.C. 521 and 49 U.S.C. chapter 149.

[73 FR 76488, Dec. 16, 2008]



Sec.385.307  What happens after a motor carrier begins operations
as a new entrant?

    After a new entrant satisfies all applicable pre-operational 
requirements, it will be subject to the new entrant safety monitoring 
procedures for a period of 18 months. During this 18-month period:
    (a) The new entrant's roadside safety performance will be closely 
monitored to ensure the new entrant has basic safety management controls 
that are operating effectively.
    (b) A safety audit will be conducted on the new entrant, once it has 
been in operation for enough time to have sufficient records to allow 
the agency to evaluate the adequacy of its basic safety management 
controls. This period will generally be at least 3 months.
    (c) All records and documents required for the safety audit shall be 
made available for inspection upon request by an individual certified 
under FMCSA regulations to perform safety audits.

[67 FR 31983, May 13, 2002, as amended at 73 FR 76488, Dec. 16, 2008]



Sec.385.308  What may cause an expedited action?

    (a) A new entrant that commits any of the following actions, 
identified through roadside inspections or by any other means, may be 
subjected to an expedited safety audit or a compliance review or may be 
required to submit a written response demonstrating corrective action:
    (1) Using a driver not possessing a valid commercial driver's 
license to operate a commercial vehicle as defined

[[Page 263]]

under Sec.383.5 of this chapter. An invalid commercial driver's 
license includes one that is falsified, revoked, expired, or missing a 
required endorsement.
    (2) Operating a vehicle placed out of service for violations of the 
Federal Motor Carrier Safety Regulations or compatible State laws and 
regulations without taking necessary corrective action.
    (3) Being involved in, through action or omission, a hazardous 
materials reportable incident, as described under 49 CFR 171.15 or 
171.16, involving--
    (i) A highway route controlled quantity of certain radioactive 
materials (Class 7).
    (ii) Any quantity of certain explosives (Class 1, Division 1.1, 1.2, 
or 1.3).
    (iii) Any quantity of certain poison inhalation hazard materials 
(Zone A or B).
    (4) Being involved in, through action or omission, two or more 
hazardous materials reportable incidents as described under 49 CFR 
171.15 or 171.16, involving hazardous materials other than those listed 
above.
    (5) Using a driver who tests positive for controlled substances or 
alcohol or who refuses to submit to required controlled substances or 
alcohol tests.
    (6) Operating a commercial motor vehicle without the levels of 
financial responsibility required under part 387 of this subchapter.
    (7) Having a driver or vehicle out-of-service rate of 50 percent or 
more based upon at least three inspections occurring within a 
consecutive 90-day period.
    (b) If a new entrant that commits any of the actions listed in 
paragraph (a) of this section:
    (1) Has not had a safety audit or compliance review, FMCSA will 
schedule the new entrant for a safety audit as soon as practicable.
    (2) Has had a safety audit or compliance review, FMCSA will send the 
new entrant a notice advising it to submit evidence of corrective action 
within 30 days of the service date of the notice.
    (c) FMCSA may schedule a compliance review of a new entrant that 
commits any of the actions listed in paragraph (a) of this section at 
any time if it determines the violation warrants a thorough review of 
the new entrant's operation.
    (d) Failure to respond within 30 days of the notice to an Agency 
demand for a written response demonstrating corrective action will 
result in the revocation of the new entrant's registration.

[73 FR 76488, Dec. 16, 2008]



Sec.385.309  What is the purpose of the safety audit?

    The purpose of a safety audit is to:
    (a) Provide educational and technical assistance to the new entrant; 
and
    (b) Gather safety data needed to make an assessment of the new 
entrant's safety performance and adequacy of its basic safety management 
controls.



Sec.385.311  What will the safety audit consist of?

    The safety audit will consist of a review of the new entrant's 
safety management systems and a sample of required records to assess 
compliance with the FMCSRs, applicable HMRs and related record-keeping 
requirements as specified in appendix A of this part. The areas for 
review include, but are not limited to, the following:
    (a) Driver qualification;
    (b) Driver duty status;
    (c) Vehicle maintenance;
    (d) Accident register; and
    (e) Controlled substances and alcohol use and testing requirements.



Sec.385.313  Who will conduct the safety audit?

    An individual certified under the FMCSA regulations to perform 
safety audits will conduct the safety audit.



Sec.385.315  Where will the safety audit be conducted?

    The safety audit will generally be conducted at the new entrant's 
business premises.



Sec.385.317  Will a safety audit result in a safety fitness determination
by the FMCSA?

    A safety audit will not result in a safety fitness determination. 
Safety fitness determinations follow completion of a compliance review.

[[Page 264]]



Sec.385.319  What happens after completion of the safety audit?

    (a) Upon completion of the safety audit, the auditor will review the 
findings with the new entrant.
    (b) Pass. If FMCSA determines the safety audit discloses the new 
entrant has adequate basic safety management controls, the Agency will 
provide the new entrant written notice as soon as practicable, but not 
later than 45 days after completion of the safety audit, that it has 
adequate basic safety management controls. The new entrant's safety 
performance will continue to be closely monitored for the remainder of 
the 18-month period of new entrant registration.
    (c) Fail. If FMCSA determines the safety audit discloses the new 
entrant's basic safety management controls are inadequate, the Agency 
will provide the new entrant written notice, as soon as practicable, but 
not later than 45 days after the completion of the safety audit, that 
its USDOT new entrant registration will be revoked and its operations 
placed out-of-service unless it takes the actions specified in the 
notice to remedy its safety management practices.
    (1) 60-day corrective action requirement. All new entrants, except 
those specified in paragraph (c)(2) of this section, must take the 
specified actions to remedy inadequate safety management practices 
within 60 days of the date of the notice.
    (2) 45-day corrective action requirement. The new entrants listed 
below must take the specified actions to remedy inadequate safety 
management practices within 45 days of the date of the notice:
    (i) A new entrant that transports passengers in a CMV designed or 
used to transport between 9 and 15 passengers (including the driver) for 
direct compensation.
    (ii) A new entrant that transports passengers in a CMV designed or 
used to transport more than 15 passengers (including the driver).
    (iii) A new entrant that transports hazardous materials in a CMV as 
defined in paragraph (4) of the definition of a ``Commercial Motor 
Vehicle'' in Sec.390.5 of this subchapter.

[73 FR 76489, Dec. 16, 2008]



Sec.385.321  What failures of safety management practices disclosed by
the safety audit will result in a notice to a new entrant that its
USDOT new entrant registration will be revoked?

    (a) General. The failures of safety management practices consist of 
a lack of basic safety management controls as described in Appendix A of 
this part or failure to comply with one or more of the regulations set 
forth in paragraph (b) of this section and will result in a notice to a 
new entrant that its USDOT new entrant registration will be revoked.
    (b) Automatic failure of the audit. A new entrant will automatically 
fail a safety audit if found in violation of any one of the following 16 
regulations:

    Table to Sec. 385.321--Violations That Will Result in Automatic
                 Failure of the New Entrant Safety Audit
------------------------------------------------------------------------
                                             Guidelines for determining
                 Violation                    automatic failure of the
                                                    safety audit
------------------------------------------------------------------------
1. Sec. 382.115(a)/Sec. 382.115(b)--    Single occurrence.
 Failing to implement an alcohol and/or
 controlled substances testing program
 (domestic and foreign motor carriers,
 respectively).
2. Sec. 382.201--Using a driver known to  Single occurrence.
 have an alcohol content of 0.04 or
 greater to perform a safety-sensitive
 function.
3. Sec. 382.211--Using a driver who has   Single occurrence.
 refused to submit to an alcohol or
 controlled substances test required under
 part 382.
4. Sec. 382.215--Using a driver known to  Single occurrence.
 have tested positive for a controlled
 substance.
5. Sec. 382.305--Failing to implement a   Single occurrence.
 random controlled substances and/or
 alcohol testing program.
6. Sec. 383.3(a)/Sec. 383.23(a)--       Single occurrence.
 Knowingly using a driver who does not
 possess a valid CDL.

[[Page 265]]

 
7. Sec. 383.37(b)-Knowingly allowing,     Single occurrence.
 requiring, permitting, or authorizing an
 employee to operate a commercial motor
 vehicle with a commercial learner's
 permit or commercial driver's license
 which is disqualified by a State, has
 lost the right to operate a CMV in a
 State or who is disqualified to operate a
 commercial motor vehicle.
8. Sec. 383.51(a)--Knowingly allowing,    Single occurrence. This
 requiring, permitting, or authorizing a     violation refers to a
 driver to drive who is disqualified to      driver operating a CMV as
 drive a commercial motor vehicle.           defined under Sec. 383.5.
9. Sec. 387.7(a)--Operating a motor       Single occurrence.
 vehicle without having in effect the
 required minimum levels of financial
 responsibility coverage.
10. Sec. 387.31(a)--Operating a           Single occurrence.
 passenger carrying vehicle without having
 in effect the required minimum levels of
 financial responsibility.
11. Sec. 391.15(a)--Knowingly using a     Single occurrence.
 disqualified driver.
12. Sec. 391.11(b)(4)--Knowingly using a  Single occurrence. This
 physically unqualified driver.              violation refers to a
                                             driver operating a CMV as
                                             defined under Sec. 390.5.
13. Sec. 395.8(a)--Failing to require a   Requires a violation
 driver to make a record of duty status.     threshold (51% or more of
                                             examined records) to
                                             trigger automatic failure.
14. Sec. 396.9(c)(2)--Requiring or        Single occurrence.
 permitting the operation of a commercial
 motor vehicle declared ``out-of-service''
 before repairs are made.
15. Sec. 396.11(c)--Failing to correct    Single occurrence.
 out-of-service defects listed by driver
 in a driver vehicle inspection report
 before the vehicle is operated again.
16. Sec. 396.17(a)--Using a commercial    Requires a violation
 motor vehicle not periodically inspected.   threshold (51% or more of
                                             examined records) to
                                             trigger automatic failure.
------------------------------------------------------------------------


[73 FR 76489, Dec. 16, 2008, as amended at 77 FR 26989, May 8, 2012]



Sec.385.323  May FMCSA extend the period under Sec.385.319(c) for a
new entrant to take corrective action to remedy its safety management
practices?

    (a) FMCSA may extend the 60-day period in Sec.385.319(c)(1) for up 
to an additional 60 days provided FMCSA determines the new entrant is 
making a good faith effort to remedy its safety management practices.
    (b) FMCSA may extend the 45-day period in Sec.385.319(c)(2) for up 
to an additional 10 days if the new entrant has submitted evidence that 
corrective actions have been taken pursuant to Sec.385.319(c) and the 
Agency needs additional time to determine the adequacy of the corrective 
action.

[73 FR 76490, Dec. 16, 2008]



Sec.385.325  What happens after a new entrant has been notified under 
Sec.385.319(c) to take corrective action to remedy its safety 
management practices?

    (a) If the new entrant provides evidence of corrective action 
acceptable to the FMCSA within the time period provided in Sec.
385.319(c), including any extension of that period authorized under 
Sec.385.323, the FMCSA will provide written notification to the new 
entrant that its DOT new entrant registration will not be revoked and it 
may continue operations.
    (b) If a new entrant, after being notified that it is required to 
take corrective action to improve its safety management practices, fails 
to submit a written response demonstrating corrective action acceptable 
to FMCSA within the time specified in Sec.385.319, and any extension 
of that period authorized under Sec.385.323, FMCSA will revoke its new 
entrant registration and issue an out-of-service order effective on:
    (1) Day 61 from the notice date for new entrants subject to Sec.
385.319(c)(1).
    (2) Day 46 from the notice date for new entrants subject to Sec.
385.319(c)(2).
    (3) If an extension has been granted under Sec.385.323, the day 
following the expiration of the extension date.
    (c) The new entrant may not operate in interstate commerce on or 
after the effective date of the out-of-service order.

[67 FR 31983, May 13, 2002, as amended at 73 FR 76490, Dec. 16, 2008]

[[Page 266]]



Sec.385.327  May a new entrant request an administrative review of a
determination of a failed safety audit?

    (a) If a new entrant receives a notice under Sec.385.319(c) that 
its new entrant registration will be revoked, it may request FMCSA to 
conduct an administrative review if it believes FMCSA has committed an 
error in determining that its basic safety management controls are 
inadequate. The request must:
    (1) Be made to the Field Administrator of the appropriate FMCSA 
Service Center.
    (2) Explain the error the new entrant believes FMCSA committed in 
its determination.
    (3) Include a list of all factual and procedural issues in dispute 
and any information or documents that support the new entrant's 
argument.
    (b) FMCSA may request that the new entrant submit additional data 
and attend a conference to discuss the issues(s) in dispute. If the new 
entrant does not attend the conference or does not submit the requested 
data, FMCSA may dismiss the new entrant's request for review.
    (c) A new entrant must submit a request for an administrative review 
within one of the following time periods:
    (1) If it does not submit evidence of corrective action under Sec.
385.319(c), within 90 days after the date it is notified that its basic 
safety management controls are inadequate.
    (2) If it submits evidence of corrective action under Sec.
385.319(c), within 90 days after the date it is notified that its 
corrective action is insufficient and its basic safety management 
controls remain inadequate.
    (d) If a new entrant wants to assure that FMCSA will be able to 
issue a final written decision before the prohibitions outlined in Sec.
385.325(c) take effect, the new entrant must submit its request no later 
than 15 days from the date of the notice that its basic safety 
management controls are inadequate. Failure to submit the request within 
this 15-day period may result in revocation of new entrant registration 
and issuance of an out-of-service order before completion of 
administrative review.
    (e) FMCSA will complete its review and notify the new entrant in 
writing of its decision within:
    (1) 45 days after receiving a request for review from a new entrant 
that is subject to Sec.385.319(c)(1).
    (2) 30 days after receiving a request for review from a new entrant 
that is subject to Sec.385.319(c)(2).
    (f) The Field Administrator's decision constitutes the final Agency 
action.
    (g) Notwithstanding this subpart, a new entrant is subject to the 
suspension and revocation provisions of 49 U.S.C. 13905 for violations 
of DOT regulations governing motor carrier operations.

[73 FR 76490, Dec. 16, 2008]



Sec.385.329  May a new entrant that has had its USDOT new entrant
registration revoked and its operations placed out of service reapply?

    (a) A new entrant whose USDOT new entrant registration has been 
revoked, and whose operations have been placed out of service by FMCSA, 
may reapply for new entrant registration no sooner than 30 days after 
the date of revocation.
    (b) If the USDOT new entrant registration was revoked because of a 
failed safety audit, the new entrant must do all of the following:
    (1) Submit an updated MCS-150.
    (2) Submit evidence that it has corrected the deficiencies that 
resulted in revocation of its registration and will otherwise ensure 
that it will have basic safety management controls in effect.
    (3) Begin the 18-month new entrant monitoring cycle again as of the 
date the re-filed application is approved.
    (c) If the USDOT new entrant registration was revoked because FMCSA 
found that the new entrant had failed to submit to a safety audit, it 
must do all of the following:
    (1) Submit an updated MCS-150.
    (2) Begin the 18-month new entrant monitoring cycle again as of the 
date the re-filed application is approved.
    (3) Submit to a safety audit.
    (d) If the new entrant is a for-hire carrier subject to the 
registration provisions under 49 U.S.C. 13901 and also has had its 
operating authority revoked, it must re-apply for operating

[[Page 267]]

authority as set forth in part 365 of this chapter.

[73 FR 76490, Dec. 16, 2008]

    Effective Date Note: At 78 FR 52649, Aug. 23, 2013, Sec.385.329 
was amended by revising paragraphs (b) introductory text, (b)(1), (c)(1) 
and (d), effective Aug. 23, 2015. For the convenience of the user, the 
revised text is set forth as follows:



Sec.385.329  May a new entrant that has had its USDOT new entrant 
          registration revoked and its operations placed out of service 
          reapply?

                                * * * * *

    (b) If the USDOT new entrant registration was revoked because of a 
failed safety audit, the new entrant must do all of the following:
    (1) Submit an updated Form MCSA-1.

                                * * * * *

    (c) * * *
    (1) Submit an updated Form MCSA-1.

                                * * * * *

    (d) If the new entrant is a for-hire motor carrier subject to the 
registration provisions of 49 U.S.C. chapter 139 and also has had its 
operating authority revoked, it must re-apply for operating authority as 
set forth in Sec.390.201(b) and part 365 of this chapter.



Sec.385.331  What happens if a new entrant operates a CMV after having
been issued an order placing its interstate operations out of service?

    A new entrant that operates a CMV in violation of an out-of-service 
order is subject to the penalty provisions in 49 U.S.C. 521(b)(2)(A) for 
each offense as adjusted for inflation by 49 CFR part 386, appendix B.

[73 FR 76491, Dec. 16, 2008]



Sec.385.333  What happens at the end of the 18-month safety monitoring period?

    (a) If a safety audit has been performed within the 18-month period, 
and the new entrant is not currently subject to an order placing its 
operations out-of-service under Sec.385.325(b) or under a notice 
ordering it to take specified actions to remedy its safety management 
controls under Sec.385.319(c), the FMCSA will remove the new entrant 
designation and notify the new entrant in writing that its registration 
has become permanent. Thereafter, the FMCSA will evaluate the motor 
carrier on the same basis as any other carrier.
    (b) If a new entrant is determined to be ``unfit'' after a 
compliance review its new entrant registration will be revoked. (See 
Sec.385.13)
    (c) A new entrant that has reached the conclusion of the 18-month 
period but is under an order to correct its safety management practices 
under Sec.385.319(c) will have its new entrant registration removed 
following FMCSA's determination that the specified actions have been 
taken to remedy its safety management practices. The motor carrier will 
be notified in writing that its new entrant designation is removed and 
that its registration has become permanent. Thereafter, the FMCSA will 
evaluate the motor carrier on the same basis as any other carrier.
    (d) If a safety audit or compliance review has not been performed by 
the end of the 18-month monitoring period through no fault of the motor 
carrier, the carrier will be permitted to continue operating as a new 
entrant until a safety audit or compliance review is performed and a 
final determination is made regarding the adequacy of its safety 
management controls. Based on the results of the safety audit or 
compliance review, the FMCSA will either:
    (1) Remove the new entrant designation and notify the new entrant in 
writing that its registration has become permanent; or
    (2) Revoke the new entrant registration in accordance with Sec.
385.319(c).



Sec.385.335  If the FMCSA conducts a compliance review on a new entrant,
will the new entrant also be subject to a safety audit?

    If the FMCSA conducts a compliance review on a new entrant that has 
not previously been subject to a safety audit and issues a safety 
fitness determination, the new entrant will not have to undergo a safety 
audit under this subpart. However, the new entrant will continue to be 
subject to the 18-month safety-monitoring period prior to removal of the 
new entrant designation.

[[Page 268]]



Sec.385.337  What happens if a new entrant refuses to permit a safety 
audit to be performed on its operations?

    (a) If a new entrant refuses to permit a safety audit to be 
performed on its operations, FMCSA will provide the carrier with written 
notice that its registration will be revoked and its operations placed 
out of service unless the new entrant agrees in writing, within 10 days 
from the service date of the notice, to permit the safety audit to be 
performed. The refusal to permit a safety audit to be performed may 
subject the new entrant to the penalty provisions of 49 U.S.C. 
521(b)(2)(A), as adjusted for inflation by 49 CFR part 386, appendix B.
    (b) If the new entrant does not agree to undergo a safety audit as 
specified in paragraph (a) of this section, its registration will be 
revoked and its interstate operations placed out of service effective on 
the 11th day from the service date of the notice issued under paragraph 
(a) of this section.

[67 FR 31983, May 13, 2002, as amended at 73 FR 76491, Dec. 16, 2008]



              Subpart E_Hazardous Materials Safety Permits

    Source: 69 FR 39367, June 30, 2004, unless otherwise noted.



Sec.385.401  What is the purpose and scope of this subpart?

    (a) This subpart contains the requirements for obtaining and 
maintaining a safety permit to transport certain hazardous materials. No 
one may transport the materials listed in Sec.385.403 without a safety 
permit required by this subpart.
    (b) This subpart includes:
    (1) Definitions of terms used in this subpart;
    (2) The list of hazardous materials that require a safety permit if 
transported in commerce;
    (3) The requirements and procedures a carrier must follow in order 
to be issued a safety permit and maintain a safety permit;
    (4) The procedures for a motor carrier to follow to initiate an 
administrative review of a denial, suspension, or revocation of a safety 
permit.



Sec.385.402  What definitions are used in this subpart?

    (a) The definitions in parts 390 and 385 of this chapter apply to 
this subpart, except where otherwise specifically noted.
    (b) As used in this part,
    Hazardous material has the same meaning as under Sec.171.8 of this 
title: A substance or material that the Secretary of Transportation has 
determined is capable of posing an unreasonable risk to health, safety, 
and property when transported in commerce, and has designated as 
hazardous under Sec. 5103 of Federal hazardous materials transportation 
law (49 U.S.C. 5103). The term includes hazardous substances, hazardous 
wastes, marine pollutants, elevated temperature materials, materials 
designated as hazardous in the Hazardous Materials Table (see Sec.
172.101 of this title), and materials that meet the defining criteria 
for hazard classes and divisions in part 173 of this title.
    Hazmat employee has the same meaning as under Sec.171.8 of this 
title: A person who is employed by a hazmat employer as defined under 
Sec.171.8 of this title, and who in the course of employment directly 
affects hazardous materials transportation safety. This term includes an 
owner-operator of a motor vehicle that transports hazardous materials in 
commerce. This term includes an individual who, during the course of 
employment:
    (1) Loads, unloads, or handles hazardous materials;
    (2) Manufactures, tests, reconditions, repairs, modifies, marks, or 
otherwise represents containers, drums, or packaging as qualified for 
use in the transportation of hazardous materials;
    (3) Prepares hazardous materials for transportation;
    (4) Is responsible for the safe transportation of hazardous 
materials; or
    (5) Operates a vehicle used to transport hazardous materials.
    Liquefied natural gas (LNG) means a Division 2.1 liquefied natural 
gas material that is transported in a liquid state with a methane 
content of 85 percent or more.

[[Page 269]]

    Safety permit means a document issued by FMCSA that contains a 
permit number and confers authority to transport in commerce the 
hazardous materials listed in Sec.385.403.
    Shipment means the offering or loading of hazardous materials at one 
loading facility using one transport vehicle, or the transport of that 
transport vehicle.



Sec.385.403  Who must hold a safety permit?

    After the date following January 1, 2005, that a motor carrier is 
required to file a Motor Carrier Identification Report Form (MCS-150) 
according to the schedule set forth in Sec.390.19(a) of this chapter, 
the motor carrier may not transport in interstate or intrastate commerce 
any of the following hazardous materials, in the quantity indicated for 
each, unless the motor carrier holds a safety permit:
    (a) A highway route-controlled quantity of a Class 7 (radioactive) 
material, as defined in Sec.173.403 of this title;
    (b) More than 25 kg (55 pounds) of a Division 1.1, 1.2, or 1.3 
(explosive) material or an amount of a Division 1.5 (explosive) material 
requiring placarding under part 172 of this title;
    (c) More than one liter (1.08 quarts) per package of a ``material 
poisonous by inhalation,'' as defined in Sec.171.8 of this title, that 
meets the criteria for ``hazard zone A,'' as specified in Sec.
173.116(a) or Sec.173.133(a) of this title;
    (d) A ``material poisonous by inhalation,'' in a ``bulk packaging,'' 
both as defined in Sec.171.8 of this title, that meets the criteria 
for ``hazard zone B,'' as specified in Sec.173.116(a) or Sec.
173.133(a);
    (e) A ``material poisonous by inhalation,'' as defined in Sec.
171.8 of this title, that meets the criteria for ``hazard zone C,'' or 
``hazard zone D,'' as specified in Sec.173.116(a) of this title, in a 
packaging having a capacity equal to or greater than 13,248 L (3,500) 
gallons; or
    (f) A shipment of compressed or refrigerated liquefied methane or 
liquefied natural gas, or other liquefied gas with a methane content of 
at least 85 percent, in a bulk packaging having a capacity equal to or 
greater than 13,248 L (3,500 gallons).

[69 FR 39367, June 30, 2004, as amended at 77 FR 59826, Oct. 1, 2012]



Sec.385.405  How does a motor carrier apply for a safety permit?

    (a) Application form(s). (1) To apply for a new safety permit or 
renewal of the safety permit, a motor carrier must complete and submit 
Form MCS-150B, Combined Motor Carrier Identification Report and HM 
Permit Application.
    (2) The Form MCS-150B will also satisfy the requirements for 
obtaining and renewing a USDOT Number; there is no need to complete Form 
MCS-150, Motor Carrier Identification Report.
    (b) Where to get forms and instructions. The forms listed in 
paragraph (a) of this section, and instructions for completing the 
forms, may be obtained on the Internet at http://www.fmcsa.dot.gov, or 
by contacting FMCSA at Federal Motor Carrier Safety Administration, 
Office of Information Technology (MC-RI), 1200 New Jersey Ave., SE., 
Washington, DC 20590-0001, Telephone: 1-800-832-5660.
    (c) Registration with the Pipeline and Hazardous Materials Safety 
Administration (PHMSA). The motor carrier must be registered with PHMSA 
in accordance with part 107, subpart G of this title.
    (d) Updating information on Form MCS-150B. A motor carrier holding a 
safety permit must report to FMCSA any change in the information on its 
Form MCS-150B within 30 days of the change. The motor carrier must use 
Form MCS-150B to report the new information (contact information in 
paragraph (b) of this section).

[69 FR 39367, June 30, 2004, as amended at 72 FR 55701, Oct. 1, 2007; 73 
FR 76491, Dec. 16. 2008; 77 FR 59826, Oct. 1, 2012]

    Effective Date Note: At 78 FR 52649, Aug. 23, 2013, Sec.385.405 
was revised, effective Aug. 23, 2015. For the convenience of the user, 
the revised text is set forth as follows:



Sec.385.405  How does a motor carrier apply for a safety permit?

    (a) Application form. (1) To apply for a new safety permit or 
renewal of the safety permit, a motor carrier must complete and submit 
Form MCSA-1--FMCSA Registration/Update (USDOT Number--Operating 
Authority

[[Page 270]]

Application) and meet the requirements under 49 CFR part 390, subpart E.
    (2) The Form MCSA-1 also will also satisfy the requirements for 
obtaining and renewing a USDOT Number.
    (b) Where to get forms and instructions. Form MCSA-1 is an 
electronic application and is available, including complete 
instructions, from the FMCSA Web site at http://www.fmcsa.dot.gov 
(Keyword ``MCSA-1'').
    (c) Signature and certification. An official of the motor carrier 
must sign and certify that the information is correct on each form the 
motor carrier submits.
    (d) Updating information. A motor carrier holding a safety permit 
must report to FMCSA any change in the information on its Form MCSA-1 
within 30 days of the change. The motor carrier must use Form MCSA-1 to 
report the new information.



Sec.385.407  What conditions must a motor carrier satisfy for FMCSA 
to issue a safety permit?

    (a) Motor carrier safety performance. (1) The motor carrier must 
have a ``Satisfactory'' safety rating assigned by either FMCSA, pursuant 
to the Safety Fitness Procedures of this part, or the State in which the 
motor carrier has its principal place of business, if the State has 
adopted and implemented safety fitness procedures that are equivalent to 
the procedures in subpart A of this part; and
    (2) FMCSA will not issue a safety permit to a motor carrier that:
    (i) Does not certify that it has a satisfactory security program as 
required in Sec.385.407(b);
    (ii) Has a crash rate in the top 30 percent of the national average 
as indicated in the FMCSA Motor Carrier Management Information System 
(MCMIS); or
    (iii) Has a driver, vehicle, hazardous materials, or total out-of-
service rate in the top 30 percent of the national average as indicated 
in the MCMIS.
    (b) Satisfactory security program. The motor carrier must certify 
that it has a satisfactory security program, including:
    (1) A security plan meeting the requirements of part 172, subpart I 
of this title, and addressing how the carrier will ensure the security 
of the written route plan required by this part;
    (2) A communications plan that allows for contact between the 
commercial motor vehicle operator and the motor carrier to meet the 
periodic contact requirements in Sec.385.415(c)(1); and
    (3) Successful completion by all hazmat employees of the security 
training required in Sec.172.704(a)(4) and (a)(5) of this title.
    (c) Registration with the Pipeline and Hazardous Materials Safety 
Administration (PHMSA). The motor carrier must be registered with the 
PHMSA in accordance with part 107, subpart G of this title.

[69 FR 39367, June 30, 2004, as amended at 75 FR 17241, Apr. 5, 2010; 77 
FR 28450, May 14, 2012; 78 FR 58481, Sept. 24, 2013]



Sec.385.409  When may a temporary safety permit be issued to a motor carrier?

    (a) Temporary safety permit. If a motor carrier does not meet the 
criteria in Sec.385.407(a), FMCSA may issue it a temporary safety 
permit. To obtain a temporary safety permit a motor carrier must certify 
on Form MCS-150B that it is operating in full compliance with the HMRs; 
with the FMCSRs, and/or comparable State regulations, whichever is 
applicable; and with the minimum financial responsibility requirements 
in part 387 of this chapter or in State regulations, whichever is 
applicable.
    (b) FMCSA will not issue a temporary safety permit to a motor 
carrier that:
    (1) Does not certify that it has a satisfactory security program as 
required in Sec.385.407(b);
    (2) Has a crash rate in the top 30 percent of the national average 
as indicated in the FMCSA's MCMIS; or
    (3) Has a driver, vehicle, hazardous materials, or total out-of-
service rate in the top 30 percent of the national average as indicated 
in the MCMIS.
    (c) A temporary safety permit shall be valid for 180 days after the 
date of issuance or until the motor carrier is assigned a new safety 
rating, whichever occurs first.
    (1) A motor carrier that receives a Satisfactory safety rating will 
be issued a safety permit (see Sec.385.421).
    (2) A motor carrier that receives a less than Satisfactory safety 
rating is ineligible for a safety permit and will be subject to 
revocation of its temporary safety permit.

[[Page 271]]

    (d) If a motor carrier has not received a safety rating within the 
180-day time period, FMCSA will extend the effective date of the 
temporary safety permit for an additional 60 days, provided the motor 
carrier demonstrates that it is continuing to operate in full compliance 
with the FMCSRs and HMRs.

    Effective Date Note: At 78 FR 52650, Aug. 23, 2013, Sec.385.409 
was amended by revising paragraph (a), effective Aug. 23, 2015. For the 
convenience of the user, the revised text is set forth as follows:



Sec.385.409  When may a temporary safety permit be issued to a motor 
          carrier?

    (a) Temporary safety permit. If a motor carrier does not meet the 
criteria of Sec.385.407(a), FMCSA may issue it a temporary safety 
permit. To obtain a temporary safety permit, a motor carrier must 
certify on Form MCSA-1 that it is operating in full compliance with the 
HMRs, with the FMCSRs, and/or comparable State regulations, whichever is 
applicable; and with the minimum financial responsibility requirements 
in part 387 of this subchapter or in State regulations, whichever is 
applicable.



Sec.385.411  Must a motor carrier obtain a safety permit if it has
a State permit?

    Yes. However, if FMCSA is able to verify that a motor carrier has a 
safety permit issued by a State under a program that FMCSA has 
determined to be equivalent to the provisions of this subpart, FMCSA 
will immediately issue a safety permit to the motor carrier upon receipt 
of an application in accordance with Sec.385.405, without further 
inspection or investigation.



Sec.385.413  What happens if a motor carrier receives a proposed safety 
rating that is less than Satisfactory?

    (a) If a motor carrier does not already have a safety permit, it 
will not be issued a safety permit (including a temporary safety permit) 
unless and until a Satisfactory safety rating is issued to the motor 
carrier.
    (b) If a motor carrier holds a safety permit (including a temporary 
safety permit), the safety permit will be subject to revocation or 
suspension (see Sec.385.421).



Sec.385.415  What operational requirements apply to the transportation 
of a hazardous material for which a permit is required?

    (a) Information that must be carried in the vehicle. During 
transportation, the following must be maintained in each commercial 
motor vehicle that transports a hazardous material listed in Sec.
385.403 and must be made available to an authorized official of a 
Federal, State, or local government agency upon request.
    (1) A copy of the safety permit or another document showing the 
permit number, provided that document clearly indicates the number is 
the FMCSA Safety Permit number;
    (2) A written route plan that meets the requirements of Sec.
397.101 of this chapter for highway route-controlled Class 7 
(radioactive) materials or Sec.397.67 of this chapter for Division 
1.1, 1.2, and 1.3 (explosive) materials; and
    (3) The telephone number, including area code or country code, of an 
employee of the motor carrier or representative of the motor carrier who 
is familiar with the routing of the permitted material. The motor 
carrier employee or representative must be able to verify that the 
shipment is within the general area for the expected route for the 
permitted material. The telephone number, when called, must be answered 
directly by the motor carrier or its representative at all times while 
the permitted material is in transportation including storage incidental 
to transportation. Answering machines are not sufficient to meet this 
requirement.
    (b)(1) Inspection of vehicle transporting Class 7 (radioactive) 
materials. Before a motor carrier may transport a highway route 
controlled quantity of a Class 7 (radioactive) material, the motor 
carrier must have a pre-trip inspection performed on each motor vehicle 
to be used to transport a highway route controlled quantity of a Class 7 
(radioactive) material, in accordance with the requirements of the 
``North American Standard Out-of-Service Criteria and Level VI 
Inspection Procedures and Out-of-Service Criteria for Commercial Highway 
Vehicles Transporting Transuranics and Highway

[[Page 272]]

Route Controlled Quantities of Radioactive Materials as defined in 49 
CFR Part 173.403'', (incorporated by reference, see Sec.385.4).
    (2) All materials incorporated by reference are available for 
inspection at the Federal Motor Carrier Safety Administration, Office of 
Enforcement and Compliance (MC-EC), 1200 New Jersey Ave., SE., 
Washington, DC 20590-0001; and the National Archives and Records 
Administration (NARA). For information on the availability of this 
material at NARA, call (202) 741-6030, or go to: http://
www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html.
    (c) Additional requirements. A motor carrier transporting hazardous 
materials requiring a permit under this part must also meet the 
following requirements:
    (1) The operator of a motor vehicle used to transport a hazardous 
material listed in Sec.385.403 must follow the communications plan 
required in Sec.385.407(b)(2) to make contact with the carrier at the 
beginning and end of each duty tour, and at the pickup and delivery of 
each permitted load. Contact may be by telephone, radio or via an 
electronic tracking or monitoring system. The motor carrier or driver 
must maintain a record of communications for 6 months after the initial 
acceptance of a shipment of hazardous material for which a safety permit 
is required. The record of communications must contain the name of the 
driver, identification of the vehicle, permitted material(s) being 
transported, and the date, location, and time of each contact required 
under this section.
    (2) The motor carrier should contact the Transportation Security 
Administration's Transportation Security Coordination Center (703-563-
3236 or 703-563-3237) at any time the motor carrier suspects its 
shipment of a hazardous material listed in Sec.385.403 is lost, stolen 
or otherwise unaccounted for.

[69 FR 39367, June 30, 2004, as amended at 72 FR 55701, Oct. 1, 2007; 77 
FR 59826, Oct. 1, 2012]



Sec.385.417  Is a motor carrier's safety permit number available to others?

    Upon request, a motor carrier must provide the number of its safety 
permit to a person who offers a hazardous material listed in Sec.
385.403 for transportation in commerce. A motor carrier's permit number 
will also be available to the public on the FMCSA Safety and Fitness 
Electronic Records System at http://www.safersys.org.



Sec.385.419  How long is a safety permit effective?

    Unless suspended or revoked, a safety permit (other than a temporary 
safety permit) is effective for two years, except that:
    (a) A safety permit will be subject to revocation if a motor carrier 
fails to submit a renewal application (Form MCS-150B) in accordance with 
the schedule set forth for filing Form MCS-150 in Sec.390.19(a) of 
this chapter; and
    (b) An existing safety permit will remain in effect pending FMCSA's 
processing of an application for renewal if a motor carrier submits the 
required application (Form MS-150B) in accordance with the schedule set 
forth in Sec.390.19(a)(2) and (a)(3) of this chapter.

    Effective Date Note: At 78 FR 52650, Aug. 23, 2013, Sec.385.419 
was revised, effective Aug. 23, 2015. For the convenience of the user, 
the revised text is set forth as follows:



Sec.385.419  How long is a safety permit effective?

    Unless suspended or revoked, a safety permit (other than a temporary 
safety permit) is effective for two years, except that:
    (a) A safety permit will be subject to revocation if a motor carrier 
fails to submit a renewal application (Form MCSA-1) in accordance with 
the schedule set forth for filing Form MCSA-1 in part 390, subpart E, of 
this subchapter; and
    (b) An existing safety permit will remain in effect pending FMCSA's 
processing of an application for renewal if a motor carrier submits the 
required application (Form MCSA-1) in accordance with the schedule set 
forth in part 390, subpart E, of this subchapter.

[[Page 273]]



Sec.385.421  Under what circumstances will a safety permit be subject
to revocation or suspension by FMCSA?

    (a) Grounds. A safety permit will be subject to revocation or 
suspension by FMCSA for the following reasons:
    (1) A motor carrier fails to submit a renewal application (Form MCS-
150B) in accordance with the schedule set forth in Sec.390.19(a)(2) 
and (a)(3) of this chapter;
    (2) A motor carrier provides any false or misleading information on 
its application (Form MCS-150B) or as part of updated information it is 
providing on Form MCS-150B (see Sec.385.405(d)).
    (3) A motor carrier is issued a final safety rating that is less 
than Satisfactory;
    (4) A motor carrier fails to maintain a satisfactory security plan 
as set forth in Sec.385.407(b);
    (5) A motor carrier fails to comply with applicable requirements in 
the FMCSRs, the HMRs, or compatible State requirements governing the 
transportation of hazardous materials, in a manner showing that the 
motor carrier is not fit to transport the hazardous materials listed in 
Sec.385.403;
    (6) A motor carrier fails to comply with an out-of-service order;
    (7) A motor carrier fails to comply with any other order issued 
under the FMCSRs, the HMRs, or compatible State requirements governing 
the transportation of hazardous materials, in a manner showing that the 
motor carrier is not fit to transport the hazardous materials listed in 
Sec.385.403;
    (8) A motor carrier fails to maintain the minimum financial 
responsibility required by Sec.387.9 of this chapter or an applicable 
State requirement;
    (9) A motor carrier fails to maintain current hazardous materials 
registration with the Pipeline and Hazardous Materials Safety 
Administration; or
    (10) A motor carrier loses its operating rights or has its 
registration suspended in accordance with Sec.386.83 or Sec.386.84 
of this chapter for failure to pay a civil penalty or abide by a payment 
plan.
    (b) Determining whether a safety permit is revoked or suspended. A 
motor carrier's safety permit will be suspended the first time any of 
the conditions specified in paragraph (a) of this section are found to 
apply to the motor carrier. A motor carrier's safety permit will be 
revoked if any of the conditions specified in paragraph (a) of this 
section are found to apply to the motor carrier and the carrier's safety 
permit has been suspended in the past for any of the reasons specified 
in paragraph (a) of this section.
    (c) Effective date of suspension or revocation. A suspension or 
revocation of a safety permit is effective:
    (1) Immediately after FMCSA determines that an imminent hazard 
exists, after FMCSA issues a final safety rating that is less than 
Satisfactory, or after a motor carrier loses its operating rights or has 
its registration suspended for failure to pay a civil penalty or abide 
by a payment plan;
    (2) Thirty (30) days after service of a written notification that 
FMCSA proposes to suspend or revoke a safety permit, if the motor 
carrier does not submit a written request for administrative review 
within that time period; or
    (3) As specified in Sec.385.423(c), when the motor carrier submits 
a written request for administrative review of FMCSA's proposal to 
suspend or revoke a safety permit.
    (4) A motor carrier whose safety permit has been revoked will not be 
issued a replacement safety permit or temporary safety permit for 365 
days from the time of revocation.

[69 FR 39367, June 30, 2004, as amended at 78 FR 58481, Sept. 24, 2013]

    Effective Date Note: At 78 FR 52650, Aug. 23, 2013, Sec.385.421 
was amended by revising paragraphs (a)(1) and (2), effective Aug. 23, 
2015. For the convenience of the user, the revised text is set forth as 
follows:



Sec.385.421  Under what circumstances will a safety permit be subject 
          to revocation or suspension by FMCSA?

    (a) * * *
    (1) A motor carrier fails to submit a renewal application (Form 
MCSA-1) in accordance with the schedule set forth in part 390, subpart 
E, of this subchapter.
    (2) A motor carrier provides any false or misleading information on 
its application form (Form MCSA-1) or as part of updated information it 
is providing on Form MCSA-1 (see Sec.385.405(d)).

[[Page 274]]



Sec.385.423  Does a motor carrier have a right to an administrative 
review of a denial, suspension, or revocation of a safety permit?

    A motor carrier has a right to an administrative review pursuant to 
the following procedures and conditions:
    (a) Less than Satisfactory safety rating. If a motor carrier is 
issued a proposed safety rating that is less than Satisfactory, it has 
the right to request (1) an administrative review of a proposed safety 
rating, as set forth in Sec.385.15, and (2) a change to a proposed 
safety rating based on corrective action, as set forth in Sec.385.17. 
After a motor carrier has had an opportunity for administrative review 
of, or change to, a proposed safety rating, FMCSA's issuance of a final 
safety rating constitutes final agency action, and a motor carrier has 
no right to further administrative review of FMCSA's denial, suspension, 
or revocation of a safety permit when the motor carrier has been issued 
a final safety rating that is less than Satisfactory.
    (b) Failure to pay civil penalty or abide by payment plan. If a 
motor carrier is notified that failure to pay a civil penalty will 
result in suspension or termination of its operating rights, it has the 
right to an administrative review of that proposed action in a show 
cause proceeding, as set forth in Sec.386.83(b) or Sec.386.84(b) of 
this chapter. The decision by FMCSA's Chief Safety Officer in the show 
cause proceeding constitutes final agency action, and a motor carrier 
has no right to further administrative review of FMCSA's denial, 
suspension, or revocation of a safety permit when the motor carrier has 
lost its operating rights or had its registration suspended for failure 
to pay a civil penalty or abide by a payment plan.
    (c) Other grounds. Under circumstances other than those set forth in 
paragraphs (a) and (b) of this section, a motor carrier may submit a 
written request for administrative review within 30 days after service 
of a written notification that FMCSA has denied a safety permit, that 
FMCSA has immediately suspended or revoked a safety permit, or that 
FMCSA has proposed to suspend or revoke a safety permit. The rules for 
computing time limits for service and requests for extension of time in 
Sec. Sec.386.5, 386.6, and 386.8 of this chapter apply to the 
proceedings on a request for administrative review under this section.
    (1) The motor carrier must send or deliver its written request for 
administrative review to FMCSA Chief Safety Officer, with a copy to 
FMCSA Chief Counsel, at the following addresses:
    (i) Chief Safety Officer, Federal Motor Carrier Safety 
Administration, 1200 New Jersey Ave., SE., Washington, DC 20590-0001 
Attention: Adjudications Counsel (MC-CC).
    (ii) Chief Counsel (MC-CC), Federal Motor Carrier Safety 
Administration, 1200 New Jersey Ave., SE., Washington, DC 20590-0001.
    (2) A request for administrative review must state the specific 
grounds for review and include all information, evidence, and arguments 
upon which the motor carrier relies to support its request for 
administrative review.
    (3) Within 30 days after service of a written request for 
administrative review, the Office of the Chief Counsel shall submit to 
the Chief Safety Officer a written response to the request for 
administrative review. The Office of the Chief Counsel must serve a copy 
of its written response on the motor carrier requesting administrative 
review.
    (4) The Chief Safety Officer may decide a motor carrier's request 
for administrative review on the written submissions, hold a hearing 
personally, or refer the request to an administrative law judge for a 
hearing and recommended decision. The Chief Safety Officer or 
administrative law judge is authorized to specify, and must notify the 
parties of, specific procedural rules to be followed in the proceeding 
(which may include the procedural rules in part 386 of this chapter that 
are considered appropriate).
    (5) If a request for administrative review is referred to an 
administrative law judge, the recommended decision of the administrative 
law judge becomes the final decision of the Chief Safety Officer 45 days 
after service of the recommended decision is served, unless either the 
motor carrier or the Office of the Chief Counsel submits a petition for 
review to the Chief Safety Officer (and serves a copy of its petition on 
the other party) within 15 days

[[Page 275]]

after service of the recommended decision. In response to a petition for 
review of a recommended decision of an administrative law judge:
    (i) The other party may submit a written reply within 15 days of 
service of the petition for review.
    (ii) The Chief Safety Officer may adopt, modify, or set aside the 
recommended decision of an administrative law judge, and may also remand 
the petition for review to the administrative law judge for further 
proceedings.
    (6) The Chief Safety Officer will issue a final decision on any 
request for administrative review when:
    (i) The request for administrative review has not been referred to 
an administrative law judge;
    (ii) A petition for review of a recommended decision by an 
administrative law judge has not been remanded to the administrative law 
judge for further proceedings; or
    (iii) An administrative law judge has held further proceedings on a 
petition for review and issued a supplementary recommended decision.
    (7) The decision of the Chief Safety Officer (including a 
recommended decision of an administrative law judge that becomes the 
decision of the Chief Safety Officer under paragraph (c)(5) of this 
section) constitutes final agency action, and there is no right to 
further administrative reconsideration or review.
    (8) Any appeal of a final agency action under this section must be 
taken to an appropriate United States Court of Appeals. Unless the Court 
of Appeals issues a stay pending appeal, the final agency action shall 
not be suspended while the appeal is pending.

[69 FR 39367, June 30, 2004, as amended at 72 FR 55701, Oct. 1, 2007]



                Subpart F_Intermodal Equipment Providers

    Source: 73 FR 76819, Dec. 17, 2008, unless otherwise noted.



Sec.385.501  Roadability review.

    (a) FMCSA will perform roadability reviews of intermodal equipment 
providers, as defined in Sec.390.5 of this chapter.
    (b) FMCSA will evaluate the results of the roadability review using 
the criteria in appendix A to this part as they relate to compliance 
with parts 390, 393, and 396 of this chapter.



Sec.385.503  Results of roadability review.

    (a) FMCSA will not assign a safety rating to an intermodal equipment 
provider based on the results of a roadability review. However, FMCSA 
may cite the intermodal equipment provider for violations of parts 390, 
393, and 396 of this chapter and may impose civil penalties resulting 
from the roadability review.
    (b) FMCSA may prohibit the intermodal equipment provider from 
tendering specific items of intermodal equipment determined to 
constitute an ``imminent hazard'' (See Sec.386.72(b)(1) of this 
chapter).
    (c) FMCSA may prohibit an intermodal equipment provider from 
tendering any intermodal equipment from a particular location or 
multiple locations if the agency determines the intermodal equipment 
provider's failure to comply with the FMCSRs constitutes an imminent 
hazard under Sec.386.72(b)(1).

Subpart G [Reserved]



  Subpart H_Special Rules for New Entrant Non-North America-Domiciled 
                                Carriers

    Source: 73 FR 76491, Dec. 16, 2008, unless otherwise noted.



Sec.385.601  Scope of rules.

    The rules in this subpart govern the application by a non-North 
America-domiciled motor carrier to provide transportation of property 
and passengers in interstate commerce in the United States.



Sec.385.603  Application.

    (a) Each applicant applying under this subpart must submit an 
application that consists of:
    (1) Form OP-1(NNA)--Application for U.S. Department of 
Transportation

[[Page 276]]

(USDOT) Registration by Non-North America-Domiciled Motor Carriers;
    (2) Form MCS-150--Motor Carrier Identification Report; and
    (3) A notification of the means used to designate process agents, 
either by submission in the application package of Form BOC-3--
Designation of Agents--Motor Carriers, Brokers and Freight Forwarders or 
a letter stating that the applicant will use a process agent service 
that will submit the Form BOC-3 electronically.
    (b) FMCSA will only process an application if it meets the following 
conditions:
    (1) The application must be completed in English;
    (2) The information supplied must be accurate, complete, and include 
all required supporting documents and applicable certifications in 
accordance with the instructions to Form OP-1(NNA), Form MCS-150 and 
Form BOC-3;
    (3) The application must include the filing fee payable to the FMCSA 
in the amount set forth at 49 CFR 360.3(f)(1); and
    (4) The application must be signed by the applicant.
    (c) An applicant must submit the application to the address provided 
in Form OP-1(NNA).
    (d) An applicant may obtain the application forms from any FMCSA 
Division Office or download them from the FMCSA Web site at: http://
www.fmcsa.dot.gov/forms/forms.htm.

    Effective Date Note: At 78 FR 52650, Aug. 23, 2013, Sec.385.603 
was revised, effective Aug. 23, 2015. For the convenience of the user, 
the revised text is set forth as follows:



Sec.385.603  Application.

    (a) Each applicant applying under this subpart must submit an 
application that consists of:
    (1) Form MCSA-1, FMCSA Registration/Update (USDOT Number--Operating 
Authority Application); and
    (2) A notification of the means used to designate process agents, 
either by submission in the application package of Form BOC-3, 
Designation of Agents--Motor Carriers, Brokers and Freight Forwarders, 
or a letter stating that the applicant will use a process agent service 
that will submit the Form BOC-3 electronically.
    (b) The FMCSA will process an application only if it meets the 
following conditions:
    (1) The application must be completed in English.
    (2) The information supplied must be accurate, complete, and include 
all required supporting documents and applicable certifications in 
accordance with the instructions to Form MCSA-1 and Form BOC-3.
    (3) The application must include the filing fee payable to the FMCSA 
in the amount set forth at 49 CFR 360.3(f)(1).
    (4) The application must be signed by the applicant.
    (c) An applicant must electronically file Form MCSA-1.
    (d) Form MCSA-1 is an electronic application and is available, 
including complete instructions, from the FMCSA Web site at http://
www.fmcsa.dot.gov (Keyword ``MCSA-1'').



Sec.385.605  New entrant registration driver's license and drug and
alcohol testing requirements.

    (a) A non-North America-domiciled motor carrier must use only 
drivers who possess a valid commercial driver's license--a CDL, Canadian 
Commercial Driver's License, or Mexican Licencia de Federal de 
Conductor--to operate its vehicles in the United States.
    (b) A non-North America-domiciled motor carrier must subject each of 
the drivers described in paragraph (a) of this section to drug and 
alcohol testing as prescribed under part 382 of this subchapter.



Sec.385.607  FMCSA action on the application.

    (a) FMCSA will review and act on each application submitted under 
this subpart in accordance with the procedures set out in this part.
    (b) FMCSA will validate the accuracy of information and 
certifications provided in the application by checking, to the extent 
available, data maintained in databases of the governments of the 
country where the carrier's principal place of business is located and 
the United States.
    (c) Pre-authorization safety audit. Every non-North America-
domiciled motor carrier that applies under this part must satisfactorily 
complete an FMCSA-administered safety audit before FMCSA will grant new 
entrant registration to operate in the United States. The safety audit 
is a review by

[[Page 277]]

FMCSA of the carrier's written procedures and records to validate the 
accuracy of information and certifications provided in the application 
and determine whether the carrier has established or exercises the basic 
safety management controls necessary to ensure safe operations. FMCSA 
will evaluate the results of the safety audit using the criteria in the 
Appendix to this subpart.
    (d) An application of a non-North America-domiciled motor carrier 
requesting for-hire operating authority under part 365 of this 
subchapter may be protested under Sec.365.109(b). Such a carrier will 
be granted new entrant registration after successful completion of the 
pre-authorization safety audit and the expiration of the protest period, 
provided the application is not protested. If a protest to the 
application is filed with FMCSA, new entrant registration will be 
granted only if FMCSA denies or rejects the protest.
    (e) If FMCSA grants new entrant registration to the applicant, it 
will assign a distinctive USDOT Number that identifies the motor carrier 
as authorized to operate in the United States. In order to initiate 
operations in the United States, a non-North America-domiciled motor 
carrier with new entrant registration must:
    (1) Have its surety or insurance provider file proof of financial 
responsibility in the form of certificates of insurance, surety bonds, 
and endorsements, as required by Sec. Sec.387.7(e)(2),387.31(e)(2), 
and 387.301 of this subchapter, as applicable; and
    (2) File a hard copy of, or have its process agent(s) electronically 
submit, Form BOC-3--Designation of Agents--Motor Carriers, Brokers and 
Freight Forwarders, as required by part 366 of this subchapter.
    (f) A non-North America-domiciled motor carrier must comply with all 
provisions of the safety monitoring system in part 385, subpart I of 
this subchapter, including successfully passing North American Standard 
commercial motor vehicle inspections at least every 90 days and having 
safety decals affixed to each commercial motor vehicle operated in the 
United States as required by Sec.385.703(c) of this subchapter.
    (g) FMCSA may not re-designate a non-North America-domiciled 
carrier's registration from new entrant to permanent prior to 18 months 
after the date its USDOT Number is issued and subject to successful 
completion of the safety monitoring system for non-North America-
domiciled carriers set out in part 385, subpart I of this subchapter. 
Successful completion includes obtaining a Satisfactory safety rating as 
the result of a compliance review.

    Effective Date Note: At 78 FR 52650, Aug. 23, 2013, Sec.385.607 
was amended by revising paragraph (e)(2), effective Aug. 23, 2015. For 
the convenience of the user, the revised text is set forth as follows:



Sec.385.607  FMCSA action on the application.

                                * * * * *

    (e) * * *
    (2) File or have its process agent(s) electronically submit, Form 
BOC-3--Designation of Agents--Motor Carriers, Brokers and Freight 
Forwarders, as required by part 366 of this subchapter.

                                * * * * *



Sec.385.609  Requirement to notify FMCSA of change in applicant information.

    (a)(1) A motor carrier subject to this subpart must notify FMCSA of 
any changes or corrections to the information the Form BOC-3--
Designation of Agents--Motor Carriers, Brokers and Freight Forwarders 
that occur during the application process or after having been granted 
new entrant registration.
    (2) A motor carrier subject to this subpart must notify FMCSA of any 
changes or corrections to the information in Section I, IA or II of Form 
OP-1(NNA)--Application for U.S. Department of Transportation (USDOT) 
Registration by Non-North America-Domiciled Motor Carriers that occurs 
during the application process or after having been granted new entrant 
registration.
    (3) A motor carrier must notify FMCSA in writing within 45 days of 
the change or correction to information under paragraphs (a)(1) or 
(a)(2) of this section.
    (b) If a motor carrier fails to comply with paragraph (a) of this 
section, FMCSA may suspend or revoke its new

[[Page 278]]

entrant registration until it meets those requirements.

    Effective Date Note: At 78 FR 52650, Aug. 23, 2013, Sec.385.609 
was amended by revising paragraph (a)(2), and removing paragraph (a)(3), 
effective Aug. 23, 2015. For the convenience of the user, the revised 
text is set forth as follows:



385.609  Requirement to notify FMCSA of change in applicant information.

    (a) * * *
    (2) A motor carrier subject to this subpart must notify FMCSA of any 
changes or corrections to the information in Section A of Form MCSA-1 
that occur during the application process or after the motor carrier has 
been granted new entrant registration. The motor carrier must report the 
changes or corrections within 30 days of the change. The motor carrier 
must use Form MCSA-1 to report the new information.

                                * * * * *



Sec. Appendix to Subpart H of Part 385--Explanation of Pre-Authorization 
 Safety Audit Evaluation Criteria for Non-North America-Domiciled Motor 
                                Carriers

                               I. General

    (a) FMCSA will perform a safety audit of each non-North America-
domiciled motor carrier before granting the carrier new entrant 
registration to operate within the United States.
    (b) FMCSA will conduct the safety audit at a location specified by 
the FMCSA. All records and documents must be made available for 
examination within 48 hours after a request is made. Saturdays, Sundays, 
and Federal holidays are excluded from the computation of the 48-hour 
period.
    (c) The safety audit will include:
    (1) Verification of available performance data and safety management 
programs;
    (2) Verification of a controlled substances and alcohol testing 
program consistent with part 40 of this title;
    (3) Verification of the carrier's system of compliance with hours-
of-service rules in part 395 of this subchapter, including recordkeeping 
and retention;
    (4) Verification of proof of financial responsibility;
    (5) Review of available data concerning the carrier's safety 
history, and other information necessary to determine the carrier's 
preparedness to comply with the Federal Motor Carrier Safety 
Regulations, parts 382 through 399 of this subchapter, and the Federal 
Hazardous Material Regulations, parts 171 through 180 of this title;
    (6) Inspection of available commercial motor vehicles to be used 
under new entrant registration, if any of these vehicles have not 
received a decal required by Sec.385.703(c) of this subchapter;
    (7) Evaluation of the carrier's safety inspection, maintenance, and 
repair facilities or management systems, including verification of 
records of periodic vehicle inspections;
    (8) Verification of drivers' qualifications, including confirmation 
of the validity of the CDL, Canadian Commercial Driver's License, or 
Mexican Licencia de Federal de Conductor, as applicable, of each driver 
the carrier intends to assign to operate under its new entrant 
registration; and
    (9) An interview of carrier officials to review safety management 
controls and evaluate any written safety oversight policies and 
practices.
    (d) To successfully complete the safety audit, a non-North America-
domiciled motor carrier must demonstrate to FMCSA that it has the 
required elements in paragraphs I (c)(2), (3), (4), (7), and (8) of this 
appendix and other basic safety management controls in place which 
function adequately to ensure minimum acceptable compliance with the 
applicable safety requirements. FMCSA developed ``safety audit 
evaluation criteria,'' which uses data from the safety audit and 
roadside inspections to determine that each applicant for new entrant 
registration has basic safety management controls in place.
    (e) The safety audit evaluation process developed by FMCSA is used 
to:
    (1) Evaluate basic safety management controls and determine if each 
non-North America-domiciled carrier and each driver is able to operate 
safely in the United States; and
    (2) Identify motor carriers and drivers who are having safety 
problems and need improvement in their compliance with the FMCSRs and 
the HMRs, before FMCSA issues new entrant registration to operate within 
the United States.

     II. Source of the Data for the Safety Audit Evaluation Criteria

    (a) The FMCSA's evaluation criteria are built upon the operational 
tool known as the safety audit. FMCSA developed this tool to assist 
auditors, inspectors, and investigators in assessing the adequacy of a 
non-North America-domiciled carrier's basic safety management controls.
    (b) The safety audit is a review of a non-North America-domiciled 
motor carrier's operation and is used to:
    (1) Determine if a carrier has the basic safety management controls 
required by 49 U.S.C. 31144; and
    (2) In the event that a carrier is found not to be in compliance 
with applicable FMCSRs and HMRs, educate the carrier on how to comply 
with U.S. safety rules.

[[Page 279]]

    (c) Documents such as those contained in driver qualification files, 
records of duty status, vehicle maintenance records, drug and alcohol 
testing records, and other records are reviewed for compliance with the 
FMCSRs and HMRs. Violations are cited on the safety audit. Performance-
based information, when available, is utilized to evaluate the carrier's 
compliance with the vehicle regulations. Recordable accident information 
is also collected.

  III. Overall Determination of the Carrier's Basic Safety Management 
                                Controls

    (a) The carrier will not receive new entrant registration if FMCSA 
cannot:
    (1) Verify a controlled substances and alcohol testing program 
consistent with part 40 of this title;
    (2) Verify a system of compliance with the hours-of-service rules of 
this subchapter, including recordkeeping and retention;
    (3) Verify proof of financial responsibility;
    (4) Verify records of periodic vehicle inspections; and
    (5) Verify the qualifications of each driver the carrier intends to 
assign to operate commercial motor vehicles in the United States, as 
required by parts 383 and 391 of this subchapter, including confirming 
the validity of each driver's CDL, Canadian Commercial Driver's License, 
or Mexican Licencia de Federal de Conductor, as appropriate.
    (b) If FMCSA confirms each item under paragraphs III (a)(1) through 
(5) of this appendix, the carrier will receive new entrant registration, 
unless FMCSA finds the carrier has inadequate basic safety management 
controls in at least three separate factors described in part IV of this 
appendix. If FMCSA makes such a determination, the carrier's application 
for new entrant registration will be denied.

                 IV. Evaluation of Regulatory Compliance

    (a) During the safety audit, FMCSA gathers information by reviewing 
a motor carrier's compliance with ``acute'' and ``critical'' regulations 
of the FMCSRs and HMRs.
    (b) Acute regulations are those where noncompliance is so severe as 
to require immediate corrective actions by a motor carrier regardless of 
the overall basic safety management controls of the motor carrier.
    (c) Critical regulations are those where noncompliance relates to 
management and/or operational controls. These are indicative of 
breakdowns in a carrier's management controls.
    (d) The list of the acute and critical regulations, which are used 
in determining if a carrier has basic safety management controls in 
place, is included in Appendix B, VII, List of Acute and Critical 
Regulations to part 385 of this subchapter.
    (e) Noncompliance with acute and critical regulations are indicators 
of inadequate safety management controls and usually higher than average 
accident rates.
    (f) Parts of the FMCSRs and the HMRs having similar characteristics 
are combined together into six regulatory areas called ``factors.'' The 
regulatory factors, evaluated on the adequacy of the carrier's safety 
management controls, are:
    (1) Factor 1--General: Parts 387 and 390;
    (2) Factor 2--Driver: Parts 382, 383, and 391;
    (3) Factor 3--Operational: Parts 392 and 395;
    (4) Factor 4--Vehicle; Parts 393, 396 and inspection data for the 
last 12 months;
    (5) Factor 5--Hazardous Materials: Parts 171, 177, 180 and 397; and
    (6) Factor 6--Accident: Recordable Accident Rate per Million Miles.
    (g) For each instance of noncompliance with an acute regulation, 1.5 
points will be assessed.
    (h) For each instance of noncompliance with a critical regulation, 1 
point will be assessed.
    (i) Vehicle Factor. (1) When at least three vehicle inspections are 
recorded in the Motor Carrier Management Information System (MCMIS) 
during the twelve months before the safety audit or performed at the 
time of the review, the Vehicle Factor (part 396) will be evaluated on 
the basis of the Out-of-Service (OOS) rates and noncompliance with acute 
and critical regulations. The results of the review of the OOS rate will 
affect the Vehicle Factor as follows:
    (i) If the motor carrier has had at least three roadside inspections 
in the twelve months before the safety audit, and the vehicle OOS rate 
is 34 percent or higher, one point will be assessed against the carrier. 
That point will be added to any other points assessed for discovered 
noncompliance with acute and critical regulations of part 396 of this 
chapter to determine the carrier's level of safety management control 
for that factor.
    (ii) If the motor carrier's vehicle OOS rate is less than 34 
percent, or if there are less than three inspections, the determination 
of the carrier's level of safety management controls will only be based 
on discovered noncompliance with the acute and critical regulations of 
part 396 of this chapter.
    (2) Roadside inspection information is retained in the MCMIS and is 
integral to evaluating a motor carrier's ability to successfully 
maintain its vehicles, thus preventing being placed OOS during a 
roadside inspection. Each safety audit will continue to have the 
requirements of part 396 of this chapter, Inspection, Repair, and 
Maintenance, reviewed as indicated by the above explanation.

[[Page 280]]

    (j) Accident Factor. (1) In addition to the five regulatory factors, 
a sixth factor is included in the process to address the accident 
history of the motor carrier. This factor is the recordable accident 
rate, which the carrier has experienced during the past 12 months. 
Recordable accident, as defined in 49 CFR 390.5, means an accident 
involving a commercial motor vehicle operating on a public road in 
interstate or intrastate commerce which results in a fatality; a bodily 
injury to a person who, as a result of the injury, immediately receives 
medical treatment away from the scene of the accident; or one or more 
motor vehicles incurring disabling damage as a result of the accident 
requiring the motor vehicle to be transported away from the scene by a 
tow truck or other motor vehicle.
    (2) [Reserved]
    (3) The recordable accident rate will be used in determining the 
carrier's basic safety management controls in Factor 6, Accident. It 
will be used only when a carrier incurs two or more recordable accidents 
within the 12 months before the safety audit. An urban carrier (a 
carrier operating entirely within a radius of 100 air miles) with a 
recordable rate per million miles greater than 1.7 will be deemed to 
have inadequate basic safety management controls for the accident 
factor. All other carriers with a recordable accident rate per million 
miles greater than 1.5 will be deemed to have inadequate basic safety 
management controls for the accident factor. The rates are the result of 
roughly doubling the United States national average accident rate in 
Fiscal Years 1994, 1995, and 1996.
    (4) FMCSA will continue to consider preventability when a new 
entrant contests the evaluation of the accident factor by presenting 
compelling evidence that the recordable rate is not a fair means of 
evaluating its accident factor. Preventability will be determined 
according to the following standard: ``If a driver, who exercises normal 
judgment and foresight, could have foreseen the possibility of the 
accident that in fact occurred, and avoided it by taking steps within 
his/her control which would not have risked causing another kind of 
mishap, the accident was preventable.''
    (k) Factor Ratings. (1) The following table shows the five 
regulatory factors, parts of the FMCSRs and HMRs associated with each 
factor, and the accident factor. Each carrier's level of basic safety 
management controls with each factor is determined as follows:
    (i) Factor 1--General: Parts 390 and 387;
    (ii) Factor 2--Driver: Parts 382, 383, and 391;
    (iii) Factor 3--Operational: Parts 392 and 395;
    (iv) Factor 4--Vehicle: Parts 393, 396 and the Out of Service Rate;
    (v) Factor 5--Hazardous Materials: Part 171, 177, 180 and 397; and
    (vi) Factor 6--Accident: Recordable Accident Rate per Million Miles;
    (2) For paragraphs IV (k)(1)(i) through (v) of this appendix 
(Factors 1 through 5), if the combined violations of acute and/or 
critical regulations for each factor is equal to three or more points, 
the carrier is determined not to have basic safety management controls 
for that individual factor.
    (3) For paragraph IV (k)(1)(vi) of this appendix, if the recordable 
accident rate is greater than 1.7 recordable accidents per million miles 
for an urban carrier (1.5 for all other carriers), the carrier is 
determined to have inadequate basic safety management controls.
    (l) Notwithstanding FMCSA verification of the items listed in 
paragraphs III (a)(1) through (5) of this appendix, if the safety audit 
determines the carrier has inadequate basic safety management controls 
in at least three separate factors described in paragraph III of this 
appendix, the carrier's application for new entrant registration will be 
denied. For example, FMCSA evaluates a carrier finding:
    (1) One instance of noncompliance with a critical regulation in part 
387 scoring one point for Factor 1;
    (2) Two instances of noncompliance with acute regulations in part 
382 scoring three points for Factor 2;
    (3) Three instances of noncompliance with critical regulations in 
part 396 scoring three points for Factor 4; and
    (4) Three instances of noncompliance with acute regulations in parts 
171 and 397 scoring four and one-half (4.5) points for Factor 5.
    Under this example, the carrier will not receive new entrant 
registration because it scored three or more points for Factors 2, 4, 
and 5 and FMCSA determined the carrier had inadequate basic safety 
management controls in at least three separate factors.



   Subpart I_Safety Monitoring System for Non-North American Carriers

    Source: 73 FR 76494, Dec. 16, 2008, unless otherwise noted.



Sec.385.701  Definitions.

    The following definitions apply to this subpart:
    Compliance review means a compliance review as defined in Sec.
385.3 of this part.
    New entrant registration means the provisional registration under 
subpart H of this part that FMCSA grants to a non-North America-
domiciled motor

[[Page 281]]

carrier to provide interstate transportation within the United States. 
It will be revoked if the registrant is not assigned a Satisfactory 
safety rating following a compliance review conducted during the safety 
monitoring period established in this subpart.
    Non-North America-domiciled motor carrier means a motor carrier of 
property or passengers whose principal place of business is located in a 
country other than the United States, Canada or Mexico.



Sec.385.703  Safety monitoring system.

    (a) General. Each non-North America-domiciled carrier new entrant 
will be subject to an oversight program to monitor its compliance with 
applicable Federal Motor Carrier Safety Regulations (FMCSRs), Federal 
Motor Vehicle Safety Standards (FMVSSs), and Hazardous Materials 
Regulations (HMRs).
    (b) Roadside monitoring. Each non-North America-domiciled carrier 
new entrant will be subject to intensified monitoring through frequent 
roadside inspections.
    (c) Safety decal. Each non-North America-domiciled carrier must have 
on every commercial motor vehicle it operates in the United States a 
current decal attesting to a satisfactory North American Standard 
Commercial Vehicle inspection by a certified FMCSA or State inspector 
pursuant to 49 CFR 350.201(k). This requirement applies during the new 
entrant operating period and for three years after the carrier's 
registration becomes permanent following removal of its new entrant 
designation.
    (d) Compliance review. FMCSA will conduct a compliance review on a 
non-North America-domiciled carrier within 18 months after FMCSA issues 
the carrier a USDOT Number.



Sec.385.705  Expedited action.

    (a) A non-North America-domiciled motor carrier committing any of 
the following actions identified through roadside inspections, or by any 
other means, may be subjected to an expedited compliance review, or may 
be required to submit a written response demonstrating corrective 
action:
    (1) Using a driver not possessing, or operating without, a valid 
CDL, Canadian Commercial Driver's License, or Mexican Licencia Federal 
de Conductor. An invalid commercial driver's license includes one that 
is falsified, revoked, expired, or missing a required endorsement.
    (2) Operating a vehicle placed out of service for violations of the 
Federal Motor Carrier Safety Regulations without taking the necessary 
corrective action.
    (3) Being involved in, through action or omission, a hazardous 
materials reportable incident, as described under 49 CFR 171.15 or 
171.16, within the United States involving--
    (i) A highway route controlled quantity of certain radioactive 
materials (Class 7).
    (ii) Any quantity of certain explosives (Class 1, Division 1.1, 1.2, 
or 1.3).
    (iii) Any quantity of certain poison inhalation hazard materials 
(Zone A or B).
    (4) Being involved in, through action or omission, two or more 
hazardous materials reportable incidents, as described under 49 CFR 
171.15 or 171.16, occurring within the United States and involving any 
hazardous material not listed in paragraph (a)(3) of this section.
    (5) Using a driver who tests positive for controlled substances or 
alcohol or who refuses to submit to required controlled substances or 
alcohol tests.
    (6) Operating within the United States a commercial motor vehicle 
without the levels of financial responsibility required under part 387 
of this subchapter.
    (7) Having a driver or vehicle out-of-service rate of 50 percent or 
more based upon at least three inspections occurring within a 
consecutive 90-day period.
    (b) Failure to respond to an Agency demand for a written response 
demonstrating corrective action within 30 days will result in the 
suspension of the carrier's new entrant registration until the required 
showing of corrective action is submitted to the FMCSA.
    (c) A satisfactory response to a written demand for corrective 
action does not excuse a carrier from the requirement that it undergo a 
compliance review during the new entrant registration period.

[[Page 282]]



Sec.385.707  The compliance review.

    (a) The criteria used in a compliance review to determine whether a 
non-North America-domiciled new entrant exercises the necessary basic 
safety management controls are specified in appendix B to this part.
    (b) Satisfactory Rating. If FMCSA assigns a non-North America-
domiciled carrier a Satisfactory rating following a compliance review 
conducted under this subpart, FMCSA will provide the carrier written 
notice as soon as practicable, but not later than 45 days after the 
completion of the compliance review. The carrier's registration will 
remain in provisional status and its on-highway performance will 
continue to be closely monitored for the remainder of the 18-month new 
entrant registration period.
    (c) Conditional Rating. If FMCSA assigns a non-North America-
domiciled carrier a Conditional rating following a compliance review 
conducted under this subpart, it will initiate a revocation proceeding 
in accordance with Sec.385.709 of this subpart. The carrier's new 
entrant registration will not be suspended prior to the conclusion of 
the revocation proceeding.
    (d) Unsatisfactory Rating. If FMCSA assigns a non-North America-
domiciled carrier an Unsatisfactory rating following a compliance review 
conducted under this subpart, it will initiate a suspension and 
revocation proceeding in accordance with Sec.385.709 of this subpart.



Sec.385.709  Suspension and revocation of non-North America-domiciled 
carrier registration.

    (a) If a carrier is assigned an ``Unsatisfactory'' safety rating 
following a compliance review conducted under this subpart, FMCSA will 
provide the carrier written notice, as soon as practicable, that its 
registration will be suspended effective 15 days from the service date 
of the notice unless the carrier demonstrates, within 10 days of the 
service date of the notice, that the compliance review contains material 
error.
    (b) For purposes of this section, material error is a mistake or 
series of mistakes that resulted in an erroneous safety rating.
    (c) If the carrier demonstrates that the compliance review contained 
material error, its new entrant registration will not be suspended. If 
the carrier fails to show a material error in the compliance review, 
FMCSA will issue an Order:
    (1) Suspending the carrier's new entrant registration and requiring 
it to immediately cease all further operations in the United States; and
    (2) Notifying the carrier that its new entrant registration will be 
revoked unless it presents evidence of necessary corrective action 
within 30 days from the service date of the Order.
    (d) If a carrier is assigned a ``Conditional'' rating following a 
compliance review conducted under this subpart, the provisions of 
paragraphs (a) through (c) of this section will apply, except that its 
new entrant registration will not be suspended under paragraph (c)(1) of 
this section.
    (e) If a carrier subject to this subpart fails to provide the 
necessary documents for a compliance review upon reasonable request, or 
fails to submit evidence of the necessary corrective action as required 
by Sec.385.705 of this subpart, FMCSA will provide the carrier with 
written notice, as soon as practicable, that its new entrant 
registration will be suspended 15 days from the service date of the 
notice unless it provides all necessary documents or information. This 
suspension will remain in effect until the necessary documents or 
information is produced and:
    (1) The carrier is rated Satisfactory after a compliance review; or
    (2) FMCSA determines, following review of the carrier's response to 
a demand for corrective action under Sec.385.705, that the carrier has 
taken the necessary corrective action.
    (f) If a carrier commits any of the actions specified in Sec.
385.705(a) of this subpart after the removal of a suspension issued 
under this section, the suspension will be automatically reinstated. 
FMCSA will issue an Order requiring the carrier to cease further 
operations in the United States and demonstrate, within 15 days from the 
service date of the Order, that it did not commit the alleged action(s). 
If the carrier fails to demonstrate that it did not commit

[[Page 283]]

the action(s), FMCSA will issue an Order revoking its new entrant 
registration.
    (g) If FMCSA receives credible evidence that a carrier has operated 
in violation of a suspension order issued under this section, it will 
issue an Order requiring the carrier to show cause, within 10 days of 
the service date of the Order, why its new entrant registration should 
not be revoked. If the carrier fails to make the necessary showing, 
FMCSA will revoke its registration.
    (h) If a non-North America-domiciled motor carrier operates a 
commercial motor vehicle in violation of a suspension or out-of-service 
order, it is subject to the penalty provisions in 49 U.S.C. 
521(b)(2)(A), as adjusted by inflation, not to exceed amounts for each 
offense under part 386, Appendix B of this subchapter.
    (i) Notwithstanding any provision of this subpart, a carrier subject 
to this subpart is also subject to the suspension and revocation 
provisions of 49 U.S.C. 13905 for repeated violations of DOT regulations 
governing its motor carrier operations.



Sec.385.711  Administrative review.

    (a) A non-North America-domiciled motor carrier may request FMCSA to 
conduct an administrative review if it believes FMCSA has committed an 
error in assigning a safety rating or suspending or revoking the 
carrier's new entrant registration under this subpart.
    (b) The carrier must submit its request in writing, in English, to 
the Associate Administrator for Enforcement and Program Delivery, 
Federal Motor Carrier Safety Administration, 1200 New Jersey Avenue, 
SE., Washington DC 20590.
    (c) The carrier's request must explain the error it believes FMCSA 
committed in assigning the safety rating or suspending or revoking the 
carrier's new entrant registration and include any information or 
documents that support its argument.
    (d) FMCSA will complete its administrative review no later than 10 
days after the carrier submits its request for review. The Associate 
Administrator's decision will constitute the final Agency action.



Sec.385.713  Reapplying for new entrant registration.

    (a) A non-North America-domiciled motor carrier whose provisional 
new entrant registration has been revoked may reapply for new entrant 
registration no sooner than 30 days after the date of revocation.
    (b) If the provisional new entrant registration was revoked because 
the new entrant failed to receive a Satisfactory rating after undergoing 
a compliance review, the new entrant must do all of the following:
    (1) Submit an updated MCS-150.
    (2) Submit evidence that it has corrected the deficiencies that 
resulted in revocation of its registration and will otherwise ensure 
that it will have basic safety management controls in effect.
    (3) Successfully complete a pre-authorization safety audit in 
accordance with Sec.385.607(c) of this part.
    (4) Begin the 18-month new entrant monitoring cycle again as of the 
date the re-filed application is approved.
    (c) If the provisional new entrant registration was revoked because 
FMCSA found that the new entrant had failed to submit to a compliance 
review, it must do all of the following:
    (1) Submit an updated MCS-150.
    (2) Successfully complete a pre-authorization safety audit in 
accordance with Sec.385.607(c) of this part.
    (3) Begin the 18-month new entrant monitoring cycle again as of the 
date the re-filed application is approved.
    (4) Submit to a compliance review upon request.
    (d) If the new entrant is a for-hire carrier subject to the 
registration provisions under 49 U.S.C. 13901 and also has had its 
operating authority revoked, it must re-apply for operating authority as 
set forth in part 365 of this subchapter.

    Effective Date Note: At 78 FR 52650, Aug. 23, 2013, Sec.385.713 
was amended by revising paragraphs (b) introductory text, (b)(1), (c) 
introductory text, (c)(1), and (d), effective Aug. 23, 2015. For the 
convenience of the user, the revised text is set forth as follows:

[[Page 284]]



Sec.385.713  Reapplying for new entrant registration.

                                * * * * *

    (b) If the provisional new entrant registration was revoked because 
the new entrant failed to receive a Satisfactory rating after undergoing 
a compliance review, the new entrant must do all of the following:
    (1) Submit an updated Form MCSA-1, FMCSA Registration/Update (USDOT 
Number--Operating Authority Application);

                                * * * * *

    (c) If the provisional new entrant registration was revoked because 
FMCSA found the new entrant failed to submit to a compliance review, the 
new entrant must do all of the following:
    (1) Submit an updated Form MCSA-1, FMCSA Registration/Update (USDOT 
Number--Operating Authority Application);

                                * * * * *

    (d) If the new entrant is a for-hire carrier subject to the 
registration provisions under 49 U.S.C. 13901 and also has had its 
operating authority revoked, it must reapply for operating authority as 
set forth in Sec.390.201(b) and part 365 of this subchapter.



Sec.385.715  Duration of safety monitoring system.

    (a) Each non-North America-domiciled carrier subject to this subpart 
will remain in the safety monitoring system for at least 18 months from 
the date FMCSA issues its new entrant registration, except as provided 
in paragraphs (c) and (d) of this section.
    (b) If, at the end of this 18-month period, the carrier's most 
recent safety rating was Satisfactory and no additional enforcement or 
safety improvement actions are pending under this subpart, the non-North 
America-domiciled carrier's new entrant registration will become 
permanent.
    (c) If, at the end of this 18-month period, FMCSA has not been able 
to conduct a compliance review, the carrier will remain in the safety 
monitoring system until a compliance review is conducted. If the results 
of the compliance review are satisfactory, the carrier's new entrant 
registration will become permanent.
    (d) If, at the end of this 18-month period, the carrier's new 
entrant registration is suspended under Sec.385.709(a) of this 
subpart, the carrier will remain in the safety monitoring system until 
FMCSA either:
    (1) Determines that the carrier has taken corrective action; or
    (2) Completes measures to revoke the carrier's new entrant 
registration under Sec.385.709(c) of this subpart.



Sec.385.717  Applicability of safety fitness and enforcement procedures.

    At all times during which a non-North America-domiciled motor 
carrier is subject to the safety monitoring system in this subpart, it 
is also subject to the general safety fitness procedures established in 
subpart A of this part and to compliance and enforcement procedures 
applicable to all carriers regulated by the FMCSA.

Subpart J [Reserved]



  Sec. Appendix A to Part 385--Explanation of Safety Audit Evaluation 
                                Criteria

                               I. General

    (a) Section 210 of the Motor Carrier Safety Improvement Act (49 
U.S.C. 31144) directed the Secretary to establish a procedure whereby 
each owner and each operator granted new authority must undergo a safety 
review within 12 months after receipt of its US DOT number for motor 
carriers of property and 120 days for motor carriers of passengers. The 
Secretary was also required to establish the elements of this safety 
review, including basic safety management controls. The Secretary, in 
turn, delegated this to the FMCSA.
    (b) To meet the safety standard, a motor carrier must demonstrate to 
the FMCSA that it has basic safety management controls in place which 
function adequately to ensure minimum acceptable compliance with the 
applicable safety requirements. A ``safety audit evaluation criteria'' 
was developed by the FMCSA, which uses data from the safety audit and 
roadside inspections to determine that each owner and each operator 
applicant for new entrant registration, provisional operating authority, 
or provisional Certificate of Registration has basic safety management 
controls in place. The term ``safety audit'' is the equivalent to the 
``safety review'' required by Sec. 210. Using ``safety audit'' avoids 
any possible confusion with the safety reviews previously conducted by 
the agency that were discontinued on September 30, 1994.
    (c) The safety audit evaluation process developed by the FMCSA is 
used to:

[[Page 285]]

    1. Evaluate basic safety management controls and determine if each 
owner and each operator is able to operate safely in interstate 
commerce; and
    2. Identify owners and operators who are having safety problems and 
need improvement in their compliance with the FMCSRs and the HMRs, 
before they are granted permanent registration.

     II. Source of the Data for the Safety Audit Evaluation Criteria

    (a) The FMCSA's evaluation criteria are built upon the operational 
tool known as the safety audit. This tool was developed to assist 
auditors and investigators in assessing the adequacy of a new entrant's 
basic safety management controls.
    (b) The safety audit is a review of a Mexico-domiciled or new 
entrant motor carrier's operation and is used to:
    1. Determine if a carrier has the basic safety management controls 
required by 49 U.S.C. 31144;
    2. Meet the requirements of Section 350 of the DOT Appropriations 
Act; and
    3. In the event that a carrier is found not to be in compliance with 
applicable FMCSRs and HMRs, the safety audit can be used to educate the 
carrier on how to comply with U.S. safety rules.
    (c) Documents such as those contained in the driver qualification 
files, records of duty status, vehicle maintenance records, and other 
records are reviewed for compliance with the FMCSRs and HMRs. Violations 
are cited on the safety audit. Performance-based information, when 
available, is utilized to evaluate the carrier's compliance with the 
vehicle regulations. Recordable accident information is also collected.

  III. Determining if the Carrier Has Basic Safety Management Controls

    (a) During the safety audit, the FMCSA gathers information by 
reviewing a motor carrier's compliance with ``acute'' and ``critical'' 
regulations of the FMCSRs and HMRs.
    (b) Acute regulations are those where noncompliance is so severe as 
to require immediate corrective actions by a motor carrier regardless of 
the overall basic safety management controls of the motor carrier.
    (c) Critical regulations are those where noncompliance relates to 
management and/or operational controls. These are indicative of 
breakdowns in a carrier's management controls.
    (d) The list of the acute and critical regulations, which are used 
in determining if a carrier has basic safety management controls in 
place, is included in Appendix B, VII. List of Acute and Critical 
Regulations.
    (e) Noncompliance with acute and critical regulations are indicators 
of inadequate safety management controls and usually higher than average 
accident rates.
    (f) Parts of the FMCSRs and the HMRs having similar characteristics 
are combined together into six regulatory areas called ``factors.'' The 
regulatory factors, evaluated on the basis of the adequacy of the 
carrier's safety management controls, are:
    1. Factor 1--General: Parts 387 and 390;
    2. Factor 2--Driver: Parts 382, 383 and 391;
    3. Factor 3--Operational: Parts 392 and 395;
    4. Factor 4--Vehicle: Part 393, 396 and inspection data for the last 
12 months;
    5. Factor 5--Hazardous Materials: Parts 171, 177, 180 and 397; and
    6. Factor 6--Accident: Recordable Accident Rate per Million Miles.
    (g) For each instance of noncompliance with an acute regulation, 1.5 
points will be assessed.
    (h) For each instance of noncompliance with a critical regulation, 1 
point will be assessed.
    (i) FMCSA also gathers information on compliance with applicable 
household goods and Americans with Disabilities Act of 1990 
requirements, but failure to comply with these requirements does not 
affect the determination of the adequacy of basic safety management 
controls.

                            A. Vehicle Factor

    (a) When at least three vehicle inspections are recorded in the 
Motor Carrier Management Information System (MCMIS) during the twelve 
months before the safety audit or performed at the time of the review, 
the Vehicle Factor (Part 396) will be evaluated on the basis of the Out-
of-Service (OOS) rates and noncompliance with acute and critical 
regulations. The results of the review of the OOS rate will affect the 
Vehicle Factor as follows:
    1. If the motor carrier has had at least three roadside inspections 
in the twelve months before the safety audit, and the vehicle OOS rate 
is 34 percent or higher, one point will be assessed against the carrier. 
That point will be added to any other points assessed for discovered 
noncompliance with acute and critical regulations of part 396 to 
determine the carrier's level of safety management control for that 
factor; and
    2. If the motor carrier's vehicle OOS rate is less than 34 percent, 
or if there are less than three inspections, the determination of the 
carrier's level of safety management controls will only be based on 
discovered noncompliance with the acute and critical regulations of part 
396.
    (b) Over two million inspections occur on the roadside each year. 
This vehicle inspection information is retained in the MCMIS and is 
integral to evaluating motor carriers' ability to successfully maintain 
their vehicles, thus preventing them from being placed OOS during 
roadside inspections. Each safety

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audit will continue to have the requirements of part 396, Inspection, 
Repair, and Maintenance, reviewed as indicated by the above explanation.

                         B. The Accident Factor

    (a) In addition to the five regulatory factors, a sixth factor is 
included in the process to address the accident history of the motor 
carrier. This factor is the recordable accident rate, which the carrier 
has experienced during the past 12 months. Recordable accident, as 
defined in 49 CFR 390.5, means an accident involving a commercial motor 
vehicle operating on a public road in interstate or intrastate commerce 
which results in a fatality; a bodily injury to a person who, as a 
result of the injury, immediately receives medical treatment away from 
the scene of the accident; or one or more motor vehicles incurring 
disabling damage as a result of the accident requiring the motor vehicle 
to be transported away from the scene by a tow truck or other motor 
vehicle.
    (b) Experience has shown that urban carriers, those motor carriers 
operating entirely within a radius of less than 100 air miles (normally 
urban areas), have a higher exposure to accident situations because of 
their environment and normally have higher accident rates.
    (c) The recordable accident rate will be used in determining the 
carrier's basic safety management controls in Factor 6, Accident. It 
will be used only when a carrier incurs two or more recordable accidents 
within the 12 months before the safety audit. An urban carrier (a 
carrier operating entirely within a radius of 100 air miles) with a 
recordable rate per million miles greater than 1.7 will be deemed to 
have inadequate basic safety management controls for the accident 
factor. All other carriers with a recordable accident rate per million 
miles greater than 1.5 will be deemed to have inadequate basic safety 
management controls for the accident factor. The rates are the result of 
roughly doubling the national average accident rate in Fiscal Years 
1994, 1995, and 1996.
    (d) The FMCSA will continue to consider preventability when a new 
entrant contests the evaluation of the accident factor by presenting 
compelling evidence that the recordable rate is not a fair means of 
evaluating its accident factor. Preventability will be determined 
according to the following standard: ``If a driver, who exercises normal 
judgment and foresight, could have foreseen the possibility of the 
accident that in fact occurred, and avoided it by taking steps within 
his/her control which would not have risked causing another kind of 
mishap, the accident was preventable.''

                            C. Factor Ratings

    For Factors 1 through 5, if the combined violations of acute and or 
critical regulations for each factor is equal to three or more points, 
the carrier is determined not to have basic safety management controls 
for that individual factor.
    If the recordable accident rate is greater than 1.7 recordable 
accidents per million miles for an urban carrier (1.5 for all other 
carriers), the carrier is determined to have inadequate basic safety 
management controls.

   IV. Overall Determination of the Carrier's Basic Safety Management 
                                Controls

    (a) If the carrier is evaluated as having inadequate basic safety 
management controls in at least three separate factors, the carrier will 
be considered to have inadequate safety management controls in place and 
corrective action will be necessary in order to avoid having its new 
entrant registration, provisional operating authority, or provisional 
Certificate of Registration revoked.
    (b)For example, FMCSA evaluates a carrier finding:
    (1) One instance of noncompliance with a critical regulation in part 
387 scoring one point for Factor 1;
    (2) Two instances of noncompliance with acute regulations in part 
382 scoring three points for Factor 2;
    (3) Three instances of noncompliance with critical regulations in 
part 396 scoring three points for Factor 4; and
    (4) Three instances of noncompliance with acute regulations in parts 
171 and 397 scoring four and one-half (4.5) points for Factor 5.
    (c) In this example, the carrier scored three or more points for 
Factors 2, 4 and 5 and FMCSA determined the carrier had inadequate basic 
safety management controls in at least three separate factors. FMCSA 
will require corrective action in order to avoid having the carrier's 
new entrant registration revoked, or having the provisional operating 
authority or provisional Certificate of Registration suspended and 
possibly revoked.

[67 FR 12773, Mar. 19, 2002, as amended a6 67 FR 31985, May 13, 2002; 73 
FR 76496, Dec. 16, 2008; 78 FR 60232, Oct. 1, 2013]



    Sec. Appendix B to Part 385--Explanation of Safety Rating Process

    (a) Section 215 of the Motor Carrier Safety Act of 1984 (49 U.S.C. 
31144) directed the Secretary of Transportation to establish a procedure 
to determine the safety fitness of owners and operators of commercial 
motor vehicles operating in interstate or foreign commerce. The 
Secretary, in turn, delegated this responsibility to the Federal Motor 
Carrier Safety Administration (FMCSA).

[[Page 287]]

    (b) As directed, FMCSA promulgated a safety fitness regulation, 
entitled ``Safety Fitness Procedures,'' which established a procedure to 
determine the safety fitness of motor carriers through the assignment of 
safety ratings and established a ``safety fitness standard'' which a 
motor carrier must meet to obtain a satisfactory safety rating.
    (c) Critical regulations are those identified as such where 
noncompliance relates to management and/or operational controls. These 
are indicative of breakdowns in a carrier's management controls. An 
example of a critical regulation is Sec.395.3(a)(1), requiring or 
permitting a property-carrying commercial motor vehicle driver to drive 
more than 11 hours.
    (d) The safety rating process developed by FMCSA is used to:
    1. Evaluate safety fitness and assign one of three safety ratings 
(satisfactory, conditional, or unsatisfactory) to motor carriers 
operating in interstate commerce. This process conforms to 49 CFR 385.5, 
Safety fitness standard, and Sec.385.7, Factors to be considered in 
determining a safety rating.
    2. Identify motor carriers needing improvement in their compliance 
with the Federal Motor Carrier Safety Regulations (FMCSRs) and 
applicable Hazardous Materials Regulations (HMRs). These are carriers 
rated unsatisfactory or conditional.
    2. Identify motor carriers needing improvement in their compliance 
with the Federal Motor Carrier Safety Regulations (FMCSRs) and 
applicable Hazardous Materials Regulations (HMRs). These are carriers 
rated Unsatisfactory or Conditional.
    (e) The hazardous materials safety permit requirements of part 385, 
subpart E apply to intrastate motor carriers. Intrastate motor carriers 
that are subject to the hazardous materials safety permit requirements 
in subpart E will be rated using equivalent State requirements whenever 
the FMCSRs are referenced in this appendix.
    (f) The safety rating will be determined by applying the SFRM 
equally to all of a company's motor carrier operations in commerce, 
including if applicable its operations in Canada and/or Mexico.

                I. Source of Data for Rating Methodology

    (a) The FMCSA's rating process is built upon the operational tool 
known as the CR. This tool was developed to assist Federal and State 
safety specialists in gathering pertinent motor carrier compliance and 
accident information.
    (b) The CR is an in-depth examination of a motor carrier's 
operations and is used (1) to rate unrated motor carriers, (2) to 
conduct a follow-up investigation on motor carriers rated unsatisfactory 
or conditional as a result of a previous review, (3) to investigate 
complaints, or (4) in response to a request by a motor carrier to 
reevaluate its safety rating. Documents such as those contained in 
driver qualification files, records of duty status, vehicle maintenance 
records, and other records are thoroughly examined for compliance with 
the FMCSRs and HMRs. Violations are cited on the CR document. 
Performance-based information, when available, is utilized to evaluate 
the carrier's compliance with the vehicle regulations. Recordable 
accident information is also collected.

           II. Converting CR Information Into a Safety Rating

    (a) The FMCSA gathers information through an in-depth examination of 
the motor carrier's compliance with identified ``acute'' or ``critical'' 
regulations of the FMCSRs and HMRs.
    (b) Acute regulations are those identified as such where 
noncompliance is so severe as to require immediate corrective actions by 
a motor carrier regardless of the overall safety posture of the motor 
carrier. An example of an acute regulation is Sec.383.37(b), allowing, 
requiring, permitting, or authorizing an employee with more than one 
Commercial Driver's License (CDL) to operate a commercial motor vehicle. 
Noncompliance with Sec.383.37(b) is usually discovered when the motor 
carrier's driver qualification file reflects that the motor carrier had 
knowledge of a driver with more than one CDL, and still permitted the 
driver to operate a commercial motor vehicle. If the motor carrier did 
not have such knowledge or could not reasonably be expected to have such 
knowledge, then a violation would not be cited.
    (c) Critical regulations are those identified as such where 
noncompliance relates to management and/or operational controls. These 
are indicative of breakdowns in a carrier's management controls. An 
example of a critical regulation is Sec.395.3(a)(1), requiring or 
permitting a property-carrying commercial motor vehicle driver to drive 
more than 11 hours.
    (d) The list of the acute and critical regulations which are used in 
determining safety ratings is included at the end of this document.
    (e) Noncompliance with acute regulations and patterns of non-
compliance with critical regulations are quantitatively linked to 
inadequate safety management controls and usually higher than average 
accident rates. The FMCSA has used noncompliance with acute regulations 
and patterns of noncompliance with critical regulations since 1989 to 
determine motor carriers' adherence to the Safety fitness standard in 
Sec.385.5.
    (f) The regulatory factors, evaluated on the basis of the adequacy 
of the carrier's safety management controls, are: (1) Parts 172 and 173; 
(2) Parts 387 and 390; (3) Parts 382, 383, and 391; (4) Parts 392 and 
395; (5) Parts 393

[[Page 288]]

and 396 when there are less than three vehicle inspections in the last 
12 months to evaluate; and (6) Parts 397, 171, 177 and 180.
    (g) For each instance of noncompliance with an acute regulation or 
each pattern of noncompliance with a critical regulation during the CR, 
one point will be assessed. A pattern is more than one violation. When a 
number of documents are reviewed, the number of violations required to 
meet a pattern is equal to at least 10 percent of those examined.
    (h) However, each pattern of noncompliance with a critical 
regulation relative to Part 395, Hours of Service of Drivers, will be 
assessed two points.

                            A. Vehicle Factor

    (a) When a total of three or more inspections are recorded in the 
Motor Carrier Management Information System (MCMIS) during the twelve 
months prior to the CR or performed at the time of the review, the 
Vehicle Factor (Parts 393 and 396) will be evaluated on the basis of the 
Out-of-Service (OOS) rates and noncompliance with acute regulations and/
or a pattern of noncompliance with critical regulations. The results of 
the review of the OOS rate will affect the Vehicle Factor rating as 
follows:
    1. If a motor carrier has three or more roadside vehicle inspections 
in the twelve months prior to the carrier review, or three vehicles 
inspected at the time of the review, or a combination of the two 
totaling three or more, and the vehicle OOS rate is 34 percent or 
greater, the initial factor rating will be conditional. The requirements 
of Part 396, Inspection, Repair, and Maintenance, will be examined 
during each review. The results of the examination could lower the 
factor rating to unsatisfactory if noncompliance with an acute 
regulation or a pattern of noncompliance with a critical regulation is 
discovered. If the examination of the Part 396 requirements reveals no 
such problems with the systems the motor carrier is required to maintain 
for compliance, the Vehicle Factor remains conditional.
    2. If a carrier's vehicle OOS rate is less than 34 percent, the 
initial factor rating will be satisfactory. If noncompliance with an 
acute regulation or a pattern of noncompliance with a critical 
regulation is discovered during the examination of Part 396 
requirements, the factor rating will be lowered to conditional. If the 
examination of Part 396 requirements discovers no such problems with the 
systems the motor carrier is required to maintain for compliance, the 
Vehicle Factor remains satisfactory.
    (b) Nearly two million vehicle inspections occur on the roadside 
each year. This vehicle inspection information is retained in the MCMIS 
and is integral to evaluating motor carriers' ability to successfully 
maintain their vehicles, thus preventing them from being placed OOS 
during roadside inspections. Since many of the roadside inspections are 
targeted to visibly defective vehicles and since there are a limited 
number of inspections for many motor carriers, the use of that data is 
limited. Each CR will continue to have the requirements of Part 396, 
Inspection, Repair, and Maintenance, reviewed as indicated by the above 
explanation.

                           B. Accident Factor

    (a) In addition to the five regulatory rating factors, a sixth 
factor is included in the process to address the accident history of the 
motor carrier. This factor is the recordable accident rate for the past 
12 months. A recordable accident, consistent with the definition for 
``accident'' in 49 CFR 390.5, means an occurrence involving a commercial 
motor vehicle on a highway in motor carrier operations in commerce or 
within Canada or Mexico (if the motor carrier also operates in the 
United States) that results in a fatality; in bodily injury to a person 
who, as a result of the injury, immediately receives medical treatment 
away from the scene of the accident; or in one or more motor vehicles 
incurring disabling damage that requires the motor vehicle to be 
transported away from the scene by a tow truck or other motor vehicle.
    (b) Recordable accidents per million miles were computed for each CR 
performed in Fiscal Years 1994,1995 and 1996. The national average for 
all carriers rated was 0.747, and .839 for carriers operating entirely 
within the 100 air mile radius.
    (c) Experience has shown that urban carriers, those motor carriers 
operating primarily within a radius of less than 100 air miles (normally 
in urban areas) have a higher exposure to accident situations because of 
their environment and normally have higher accident rates.
    (d) The recordable accident rate will be used to rate Factor 6, 
Accident. It will be used only when a motor carrier incurs two or more 
recordable accidents occurred within the 12 months prior to the CR. An 
urban carrier (a carrier operating entirely within a radius of 100 air 
miles) with a recordable accident rate greater than 1.7 will receive an 
unsatisfactory rating for the accident factor. All other carriers with a 
recordable accident rate greater than 1.5 will receive an unsatisfactory 
factor rating. The rates are a result of roughly doubling the national 
average accident rate for each type of carrier rated in Fiscal Years 
1994, 1995 and 1996.
    (e) The FMCSA will continue to consider preventability when a motor 
carrier contests a rating by presenting compelling evidence that the 
recordable rate is not a fair means of evaluating its accident factor. 
Preventability will be determined according to the following standard: 
``If a driver, who exercises normal judgment and foresight could

[[Page 289]]

have foreseen the possibility of the accident that in fact occurred, and 
avoided it by taking steps within his/her control which would not have 
risked causing another kind of mishap, the accident was preventable.''

                            C. Factor Ratings

    (a) Parts of the FMCSRs and the HMRs having similar characteristics 
are combined together into five regulatory areas called ``factors.''
    (b) The following table shows the five regulatory factors, parts of 
the FMCSRs and HMRs associated with each factor, and the accident 
factor. Factor Ratings are determined as follows:

                                 Factors

Factor 1 General=Parts 387 and 390
Factor 2 Driver=Parts 382, 383 and 391
Factor 3 Operational=Parts 392 and 395
Factor 4 Vehicle=Parts 393 and 396
Factor 5 Haz. Mat.=Parts 397, 171, 177 and 180
Factor 6 Accident Factor=Recordable Rate

``Satisfactory''--if the acute and/or critical=0 points
``Conditional''--if the acute and/or critical=1 point
``Unsatisfactory''--if the acute and/or critical=2 or more points

                           III. Safety Rating

                             A. Rating Table

    (a) The ratings for the six factors are then entered into a rating 
table which establishes the motor carrier's safety rating.
    (b) The FMCSA has developed a computerized rating formula for 
assessing the information obtained from the CR document and is using 
that formula in assigning a safety rating.

                    Motor Carrier Safety Rating Table
------------------------------------------------------------------------
                   Factor ratings
-----------------------------------------------------   Overall Safety
         Unsatisfactory               Conditional           rating
------------------------------------------------------------------------
0...............................  2 or fewer........  Satisfactory
0...............................  more than 2.......  Conditional
1...............................  2 or fewer........  Conditional
1...............................  more than 2.......  Unsatisfactory
2 or more.......................  0 or more.........  Unsatisfactory
------------------------------------------------------------------------

                        B. Proposed Safety Rating

    (a) The proposed safety rating will appear on the CR. The following 
appropriate information will appear after the last entry on the CR, MCS-
151, part B.
    ``Your proposed safety rating is SATISFACTORY.''

                                   OR

    ``Your proposed safety rating is CONDITIONAL.'' The proposed safety 
rating will become the final safety rating 45 days after you receive 
this notice.

                                   OR

    ``Your proposed safety rating is UNSATISFACTORY.'' The proposed 
safety rating will become the final safety rating 45 days after you 
receive this notice
    (b) Proposed safety ratings of conditional or unsatisfactory will 
list the deficiencies discovered during the CR for which corrective 
actions must be taken.
    (c) Proposed unsatisfactory safety ratings will indicate that, if 
the unsatisfactory rating becomes final, the motor carrier will be 
subject to the provision of Sec.385.13, which prohibits motor carriers 
rated unsatisfactory from transporting hazardous materials requiring 
placarding or more than 15 passengers, including the driver.

        IV. Assignment of Final Rating/Motor Carrier Notification

    When the official rating is determined in Washington, D.C., the 
FMCSA notifies the motor carrier in writing of its safety rating as 
prescribed in Sec.385.11. A proposed conditional safety rating (which 
is an improvement of an existing unsatisfactory rating) becomes 
effective as soon as the official safety rating from Washington, D.C. is 
issued, and the carrier may also avail itself of relief under the Sec.
385.15, Administrative Review and Sec.385.17, Change to safety rating 
based on corrective actions.

        V. Motor Carrier Rights to a Change in the Safety Rating

    Under Sec. Sec.385.15 and 385.17, motor carriers have the right to 
petition for a review of their ratings if there are factual or 
procedural disputes, and to request another review after corrective 
actions have been taken. They are the procedural avenues a motor carrier 
which believes its safety rating to be in error may exercise, and the 
means to request another review after corrective action has been taken.

                             VI. Conclusion

    (a) The FMCSA believes this ``safety fitness rating methodology'' is 
a reasonable approach for assigning a safety rating which best describes 
the current safety fitness posture of a motor carrier as required by the 
safety fitness regulations (Sec.385.9). This methodology has the 
capability to incorporate regulatory changes as they occur.
    (b) Improved compliance with the regulations leads to an improved 
rating, which in turn increases safety. This increased safety is our 
regulatory goal.

[[Page 290]]

              VII. List of Acute and Critical Regulations.

Sec.382.115(a) Failing to implement an alcohol and/or controlled 
substances testing program (domestic motor carrier) (acute).
Sec.382.115(b) Failing to implement an alcohol and/or controlled 
substances testing program (foreign motor carrier) (acute).
Sec.382.201 Using a driver known to have an alcohol concentration of 
0.04 or greater (acute).
Sec.382.211 Using a driver who has refused to submit to an alcohol or 
controlled substances test required under part 382 (acute).
Sec.382.213(b) Using a driver known to have used a controlled 
substance (acute).
Sec.382.215 Using a driver known to have tested positive for a 
controlled substance (acute).
Sec.382.301(a) Using a driver before the motor carrier has received a 
negative pre-employment controlled substance test result (critical).
Sec.382.303(a) Failing to conduct post accident testing on driver for 
alcohol (critical).
Sec.382.303(b) Failing to conduct post accident testing on driver for 
controlled substances (critical).
Sec.382.305 Failing to implement a random controlled substances and/or 
an alcohol testing program (acute).
Sec.382.305(b)(1) Failing to conduct random alcohol testing at an 
annual rate of not less than the applicable annual rate of the average 
number of driver positions (critical).
Sec.382.305(b)(2) Failing to conduct random controlled substances 
testing at an annual rate of not less than the applicable annual rate of 
the average number of driver positions (critical).
Sec.382.309(a) Using a driver who has not undergone a return-to-duty 
alcohol test with a result indicating an alcohol concentration of less 
than 0.02 (acute).
Sec.382.309(b) Using a driver who has not undergone a return-to-duty 
controlled substances test with a result indicating a verified negative 
result for controlled substances (acute).
Sec.382.503 Allowing a driver to perform safety sensitive function, 
after engaging in conduct prohibited by subpart B, without being 
evaluated by substance abuse professional, as required by Sec.382.605 
(critical).
Sec.382.505(a) Using a driver within 24 hours after being found to 
have an alcohol concentration of 0.02 or greater but less than 0.04 
(acute).
Sec.382.605(c)(1) Using a driver who has not undergone a return-to-
duty alcohol test with a result indicating an alcohol concentration of 
less than .02 or with verified negative test result, after engaging in 
conduct prohibited by part 382 subpart B (acute).
Sec.382.605(c)(2)(ii) Failing to subject a driver who has been 
identified as needing assistance to at least six unannounced follow-up 
alcohol and/or controlled substance tests in the first 12 months 
following the driver's return to duty (critical).
Sec.383.23(a) Operating a commercial motor vehicle without a valid 
commercial driver's license (critical).
Sec.383.37(a) Knowingly allowing, requiring, permitting, or 
authorizing an employee who does not have a current CLP or CDL, who does 
not have a CLP or CDL with the proper class or endorsements, or who 
operates a CMV in violation of any restriction on the CLP or CDL to 
operate a CMV (acute).
Sec.383.37(b) Knowingly allowing, requiring, permitting, or 
authorizing an employee with a commercial driver's license which is 
suspended, revoked, or canceled by a state or who is disqualified to 
operate a commercial motor vehicle (acute).
Sec.383.37(c) Knowingly allowing, requiring, permitting, or 
authorizing an employee with more than one commercial driver's license 
to operate a commercial motor vehicle (acute).
Sec.383.51(a) Knowingly allowing, requiring, permitting, or 
authorizing a driver to drive who is disqualified to drive a commercial 
motor vehicle (acute).
Sec.387.7(a) Operating a motor vehicle without having in effect the 
required minimum levels of financial responsibility coverage (acute).
Sec.387.7(d) Failing to maintain at principal place of business 
required proof of financial responsibility (critical).
Sec.387.31(a) Operating a passenger carrying vehicle without having in 
effect the required minimum levels of financial responsibility (acute).
Sec.387.31(d) Failing to maintain at principal place of business 
required proof of financial responsibility for passenger carrying 
vehicles (critical).
Sec.390.15(b)(2) Failing to maintain copies of all accident reports 
required by State or other governmental entities or insurers (critical).
Sec.390.35 Making, or causing to make fraudulent or intentionally 
false statements or records and/or reproducing fraudulent records 
(acute).
Sec.391.11(b)(4) Using a physically unqualified driver (acute).
Sec.391.15(a) Using a disqualified driver (acute).
Sec.391.45(a) Using a driver not medically examined and certified 
(critical).
Sec.391.45(b)(1) Using a driver not medically examined and certified 
during the preceding 24 months (critical).
Sec.391.51(a) Failing to maintain driver qualification file on each 
driver employed (critical).

[[Page 291]]

Sec.391.51(b)(2) Failing to maintain inquiries into driver's driving 
record in driver's qualification file (critical).
Sec.391.51(b)(7) Failing to maintain medical examiner's certificate in 
driver's qualification file (critical).
Sec.392.2 Operating a motor vehicle not in accordance with the laws, 
ordinances, and regulations of the jurisdiction in which it is being 
operated (critical).
Sec.392.4(b) Requiring or permitting a driver to drive while under the 
influence of, or in possession of, a narcotic drug, amphetamine, or any 
other substance capable of rendering the driver incapable of safely 
operating a motor vehicle (acute).
Sec.392.5(b)(1) Requiring or permitting a driver to drive a motor 
vehicle while under the influence of, or in possession of, an 
intoxicating beverage (acute).
Sec.392.5(b)(2) Requiring or permitting a driver who shows evidence of 
having consumed an intoxicating beverage within 4 hours to operate a 
motor vehicle (acute).
Sec.392.6 Scheduling a run which would necessitate the vehicle being 
operated at speeds in excess of those prescribed (critical).
Sec.392.9(a)(1) Requiring or permitting a driver to drive without the 
vehicle's cargo being properly distributed and adequately secured 
(critical).
Sec.395.1(h)(1)(i) Requiring or permitting a property-carrying 
commercial motor vehicle driver to drive more than 15 hours (Driving in 
Alaska) (critical).
Sec.395.1(h)(1)(ii) Requiring or permitting a property-carrying 
commercial motor vehicle driver to drive after having been on duty 20 
hours (Driving in Alaska) (critical).
Sec.395.1(h)(1)(iii) Requiring or permitting a property-carrying 
commercial motor vehicle driver to drive after having been on duty more 
than 70 hours in 7 consecutive days (Driving in Alaska) (critical).
Sec.395.1(h)(1)(iv) Requiring or permitting a property-carrying 
commercial motor vehicle driver to drive after having been on duty more 
than 80 hours in 8 consecutive days (Driving in Alaska) (critical).
Sec.395.1(h)(2)(i) Requiring or permitting a passenger-carrying 
commercial motor vehicle driver to drive more than 15 hours (Driving in 
Alaska) (critical).
Sec.395.1(h)(2)(ii) Requiring or permitting a passenger-carrying 
commercial motor vehicle driver to drive after having been on duty 20 
hours (Driving in Alaska) (critical).
Sec.395.1(h)(2)(iii) Requiring or permitting a passenger-carrying 
commercial motor vehicle driver to drive after having been on duty more 
than 70 hours in 7 consecutive days (Driving in Alaska) (critical).
Sec.395.1(h)(2)(iv) Requiring or permitting a passenger-carrying 
commercial motor vehicle driver to drive after having been on duty more 
than 80 hours in 8 consecutive days (Driving in Alaska) (critical).
Sec.395.1(o) Requiring or permitting a property-carrying commercial 
motor vehicle driver to drive after having been on duty 16 consecutive 
hours (critical).
Sec.395.3(a)(1) Requiring or permitting a property-carrying commercial 
motor vehicle driver to drive without taking an off-duty period of at 
least 10 consecutive hours prior to driving (critical).
Sec.395.3(a)(2) Requiring or permitting a property-carrying commercial 
motor vehicle driver to drive after the end of the 14th hour after 
coming on duty (critical).
Sec.395.3(a)(3)(i) Requiring or permitting a property-carrying 
commercial motor vehicle driver to drive more than 11 hours (critical).
Sec.395.3(a)(3)(ii) Requiring or permitting a property-carrying 
commercial motor vehicle driver to drive if more than 8 hours have 
passed since the end of the driver's last off-duty or sleeper-berth 
period of at least 30 minutes (critical).
Sec.395.3(b)(1) Requiring or permitting a property-carrying commercial 
motor vehicle driver to drive after having been on duty more than 60 
hours in 7 consecutive days (critical).
Sec.395.3(b)(2) Requiring or permitting a property-carrying commercial 
motor vehicle driver to drive after having been on duty more than 70 
hours in 8 consecutive days (critical).
Sec.395.5(a)(1) Requiring or permitting a passenger-carrying 
commercial motor vehicle driver to drive more than 10 hours (critical).
Sec.395.5(a)(2) Requiring or permitting a passenger-carrying 
commercial motor vehicle driver to drive after having been on duty 15 
hours (critical).
Sec.395.5(b)(1) Requiring or permitting a passenger-carrying 
commercial motor vehicle driver to drive after having been on duty more 
than 60 hours in 7 consecutive days (critical).
Sec.395.5(b)(2) Requiring or permitting a passenger-carrying 
commercial motor vehicle driver to drive after having been on duty more 
than 70 hours in 8 consecutive days (critical).
Sec.395.8(a) Failing to require driver to make a record of duty status 
(critical).
Sec.395.8(e) False reports of records of duty status (critical).
Sec.395.8(i) Failing to require driver to forward within 13 days of 
completion, the original of the record of duty status (critical).
Sec.395.8(k)(1) Failing to preserve driver's record of duty status for 
6 months (critical).
Sec.395.8(k)(1) Failing to preserve driver's records of duty status 
supporting documents for 6 months (critical).
Sec.396.3(b) Failing to keep minimum records of inspection and vehicle 
maintenance (critical).

[[Page 292]]

Sec.396.9(c)(2) Requiring or permitting the operation of a motor 
vehicle declared ``out-of-service'' before repairs were made (acute).
Sec.396.11(a) Failing to require driver to prepare driver vehicle 
inspection report (critical).
Sec.396.11(c) Failing to correct Out-of-Service defects listed by 
driver in a driver vehicle inspection report before the vehicle is 
operated again (acute).
Sec.396.17(a) Using a commercial motor vehicle not periodically 
inspected (critical).
Sec.396.17(g) Failing to promptly repair parts and accessories not 
meeting minimum periodic inspection standards (acute).
Sec.397.5(a) Failing to ensure a motor vehicle containing Division 
1.1, 1.2, or 1.3 (explosive) material is attended at all times by its 
driver or a qualified representative (acute).
Sec.397.7(a)(1) Parking a motor vehicle containing Division 1.1, 1.2, 
or 1.3 materials within 5 feet of traveled portion of highway or street 
(critical).
Sec.397.7(b) Parking a motor vehicle containing hazardous material(s) 
other than Division 1.1, 1.2, or 1.3 materials within 5 feet of traveled 
portion of highway or street (critical).
Sec.397.13(a) Permitting a person to smoke or carry a lighted 
cigarette, cigar or pipe within 25 feet of a motor vehicle containing 
Class 1 materials, Class 5 materials, or flammable materials classified 
as Division 2.1, Class 3, Divisions 4.1 and 4.2 (critical).
Sec.397.19(a) Failing to furnish driver of motor vehicle transporting 
Division 1.1, 1.2, or 1.3 (explosive) materials with a copy of the rules 
of part 397 and/or emergency response instructions (critical).
Sec.397.67(d) Requiring or permitting the operation of a motor vehicle 
containing explosives in Class 1, Divisions 1.1, 1.2, or 1.3 that is not 
accompanied by a written route plan (critical).
Sec.397.101(d) Requiring or permitting the operation of a motor 
vehicle containing highway route-controlled quantity, as defined in 
Sec.173.403, of radioactive materials that is not accompanied by a 
written route plan.
Sec.171.15 Carrier failing to give immediate telephone notice of an 
incident involving hazardous materials (critical).
Sec.171.16 Carrier failing to make a written report of an incident 
involving hazardous materials (critical).
Sec.172.313(a) Accepting for transportation or transporting a package 
containing a poisonous-by-inhalation material that is not marked with 
the words ``Inhalation Hazard'' (acute).
Sec.172.704(a)(4) Failing to provide security awareness training 
(critical).
Sec.172.704(a)(5) Failing to provide in-depth security awareness 
training (critical).
Sec.172.800(b) Transporting HM without a security plan (acute).
Sec.172.800(b) Transporting HM without a security plan that conforms 
to Subpart I requirements (acute).
Sec.172.800(b) Failure to adhere to a required security plan (acute).
Sec.172.802(b) Failure to make copies of security plan available to 
hazmat employees (critical).
Sec.173.24(b)(1) Accepting for transportation or transporting a 
package that has an identifiable release of a hazardous material to the 
environment (acute).
Sec.173.421(a) Accepting for transportation or transporting a Class 7 
(radioactive) material described, marked, and packaged as a limited 
quantity when the radiation level on the surface of the package exceeds 
0.005mSv/hour (0.5 mrem/hour) (acute).
Sec.173.431(a) Accepting for transportation or transporting in a Type 
A packaging a greater quantity of Class 7 (radioactive) material than 
authorized (acute).
Sec.173.431(b) Accepting for transportation or transporting in a Type 
B packaging a greater quantity of Class 7 (radioactive) material than 
authorized (acute).
Sec.173.441(a) Accepting for transportation or transporting a package 
containing Class 7 (radioactive) material with external radiation 
exceeding allowable limits (acute).
Sec.173.442(b) Accepting for transportation or transporting a package 
containing Class 7 (radioactive) material when the temperature of the 
accessible external surface of the loaded package exceeds 50 [deg]C (122 
[deg]F) in other than an exclusive use shipment, or 85 [deg]C (185 
[deg]F) in an exclusive use shipment (acute).
Sec.173.443(a) Accepting for transportation or transporting a package 
containing Class 7 (radioactive) material with removable contamination 
on the external surfaces of the package in excess of permissible limits 
(acute).
Sec.177.800(c) Failing to instruct a category of employees in 
hazardous materials regulations (critical).
Sec.177.801 Accepting for transportation or transporting a forbidden 
material (acute).
Sec.177.835(a) Loading or unloading a Class 1 (explosive) material 
with the engine running (acute).
Sec.177.835(c) Accepting for transportation or transporting Division 
1.1, 1.2, or 1.3 (explosive) materials in a motor vehicle or combination 
of vehicles that is not permitted (acute).
Sec.177.835(j) Transferring Division 1.1, 1.2, or 1.3 (explosive) 
materials between containers or motor vehicles when not permitted 
(acute).
Sec.177.817(a) Transporting a shipment of hazardous materials not 
accompanied by a properly prepared shipping paper (critical).

[[Page 293]]

Sec.177.817(e) Failing to maintain proper accessibility of shipping 
papers (critical).
Sec.177.823(a) Moving a transport vehicle containing hazardous 
material that is not properly marked or placarded (critical).
Sec.177.841(e) Transporting a package bearing a poison label in the 
same transport vehicle with material marked or known to be foodstuff, 
feed, or any edible material intended for consumption by humans or 
animals unless an exception in Sec.177.841(e)(i) or (ii) is met 
(acute).
Sec.180.407(a) Transporting a shipment of hazardous material in cargo 
tank that has not been inspected or retested in accordance with Sec.
180.407 (critical).
Sec.180.407(c) Failing to periodically test and inspect a cargo tank 
(critical).
Sec.180.415 Failing to mark a cargo tank which passed an inspection or 
test required by Sec.180.407 (critical).
Sec.180.417(a)(1) Failing to retain cargo tank manufacturer's data 
report certificate and related papers, as required (critical).
Sec.180.417(a)(2) Failing to retain copies of cargo tank 
manufacturer's certificate and related papers (or alternative report) as 
required (critical).

[62 FR 60043, Nov. 6, 1997, as amended at 63 FR 62959, Nov. 10, 1998; 65 
FR 11907, Mar. 7, 2000; 68 FR 22513, Apr. 28, 2003; 70 FR 50070, Aug. 
25, 2005; 72 FR 36789, July 5, 2007; 72 FR 71269, Dec. 17, 2007; 75 FR 
17244, Apr. 5, 2010; 76 FR 26897, May 9, 2011; 76 FR 81186, Dec. 27, 
2011; 77 FR 28450, 28454, May 14, 2012; 77 FR 59826, Oct. 1, 2012]



PART 386_RULES OF PRACTICE FOR MOTOR CARRIER, INTERMODAL EQUIPMENT
PROVIDER, BROKER, FREIGHT FORWARDER, AND HAZARDOUS MATERIALS 
PROCEEDINGS--Table of Contents



      Subpart A_Scope of Rules; Definitions and General Provisions

Sec.
386.1 Scope of the rules in this part.
386.2 Definitions.
386.3 Separation of functions.
386.4 Appearances and rights of parties.
386.5 Form of filings and extensions of time.
386.6 Service.
386.7 Filing of documents.
386.8 Computation of time.

            Subpart B_Commencement of Proceedings, Pleadings

386.11 Commencement of proceedings.
386.12 Complaint.
386.13 Petitions to review and request for hearing: Driver qualification 
          proceedings.
386.14 Reply.
386.15 [Reserved]
386.16 Action on replies to the Notice of Claim.
386.17 Intervention.
386.18 Payment of the claim.

                     Subpart C_Settlement Agreements

386.22 Settlement agreements and their contents.

                  Subpart D_General Rules and Hearings

386.31 Official notice.
386.34 Motions.
386.35 Motions to dismiss and motions for a more definite statement.
386.36 Motions for final agency order.
386.37 Discovery.
386.38 Scope of discovery.
386.39 Protective orders.
386.40 Supplementation of responses.
386.41 Stipulations regarding discovery.
386.42 Written interrogatories to parties.
386.43 Production of documents and other evidence; entry upon land for 
          inspection and other purposes; and physical and mental 
          examination.
386.44 Request for admissions.
386.45 Motion to compel discovery.
386.46 Depositions.
386.47 Use of deposition at hearings.
386.48 Medical records and physicians' reports.
386.49 Form of written evidence.
386.51 Amendment and withdrawal of pleadings.
386.52 Appeals from interlocutory rulings.
386.53 Subpoenas, witness fees.
386.54 Administrative law judge.
386.55 Prehearing conferences.
386.56 Hearings.
386.57 Proposed findings of fact, conclusions of law.
386.58 Burden of proof.

                           Subpart E_Decision

386.61 Decision.
386.62 Review of administrative law judge's decision.
386.63 Decision on review.
386.64 Reconsideration.
386.65 Failure to comply with final order.
386.66 Motions for rehearing or for modification.
386.67 Judicial review.

               Subpart F_Injunctions and Imminent Hazards

386.71 Injunctions.
386.72 Imminent hazard.
386.73 Operations out of service and record consolidation proceedings 
          (reincarnated carriers).

[[Page 294]]

                           Subpart G_Penalties

386.81 General.
386.82 Civil penalties for violations of notices and orders.
386.83 Sanction for failure to pay civil penalties or abide by payment 
          plan; operation in interstate commerce prohibited.
386.84 Sanction for failure to pay civil penalties or abide by payment 
          plan; suspension or revocation of registration.

Appendix A to Part 386--Penalty Schedule; Violations of Notices and 
          Orders
Appendix B to Part 386--Penalty Schedule; Violations and Monetary 
          Penalties

    Authority: 49 U.S.C. 113, chapters 5, 51, 59, 131-141, 145-149, 311, 
313, and 315; Sec. 204, Pub. L. 104-88, 109 Stat. 803, 941 (49 U.S.C. 
701 note); Sec. 217, Pub. L. 105-159, 113 Stat. 1748, 1767; Sec. 206, 
Pub. L. 106-159, 113 Stat. 1763; subtitle B, title IV of Pub. L. 109-59; 
and 49 CFR 1.81 and 1.87.

    Source: 50 FR 40306, Oct. 2, 1985, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 386 appear at 65 FR 
7755, Feb. 16, 2000, and 66 FR 49873, Oct. 1, 2001.



      Subpart A_Scope of Rules; Definitions and General Provisions



Sec.386.1  Scope of the rules in this part.

    (a) The rules in this part govern proceedings before the Assistant 
Administrator, who also acts as the Chief Safety Officer of the Federal 
Motor Carrier Safety Administration (FMCSA), under applicable provisions 
of the Federal Motor Carrier Safety Regulations (FMCSRs) (49 CFR parts 
350-399), including the commercial regulations (49 CFR parts 360-379), 
and the Hazardous Materials Regulations (49 CFR parts 171-180).
    (b) The purpose of the proceedings is to enable the Assistant 
Administrator:
    (1) To determine whether a motor carrier, intermodal equipment 
provider (as defined in Sec.390.5 of this chapter), property broker, 
freight forwarder, or its agents, employees, or any other person subject 
to the jurisdiction of FMCSA, has failed to comply with the provisions 
or requirements of applicable statutes and the corresponding 
regulations; and
    (2) To issue an appropriate order to compel compliance with the 
statute or regulation, assess a civil penalty, or both, if such 
violations are found.

[73 FR 76819, Dec. 17, 2008]



Sec.386.2  Definitions.

    Abate or abatement means to discontinue regulatory violations by 
refraining from or taking actions identified in a notice to correct 
noncompliance.
    Administration means the Federal Motor Carrier Safety 
Administration.
    Administrative adjudication means a process or proceeding to resolve 
contested claims in conformity with the Administrative Procedure Act, 5 
U.S.C. 554-558.
    Administrative law judge means an administrative law judge appointed 
pursuant to the provisions of 5 U.S.C. 3105.
    Agency means the Federal Motor Carrier Safety Administration.
    Agency Counsel means the attorney who prosecutes a civil penalty 
matter on behalf of the Field Administrator.
    Assistant Administrator means the Assistant Administrator of the 
Federal Motor Carrier Safety Administration. The Assistant Administrator 
is the Chief Safety Officer of the agency pursuant to 49 U.S.C. 113(e). 
Decisions of the Assistant Administrator in motor carrier, broker, 
freight forwarder, and hazardous materials proceedings under this part 
are administratively final.
    Broker means a person who, for compensation, arranges or offers to 
arrange the transportation of property by an authorized motor carrier. A 
motor carrier, or person who is an employee or bona fide agent of a 
carrier, is not a broker within the meaning of this section when it 
arranges or offers to arrange the transportation of shipments which it 
is authorized to transport and which it has accepted and legally bound 
itself to transport.
    Civil forfeiture proceedings means proceedings to collect civil 
penalties for violations under the Commercial Motor Vehicle Safety Act 
of 1986 (49 U.S.C. Chapter 313); the Hazardous Materials Transportation 
Act of 1975, as amended (49 U.S.C. Chapter 51); the Motor Carrier Safety 
Act of 1984 (49 U.S.C. Chapter 311, Subchapter III); section 18 of the 
Bus Regulatory Reform Act of 1982 (49 U.S.C. 31138); section 30 of the 
Motor Carrier Act of 1980

[[Page 295]]

(49 U.S.C. 31139); and the ICC Termination Act of 1995 (49 U.S.C. 
Chapters 131-149).
    Civil penalty proceedings means proceedings to collect civil 
penalties for violations of regulations and statutes within the 
jurisdiction of FMCSA.
    Claimant means the representative of the Federal Motor Carrier 
Safety Administration authorized to make claims.
    Commercial regulations means statutes and regulations that apply to 
persons providing or arranging transportation for compensation subject 
to the Secretary's jurisdiction under 49 U.S.C. Chapter 135. The 
statutes are codified in Part B of Subtitle IV, Title 49, U.S.C. (49 
U.S.C. 13101 through 14913). The regulations include those issued by the 
Federal Motor Carrier Safety Administration or its predecessors under 
authority provided in 49 U.S.C. 13301 or a predecessor statute.
    Decisionmaker means the Assistant Administrator of FMCSA, acting in 
the capacity of the decisionmaker or any person to whom the Assistant 
Administrator has delegated his/her authority in a civil penalty 
proceeding. As used in this subpart, the Agency decisionmaker is the 
official authorized to issue a final decision and order of the Agency in 
a civil penalty proceeding.
    Default means an omission or failure to perform a legal duty within 
the time specified for action, failure to reply to a Notice of Claim 
within the time required, or failure to submit a reply in accordance 
with the requirements of this part. A default may result in issuance of 
a Final Agency Order or additional penalties against the defaulting 
party.
    Department means the U.S. Department of Transportation.
    Docket Operations means the U.S. Department of Transportation's 
docket management system, which is the central repository for original 
copies of all documents filed before the agency decisionmaker.
    Driver qualification proceeding means a proceeding commenced under 
49 CFR 391.47 or by issuance of a letter of disqualification.
    Federal Motor Carrier Commercial Regulations (FMCCRs) means statutes 
and regulations applying to persons providing or arranging 
transportation for compensation subject to the Secretary's jurisdiction 
under 49 U.S.C. Chapter 135. The statutes are codified in Part B of 
Subtitle IV, Title 49 U.S.C. (49 U.S.C. 13101 through 14913). The 
regulations include those issued by FMCSA or its predecessors under 
authority provided in 49 U.S.C. 13301 or a predecessor statute.
    Field Administrator means the head of an FMCSA Service Center who 
has been delegated authority to initiate compliance and enforcement 
actions on behalf of FMCSA.
    Final Agency Order means the final action by FMCSA issued pursuant 
to this part by the appropriate Field Administrator (for default 
judgments under Sec.386.14) or the Assistant Administrator, or 
settlement agreements which become the Final Agency Order pursuant to 
386.22, or decisions of the Administrative Law Judge, which become the 
Final Agency Order pursuant to 386.61 or binding arbitration awards. A 
person who fails to perform the actions directed in the Final Agency 
Order commits a violation of that order and is subject to an additional 
penalty as prescribed in subpart G of this part.
    FMCSRs means the Federal Motor Carrier Safety Regulations.
    Formal hearing means an evidentiary hearing on the record in which 
parties have the opportunity to conduct discovery, present relevant 
evidence, and cross-examine witnesses.
    Freight forwarder means a person holding itself out to the general 
public (other than as an express, pipeline, rail, sleeping car, motor, 
or water carrier) to provide transportation of property for compensation 
in interstate commerce, and in the ordinary course of its business:
    (1) Performs or provides for assembling, consolidating, break-bulk, 
and distribution of shipments;
    (2) Assumes responsibility for transportation from place of receipt 
to destination; and
    (3) Uses for any part of the transportation a carrier subject to 
FMCSA jurisdiction.

[[Page 296]]

    Hearing officer means a neutral Agency employee designated by the 
Assistant Administrator to preside over an informal hearing.
    HMRs means Hazardous Materials Regulations.
    Informal hearing means a hearing in which the parties have the 
opportunity to present relevant evidence to a neutral Hearing Officer, 
who will prepare findings of fact and recommendations for the Agency 
decisionmaker. The informal hearing will not be on the transcribed 
record and discovery will not be allowed. Parties will have the 
opportunity to discuss their case and present testimony and evidence 
before the Hearing Officer without the formality of a formal hearing.
    Mail means U.S. first class mail, U.S. registered or certified mail, 
or use of a commercial delivery service.
    Motor carrier means a motor carrier, motor private carrier, or motor 
carrier of migrant workers as defined in 49 U.S.C. 13102 and 31501.
    Notice of Claim (NOC) means the initial document issued by FMCSA to 
assert a civil penalty for alleged violations of the FMCSRs, HMRs, or 
FMCCRs.
    Notice of Violation (NOV) means a document alleging a violation of 
the FMCSRs, HMRs, or FMCCRs, for which corrective action, other than 
payment of a civil penalty, is recommended.
    Person means any individual, partnership, association, corporation, 
business trust, or any other organized group of individuals.
    Reply means a written response to a Notice of Claim, admitting or 
denying the allegations contained within the Notice of Claim. In 
addition, the reply provides the mechanism for determining whether the 
respondent seeks to pay, settle, contest, or seek binding arbitration of 
the claim. See Sec.386.14. If contesting the allegations, the reply 
must also set forth all known affirmative defenses and factors in 
mitigation of the claim.
    Petitioner means a party petitioning to overturn a determination in 
a driver qualification proceeding.
    Respondent means a party against whom relief is sought or claim is 
made.
    Secretary means the Secretary of Transportation.
    Submission of written evidence without hearing means the submission 
of written evidence and legal argument to the Agency decisionmaker, or 
his/her representative, in lieu of a formal or informal hearing.

[50 FR 40306, Oct. 2, 1985, as amended at 53 FR 2036, Jan. 26, 1988; 56 
FR 10182, Mar. 11, 1991; 65 FR 7755, Feb. 16, 2000; 65 FR 78427, Dec. 
15, 2000; 67 FR 61821, Oct. 2, 2002; 70 FR 28748, May 18, 2005; 72 FR 
55701, Oct. 1, 2007; 78 FR 58481, Sept. 24, 2013]



Sec.386.3  Separation of functions.

    (a) Civil penalty proceedings will be prosecuted by Agency Counsel 
who represent the Field Administrator. In Notices of Violation, the 
Field Administrator will be represented by Agency Counsel.
    (b) An Agency employee, including those listed in paragraph (c) of 
this section, engaged in the performance of investigative or 
prosecutorial functions in a civil penalty proceeding may not, in that 
case or a factually related case, discuss or communicate the facts or 
issues involved with the Agency decisionmaker, Administrative Law Judge, 
Hearing Officer or others listed in paragraph (d) of this section, 
except as counsel or a witness in the public proceedings. This 
prohibition also includes the staff of those covered by this section.
    (c) The Deputy Chief Counsel, Assistant Chief Counsel for 
Enforcement and Litigation, and attorneys in the Enforcement and 
Litigation Division serve as enforcement counsel in the prosecution of 
all cases brought under this part.
    (d) The Chief Counsel, the Special Counsel to the Chief Counsel, and 
attorneys serving as Adjudications Counsel advise the Agency 
decisionmaker regarding all cases brought under this Part.
    (e) Nothing in this part shall preclude agency decisionmakers or 
anyone advising an agency decisionmaker from taking part in a 
determination to launch an investigation or issue a complaint, or 
similar preliminary decision.

[70 FR 28479, May 18, 2005]

[[Page 297]]



Sec.386.4  Appearances and rights of parties.

    (a) A party may appear in person, by counsel, or by other 
representative, as the party elects, in a proceeding under this subpart.
    (b) A person representing a party must file a notice of appearance 
in the proceeding, in the manner provided in Sec.386.7 of this 
subpart. The notice of appearance must list the name, address, telephone 
number, and facsimile number of the person designated to represent the 
party. A copy of the notice of appearance must be served on each party, 
in the manner provided in Sec.386.6 of this subpart. The notice of 
appearance must be filed and served before the representative can 
participate in the proceeding. Any changes in an attorney or 
representative's contact information must be served and filed according 
to Sec. Sec.386.6 and 386.7 in a timely manner.
    (c) A separate notice of appearance must be filed by a 
representative in each case. Blanket appearances on behalf of a party 
will not be accepted.

[70 FR 28479, May 18, 2005]



Sec.386.5  Form of filings and extensions of time.

    (a) Form. Each document must be typewritten or legibly handwritten.
    (b) Contents. Unless otherwise specified in this part, each document 
must contain a short, plain statement of the facts on which the person's 
case rests and a brief statement of the action requested in the 
document. Except by prior order, all contents will be made publicly 
available.
    (c) Length. Except for the Notice of Claim and reply, motions, 
briefs, and other filings may not exceed 20 pages except as permitted by 
Order following a motion to exceed the page limitation based upon good 
cause shown. Exhibits or attachments in support of the relevant filing 
are not included in the page limit.
    (d) Paper and margins. Filed documents must be printed on 8\1/
2\[sec] by 11[sec] paper with a one-inch margin on all four sides of 
text, to include pagination and footnotes.
    (e) Spacing, and font size for typewritten documents. Typewritten 
documents will use the following line format: single-spacing for the 
caption and footnotes, and double-spacing for the main text. All printed 
matter must appear in at least 12-point font, including footnotes.
    (f) Extensions of time. Only those requests showing good cause will 
be granted. No motion for continuance or postponement of a hearing date 
filed within 15 days of the date set for a hearing will be granted 
unless accompanied by an affidavit showing extraordinary circumstances 
warrant a continuance. Unless directed otherwise by the Agency 
decisionmaker before whom a matter is pending, the parties may stipulate 
to reasonable extensions of time by filing the stipulation in the 
official docket and serving copies on all parties on the certificate of 
service. Motions for extensions of time must be filed in accordance with 
Sec.386.7 and served in accordance with Sec.386.6. A copy must also 
be served upon the person presiding over the proceeding at the time of 
the filing.

[70 FR 28479, May 18, 2005, as amended at 77 FR 59826, Oct. 1, 2012]



Sec.386.6  Service.

    (a) General. All documents must be served upon the party or the 
party's designated agent for service of process. If a notice of 
appearance has been filed in the specific case in question in accordance 
with Sec.386.4, service is to be made on the party's attorney of 
record or its designated representative.
    (b) Type of service. A person may serve documents by personal 
delivery utilizing governmental or commercial entities, U.S. mail, 
commercial mail delivery, and upon prior written consent of the parties, 
facsimile. Written consent for facsimile service must specify the 
facsimile number where service will be accepted. When service is made by 
facsimile, a copy will also be served by any other method permitted by 
this section. Facsimile service occurs when transmission is complete.
    (c) Certificate of service. A certificate of service will accompany 
all documents served in a proceeding under this Part. The certificate 
must show the date and manner of service, be signed by the person making 
service,

[[Page 298]]

and list the persons served in accordance with Sec.386.7.
    (d) Date of service. A document will be considered served on the 
date of personal delivery; or if mailed, the mailing date shown on the 
certificate of service, the date shown on the postmark if there is no 
certificate of service, or other mailing date shown by other evidence if 
there is no certificate of service or postmark.
    (e) Valid service. A properly addressed document, sent in accordance 
with this subpart, which was returned, unclaimed, or refused, is deemed 
to have been served in accordance with this subpart. The service will be 
considered valid as of the date and the time the document was mailed, or 
the date personal delivery of the document was refused. Service by 
delivery after 5 p.m. in the time zone in which the recipient will 
receive delivery is deemed to have been made on the next day that is not 
a Saturday, Sunday, or legal holiday.
    (f) Presumption of service. There shall be a presumption of service 
if the document is served where a party or a person customarily receives 
mail or at the address designated in the entry of appearance. If an 
entry of appearance has been filed on behalf of the party, service is 
effective upon service of a document to its representative.

[70 FR 28480, May 18, 2005]



Sec.386.7  Filing of documents.

    Address and method of filing. A person serving or tendering a 
document for filing must personally deliver or mail one copy of each 
document to all parties and counsel or their designated representative 
of record if represented. A signed original and one copy of each 
document submitted for the consideration of the Assistant Administrator, 
an Administrative Law Judge, or Hearing Officer must be personally 
delivered or mailed to: Department of Transportation Docket Operations, 
1200 New Jersey Ave., SE., Washington, DC 20590-0001. A person will 
serve a copy of each document on each party in accordance with Sec.
386.6 of this subpart.

[70 FR 28480, May 18, 2005, as amended at 72 FR 55701, Oct. 1, 2007; 78 
FR 58481, Sept. 24, 2013]



Sec.386.8  Computation of time.

    (a) Generally. In computing any time period set out in these rules 
or in an order issued hereunder, the time computation begins with the 
day following the act, event, or default. The last day of the period is 
included unless it is a Saturday, Sunday, or legal Federal holiday in 
which case the time period will run to the end of the next day that is 
not a Saturday, Sunday, or legal Federal holiday. All Saturdays, 
Sundays, and legal Federal holidays except those falling on the last day 
of the period will be computed.
    (b) Date of entry of orders. In computing any period of time 
involving the date of the entry of an order, the date of entry is the 
date the order is served.
    (c) Computation of time for delivery by mail. (1) Service of all 
documents is deemed effected at the time of mailing.
    (2) Documents are not deemed filed until received by Docket 
Operations.
    (3) Whenever a party has a right or a duty to act or to make any 
response within a prescribed period after service by mail, or on a date 
certain after service by mail, 5 days will be added to the prescribed 
period.

[70 FR 28480, May 18, 2005, as amended at 78 FR 58481, Sept. 24, 2013]



            Subpart B_Commencement of Proceedings, Pleadings



Sec.386.11  Commencement of proceedings.

    (a) Driver qualification proceedings. These proceedings are 
commenced by the issuance of a determination by the Director, Office of 
Carrier, Driver, and Vehicle Safety Standards (MC-PS), in a case arising 
under Sec.391.47 of this chapter or by the issuance of a letter of 
disqualification.
    (1) Such determination and letters must be accompanied by the 
following:
    (i) A citation of the regulation under which the action is being 
taken;
    (ii) A copy of all documentary evidence relied on or considered in 
taking such action, or in the case of voluminous evidence a summary of 
such evidence;
    (iii) Notice to the driver and motor carrier involved in the case 
that they may petition for review of the action;

[[Page 299]]

    (iv) Notice that a hearing will be granted if the Assistant 
Administrator determines there are material factual issues in dispute;
    (v) Notice that failure to petition for review will constitute a 
waiver of the right to contest the action; and
    (vi) Notice that the burden or proof will be on the petitioner in 
cases arising under Sec.391.47 of this chapter.
    (2) At any time before the close of hearing, upon application of a 
party, the letter or determination may be amended at the discretion of 
the administrative law judge upon such terms as he/she approves.
    (b) Notice of Violation. The Agency may issue a Notice of Violation 
as a means of notifying any person subject to the rules in this part 
that it has received information (i.e., from an investigation, audit, or 
any other source) wherein it has been alleged the person has violated 
provisions of the FMCSRs, HMRs, or FMCCRs. The Notice of Violation 
serves as an informal mechanism to address compliance deficiencies. If 
the alleged deficiency is not addressed to the satisfaction of the 
Agency, formal enforcement action may be taken in accordance with 
paragraph (c) of this section. A Notice of Violation is not a 
prerequisite to the issuance of a Notice of Claim. The Notice of 
Violation will address the following issues, as appropriate:
    (1) The specific alleged violations.
    (2) Any specific actions the Agency determines are appropriate to 
remedy the identified problems.
    (3) The means by which the notified person can inform the Agency 
that it has received the Notice of Violation and either has addressed 
the alleged violation or does not agree with the Agency's assertions in 
the Notice of Violation.
    (4) Any other relevant information.
    (c) Civil penalty proceedings. These proceedings are commenced by 
the issuance of a Notice of Claim.
    (1) Each Notice of Claim must contain the following:
    (i) A statement setting forth the facts alleged.
    (ii) A statement of the provisions of law allegedly violated by the 
respondent.
    (iii) The proposed civil penalty and notice of the maximum amount 
authorized to be claimed under statute.
    (iv) The time, form, and manner whereby the respondent may pay, 
contest, or otherwise seek resolution of the claim.
    (2) In addition to the information required by paragraph (c)(1) of 
this section, the Notice of Claim may contain such other matters as the 
Agency deems appropriate.
    (3) In proceedings for collection of civil penalties for violations 
of the motor carrier safety regulations under the Motor Carrier Safety 
Act of 1984, the Agency may require the respondent to post a copy of the 
Notice of Claim in such place or places and for such duration as the 
Agency may determine appropriate to aid in the enforcement of the law 
and regulations.

[50 FR 40306, Oct. 2, 1985, as amended at 53 FR 2036, Jan. 26, 1988; 56 
FR 10182, Mar. 11, 1991; 65 FR 7756, Feb. 16, 2000; 70 FR 28480, May 18, 
2005; 78 FR 58481, Sept. 24, 2013]



Sec.386.12  Complaint.

    (a) Complaint of substantial violation. Any person may file a 
written complaint with the Assistant Administrator alleging that a 
substantial violation of any regulation issued under the Motor Carrier 
Safety Act of 1984 is occurring or has occurred within the preceding 60 
days. A substantial violation is one which could reasonably lead to, or 
has resulted in, serious personal injury or death. Each complaint must 
be signed by the complainant and must contain:
    (1) The name, address, and telephone number of the person who files 
it;
    (2) The name and address of the alleged violator and, with respect 
to each alleged violator, the specific provisions of the regulations 
that the complainant believes were violated; and
    (3) A concise but complete statement of the facts relied upon to 
substantiate each allegation, including the date of each alleged 
violation.
    (b) Action on complaint of substantial violation. Upon the filing of 
a complaint of a substantial violation under paragraph (a) of this 
section, the Assistant Administrator shall determine whether it is 
nonfrivolous and meets the requirements of paragraph (a) of

[[Page 300]]

this section. If the Assistant Administrator determines the complaint is 
nonfrivolous and meets the requirements of paragraph (a), he/she shall 
investigate the complaint. The complainant shall be timely notified of 
findings resulting from such investigation. The Assistant Administrator 
shall not be required to conduct separate investigations of duplicative 
complaints. If the Assistant Administrator determines the complaint is 
frivolous or does not meet the requirements of the paragraph (a), he/she 
shall dismiss the complaint and notify the complainant in writing of the 
reasons for such dismissal.
    (c) Notwithstanding the provisions of section 552 of title 5, United 
States Code, the Assistant Administrator shall not disclose the identity 
of complainants unless it is determined that such disclosure is 
necessary to prosecute a violation. If disclosure becomes necessary, the 
Assistant Administrator shall take every practical means within the 
Assistant Administrator's authority to assure that the complainant is 
not subject to harassment, intimidation, disciplinary action, 
discrimination, or financial loss as a result of such disclosure.

[50 FR 40306, Oct. 2, 1985, as amended at 70 FR 28481, May 18, 2005]



Sec.386.13  Petitions to review and request for hearing: Driver 
qualification proceedings.

    (a) Within 60 days after service of the determination under Sec.
391.47 of this chapter or the letter of disqualification, the driver or 
carrier may petition to review such action. Such petitions must be 
submitted to the Assistant Administrator and must contain the following:
    (1) Identification of what action the petitioner wants overturned;
    (2) Copies of all evidence upon which petitioner relies in the form 
set out in Sec.386.49;
    (3) All legal and other arguments which the petitioner wishes to 
make in support of his/her position;
    (4) A request for oral hearing, if one is desired, which must set 
forth material factual issues believed to be in dispute;
    (5) Certification that the petition has been filed in accordance 
with Sec.386.6(c); and
    (6) Any other pertinent material.
    (b) Failure to submit a petition as specified in paragraph (a) of 
this section shall constitute a waiver of the right to petition for 
review of the determination or letter of disqualification. In these 
cases, the determination or disqualification issued automatically 
becomes the final decision of the Assistant Administrator 30 days after 
the time to submit the reply or petition to review has expired, unless 
the Assistant Administrator orders otherwise.
    (c) If the petition does not request a hearing, the Assistant 
Administrator may issue a final decision and order based on the evidence 
and arguments submitted.

[50 FR 40306, Oct. 2, 1985, as amended at 78 FR 58481, Sept. 24, 2013]



Sec.386.14  Reply.

    (a) Time for reply to the Notice of Claim. Respondent must serve a 
reply to the Notice of Claim in writing within 30 days following service 
of the Notice of Claim. The reply is to be served in accordance with 
Sec.386.6 upon the Service Center indicated in the Notice of Claim.
    (b) Options for reply. The respondent must reply to the Notice of 
Claim within the time allotted by choosing one of the following:
    (1) Paying the full amount asserted in the Notice of Claim in 
accordance with Sec.386.18 of this part;
    (2) Contesting the claim by requesting administrative adjudication 
pursuant to paragraph (d) of this section; or
    (3) Seeking binding arbitration in accordance with the Agency's 
program. Although the amount of the proposed penalty may be disputed, 
referral to binding arbitration is contingent upon an admission of 
liability that the violations occurred.
    (c) Failure to answer the Notice of Claim. (1) Respondent's failure 
to answer the Notice of Claim in accordance with paragraph (a) may 
result in the issuance of a Notice of Default and Final Agency Order by 
the Field Administrator. The Notice of Default and

[[Page 301]]

Final Agency Order will declare respondent to be in default and further 
declare the Notice of Claim, including the civil penalty proposed in the 
Notice of Claim, to be the Final Agency Order in the proceeding. The 
Final Agency Order will be effective five days following service of the 
Notice of Default and Final Agency Order.
    (2) The default constitutes an admission of all facts alleged in the 
Notice of Claim and a waiver of respondent's opportunity to contest the 
claim. The default will be reviewed by the Assistant Administrator in 
accordance with Sec.386.64(b), and the Final Agency Order may be 
vacated where a respondent demonstrates excusable neglect, a meritorious 
defense, or due diligence in seeking relief.
    (3) Failure to pay the civil penalty as directed in a Final Agency 
Order constitutes a violation of that order, subjecting the respondent 
to an additional penalty as prescribed in Subpart G of this part.
    (d) Request for administrative adjudication. The respondent may 
contest the claim and request administrative adjudication pursuant to 
paragraph (b)(2) of this section. An administrative adjudication is a 
process to resolve contested claims before the Assistant Administrator, 
Administrative Law Judge, or Hearing Officer. Once an administrative 
adjudication option is elected, it is binding on the respondent.
    (1) Contents. In addition to the general requirements of this 
section, the reply must be in writing and state the grounds for 
contesting the claim and must raise any affirmative defenses the 
respondent intends to assert. Specifically, the reply:
    (i) Must admit or deny each separately stated and numbered 
allegation of violation in the claim. A statement that the person is 
without sufficient knowledge or information to admit or deny will have 
the effect of a denial. Any allegation in the claim not specifically 
denied in the reply is deemed admitted. A mere general denial of the 
claim is insufficient and may result in a default being entered by the 
Agency decisionmaker upon motion by the Field Administrator.
    (ii) Must include all known affirmative defenses, including those 
relating to jurisdiction, limitations, and procedure.
    (iii) Must state which one of the following options respondent 
seeks:
    (A) To submit written evidence without hearing; or
    (B) An informal hearing; or
    (C) A formal hearing.
    (2) [Reserved]

[70 FR 28481, May 18, 2005]



Sec.386.15      [Reserved]



Sec.386.16  Action on replies to the Notice of Claim.

    (a) Requests to submit written evidence without a hearing. Where 
respondent has elected to submit written evidence in accordance with 
Sec.386.14(d)(1)(iii)(A):
    (1) Agency Counsel must serve all written evidence and argument in 
support of the Notice of Claim no later than 60 days following service 
of respondent's reply. The written evidence and argument must be served 
on the Assistant Administrator in accordance with Sec. Sec.386.6 and 
386.7. The submission must include all pleadings, notices, and other 
filings in the case to date.
    (2) Respondent will, not later than 45 days following service of 
Agency Counsel's written evidence and argument, serve its written 
evidence and argument on the Assistant Administrator in accordance with 
Sec. Sec.386.6 and 386.7.
    (3) Agency Counsel may file a written response to respondent's 
submission. Any such submission must be filed within 20 days of service 
of respondent's submission.
    (4) All written evidence submitted by the parties must conform to 
the requirements of Sec.386.49.
    (5) Following submission of evidence and argument as outlined in 
this section, the Assistant Administrator may issue a Final Agency Order 
and order based on the evidence and arguments submitted, or may issue 
any other order as may be necessary to adjudicate the matter.
    (b) Requests for hearing. (1) If a request for a formal or informal 
hearing has been filed, the Assistant Administrator will determine 
whether there exists a dispute of a material fact at issue in the 
matter. If so, the matter will be set for hearing in accordance

[[Page 302]]

with respondent's reply. If it is determined that there does not exist a 
dispute of a material fact at issue in the matter, the Assistant 
Administrator may issue a decision based on the written record, or may 
request the submission of further evidence or argument.
    (2) If a respondent requests a formal or informal hearing in its 
reply, the Field Administrator must serve upon the Assistant 
Administrator and respondent a notice of consent or objection with a 
basis to the request within 60 days of service of respondent's reply. 
Failure to serve an objection within the time allotted may result in 
referral of the matter to hearing.
    (3) Requests for formal hearing. Following the filing of an 
objection with basis, the Field Administrator must serve a motion for 
Final Agency Order pursuant to Sec.386.36 unless otherwise ordered by 
the Assistant Administrator. The motion must set forth the reasons why 
the Field Administrator is entitled to judgment as a matter of law. 
Respondent must, within 45 days of service of the motion for Final 
Agency Order, submit and serve a response to the Field Administrator's 
motion. After reviewing the record, the Assistant Administrator will 
either set the matter for hearing by referral to the Office of Hearings 
or issue a Final Agency Order based upon the submissions.
    (4) Requests for informal hearing. (i) If the Field Administrator 
objects with basis to a request for an informal hearing, he/she must 
serve the objection, a copy of the Notice of Claim, and a copy of 
respondent's reply, on the respondent and Assistant Administrator, 
pursuant to paragraph (b)(2) of this section. Based upon the Notice of 
Claim, the reply, and the objection with basis, the Assistant 
Administrator will issue an order granting or denying the request for 
informal hearing.
    (A) Informal hearing granted. If the request for informal hearing is 
granted by the Assistant Administrator, a Hearing Officer will be 
assigned to hear the matter and will set forth the date, time and 
location for hearing. No further motions will be entertained, and no 
discovery will be allowed. At hearing, all parties may present evidence, 
written and oral, to the Hearing Officer, following which the Hearing 
Officer will issue a report to the Assistant Administrator containing 
findings of fact and recommending a disposition of the matter. The 
report will serve as the sole record of the proceedings. The Assistant 
Administrator may issue a Final Agency Order adopting the report, or 
issue other such orders as he/she may deem appropriate. By participating 
in an informal hearing, respondent waives its right to a formal hearing.
    (B) Informal hearing denied. If the request for informal hearing is 
denied, the Field Administrator must serve a motion for Final Agency 
Order pursuant to Sec.386.36, unless otherwise directed by the 
Assistant Administrator. The motion must set forth the reasons why the 
Field Administrator is entitled to judgment as a matter of law. 
Respondent must, within 45 days of service of the motion for Final 
Agency Order, submit and serve a response to the Field Administrator's 
motion. After reviewing the record, the Assistant Administrator will set 
the matter for formal hearing by referral to the Office of Hearings, or 
will issue a Final Agency Order based upon the submissions.
    (C) Nothing in this section shall limit the Assistant 
Administrator's authority to refer any matter for formal hearing, even 
in instances where respondent seeks only an informal hearing.

[70 FR 28481, May 18, 2005]



Sec.386.17  Intervention.

    After the matter is called for hearing and before the date set for 
the hearing to begin, any person may petition for leave to intervene. 
The petition is to be served on the administrative law judge. The 
petition must set forth the reasons why the petitioner alleges he/she is 
entitled to intervene. The petition must be served on all parties in 
accordance with Sec.386.31. Any party may file a response within 10 
days of service of the petition. The administrative law judge shall then 
determine whether to permit or deny the petition. The petition will be 
allowed if the administrative law judge determines that the final 
decision could directly and adversely affect

[[Page 303]]

the petitioner or the class he/she represents, and if the petitioner may 
contribute materially to the disposition of the proceedings and his/her 
interest is not adequately represented by existing parties. Once 
admitted, a petitioner is a party for the purpose of all subsequent 
proceedings.



Sec.386.18  Payment of the claim.

    (a) Payment of the full amount claimed may be made at any time 
before issuance of a Final Agency Order and will constitute an admission 
of liability by the respondent of all facts alleged in the Notice of 
Claim, unless the parties agree in writing that payment shall not be 
treated as an admission. After the issuance of a Final Agency Order, 
claims are subject to interest, penalties, and administrative charges, 
in accordance with 31 U.S.C. 3717; 49 CFR part 89; and 31 CFR 901.9.
    (b) If respondent elects to pay the full amount as its response to 
the Notice of Claim, payment must be served upon the Field Administrator 
at the Service Center designated in the Notice of Claim within 30 days 
following service of the Notice of Claim. No written reply is necessary 
if respondent elects the payment option during the 30-day reply period. 
Failure to serve full payment within 30 days of service of the Notice of 
Claim when this option has been chosen may constitute a default and may 
result in the Notice of Claim, including the civil penalty assessed by 
the Notice of Claim, becoming the Final Agency Order in the proceeding 
pursuant to Sec.386.14(c).
    (c) Unless otherwise agreed in writing by the parties, payment of 
the full amount in response to the Notice of Claim constitutes an 
admission of liability by the respondent of all facts alleged in the 
Notice of Claim. Payment waives respondent's opportunity to further 
contest the claim and will result in the Notice of Claim becoming the 
Final Agency Order.

[70 FR 28482, May 18, 2005, as amended at 77 FR 24870, Apr. 26, 2012]



                     Subpart C_Settlement Agreements



Sec.386.22  Settlement agreements and their contents.

    (a) Settlement agreements. (1) When negotiations produce an 
agreement as to the amount or terms of payment of a civil penalty or the 
terms and conditions of an order, a settlement agreement shall be drawn 
and signed by the respondent and the Field Administrator or his/her 
designee. Such settlement agreement must contain the following:
    (i) The statutory basis of the claim;
    (ii) A brief statement of the violations;
    (iii) The amount claimed and the amount paid;
    (iv) The date, time, and place and form of payment;
    (v) A statement that the agreement is not binding on the Agency 
until executed by the Field Administrator or his/her designee;
    (vi) A statement that failure to pay in accordance with the terms of 
the agreement or to comply with the terms of the agreement may result in 
the reinstatement of any penalties held in abeyance and may also result 
in the loss of any reductions in civil penalties asserted in the Notice 
of Claim, in which case the original amount asserted will be due 
immediately; and
    (vii) A statement that the agreement is the Final Agency Order.
    (2) A settlement agreement may contain any conditions, actions, or 
provisions agreed by the parties to redress the violations cited in the 
Notice of Claim or notice of violation.
    (3) A settlement agreement accepted and approved by the Assistant 
Administrator or Administrative Law Judge is a Final Agency Order which 
is binding on all parties according to its terms. Consent to a 
settlement agreement which has not yet been approved by the Assistant 
Administrator or Administrative Law Judge may not be withdrawn for a 
period of 30 days.
    (b) Civil penalty proceedings not before agency decisionmaker. When 
the parties have agreed to a settlement at any time prior to the case 
coming before the Agency decisionmaker, the parties may execute an 
appropriate agreement

[[Page 304]]

for disposing of the case. The agreement does not require approval by 
the Agency decisionmaker. The agreement becomes the Final Agency Order 
upon execution by the Field Administrator or his/her designee.
    (c) Civil penalty proceedings before agency decisionmaker. When a 
respondent has agreed to a settlement of a civil penalty before a Final 
Agency Order has been issued, the parties may execute an appropriate 
agreement for disposal of the case by consent for the consideration of 
the Assistant Administrator. The agreement is filed with the Assistant 
Administrator, who may accept it, reject it and direct that proceedings 
in the case continue, or take such other action as he/she deems 
appropriate. If the Assistant Administrator accepts the agreement, he/
she shall enter an order in accordance with its terms. The settlement 
agreement becomes the Final Agency Order as of the date the Assistant 
Administrator enters an order accepting the settlement agreement.
    (d) Civil penalty proceedings before Administrative Law Judge (ALJ). 
When a respondent has agreed to a settlement of a civil penalty before 
the hearing is concluded, the parties may execute an appropriate 
agreement for disposing of the case by consent for the consideration of 
the ALJ. The agreement is filed with the ALJ who may accept it, reject 
it and direct that proceedings in the case continue, or take such other 
action as he/she deems appropriate. If the ALJ accepts the agreement, 
he/she shall enter an order in accordance with its terms. The settlement 
agreement becomes the Final Agency Order as per Sec.386.61.
    (e) Civil penalty proceedings before Hearing Officer. When a 
respondent has agreed to a settlement of a civil penalty before the 
hearing is concluded, the parties may execute an appropriate agreement 
for disposal of the case for the consideration of the Hearing Officer. 
The agreement is filed with the Hearing Officer, who, within 20 days of 
receipt, will make a report and recommendation to the Assistant 
Administrator who may accept it, reject it and direct that proceedings 
in the case continue, or take such other action as he/she deems 
appropriate. If the Assistant Administrator accepts the agreement, he/
she will enter an order in accordance with its terms. The settlement 
agreement becomes the Final Agency Order as of the date the Assistant 
Administrator enters an order accepting the settlement agreement.

[70 FR 28482, May 18, 2005, as amended at 78 FR 58481, Sept. 24, 2013]



                  Subpart D_General Rules and Hearings



Sec.386.31  Official notice.

    Upon notification to all parties, the Assistant Administrator or 
Administrative Law Judge may take official notice of any fact or 
document not appearing in evidence in the record. Any party objecting to 
the official notice must file an objection within 10 days after service 
of the notice. If a Final Agency Order has been issued, and the decision 
rests on a material and disputable fact of which the Agency 
decisionmaker has taken official notice, a party may challenge the 
action of official notice in accordance with Sec.386.64 of this part.

[70 FR 28483, May 18, 2005]



Sec.386.34  Motions.

    (a) General. An application for an order or ruling not otherwise 
covered by these rules shall be by motion. All motions filed prior to 
the calling of the matter for a hearing shall be to the Assistant 
Administrator. All motions filed after the matter is called for hearing 
shall be to the administrative law judge.
    (b) Form. Unless made during hearing, motions shall be made in 
writing, shall state with particularity the grounds for relief sought, 
and shall be accompanied by affidavits or other evidence relied upon.
    (c) Answers. Except when a motion is filed during a hearing, any 
party may file an answer in support or opposition to a motion, 
accompanied by affidavits or other evidence relied upon. Such answers 
shall be served within 20 days after the motion is served or within such 
other time as the Assistant Administrator or administrative law judge 
may set.

[[Page 305]]

    (d) Argument. Oral argument or briefs on a motion may be ordered by 
the Assistant Administrator or the administrative law judge.
    (e) Disposition. Motions may be ruled on immediately or at any other 
time specified by the administrative law judge or the Assistant 
Administrator.
    (f) Suspension of time. The pendency of a motion shall not affect 
any time limits set in these rules unless expressly ordered by the 
Assistant Administrator or administrative law judge.

[50 FR 40306, Oct. 2, 1985. Redesignated and amended at 70 FR 28483, May 
18, 2005]



Sec.386.35  Motions to dismiss and motions for a more definite statement.

    (a) Motions to dismiss must be made within the time set for reply or 
petition to review, except motions to dismiss for lack of jurisdiction, 
which may be made at any time.
    (b) Motions for a more definite statement may be made in lieu of a 
reply. The motion must point out the defects complained of and the 
details desired. If the motion is granted, the pleading complained of 
must be remedied within 15 days of the granting of the motion or it will 
be stricken. If the motion is denied, the party who requested the more 
definite statement must file his/her pleading within 10 days after the 
denial.

[50 FR 40306, Oct. 2, 1985. Redesignated at 70 FR 28483, May 18, 2005]



Sec.386.36  Motions for final agency order.

    (a) Generally. Unless otherwise provided in this section, the motion 
and answer will be governed by Sec.386.34. Either party may file a 
motion for final order. The motion must be served in accordance with 
Sec. Sec.386.6 and 386.7. If the matter is still pending before the 
service center, upon filing, the matter is officially transferred from 
the service center to the Agency decisionmaker, who will then preside 
over the matter.
    (b) Form and content. (1) Movant's filing must contain a motion and 
memorandum of law, which may be separate or combined and must include 
all responsive pleadings, notices, and other filings in the case to 
date.
    (2) The motion for final order must be accompanied by written 
evidence in accordance with Sec.386.49.
    (3) The motion will state with particularity the grounds upon which 
it is based and the substantial matters of law to be argued. A Final 
Agency Order may be issued if, after reviewing the record in a light 
most favorable to the non-moving party, the Agency decisionmaker 
determines no genuine issue exists as to any material fact.
    (c) Answer to Motion. The non-moving party will, within 45 days of 
service of the motion for final order, submit and serve a response to 
rebut movant's motion.

[70 FR 28483, May 18, 2005]



Sec.386.37  Discovery.

    (a) Parties may obtain discovery by one or more of the following 
methods: Depositions upon oral examination or written questions; written 
interrogatories; request for production of documents or other evidence 
for inspection and other purposes; physical and mental examinations; and 
requests for admission.
    (b) Discovery may not commence until the matter is pending before 
the Assistant Administrator or referred to the Office of Hearings.
    (c) Except as otherwise provided in these rules, in the 
Administrative Procedure Act, 5 U.S.C. 551 et seq., or by the Assistant 
Administrator or Administrative Law Judge, in the absence of specific 
Agency provisions or regulations, the Federal Rules of Civil Procedure 
may serve as guidance in administrative adjudications.

[70 FR 28483, May 18, 2005]



Sec.386.38  Scope of discovery.

    (a) Unless otherwise limited by order of the Assistant Administrator 
or, in cases that have been called for a hearing, the administrative law 
judge, in accordance with these rules, the parties may obtain discovery 
regarding any matter, not privileged, which is relevant to the subject 
matter involved in the proceeding, including the existence, description, 
nature, custody, condition, and location of any books, documents, or 
other tangible things and the

[[Page 306]]

identity and location of persons having knowledge of any discoverable 
matter.
    (b) It is not ground for objection that information sought will not 
be admissible at the hearing if the information sought appears 
reasonably calculated to lead to the discovery of admissible evidence.
    (c) A party may obtain discovery of documents and tangible things 
otherwise discoverable under paragraph (a) of this section and prepared 
in anticipation of or for the hearing by or for another party's 
representative (including his or her attorney, consultant, surety, 
indemnitor, insurer, or agent) only upon a showing that the party 
seeking discovery has substantial need of the materials in the 
preparation of his or her case and that he or she is unable without 
undue hardship to obtain the substantial equivalent of the materials by 
other means. In ordering discovery of such materials when the required 
showing has been made, the Assistant Administrator or the administrative 
law judge shall protect against disclosure of the mental impressions, 
conclusions, opinions, or legal theories of an attorney or other 
representative of a party concerning the proceeding.



Sec.386.39  Protective orders.

    Upon motion by a party or other person from whom discovery is 
sought, and for good cause shown, the Assistant Administrator or the 
administrative law judge, if one has been appointed, may make any order 
which justice requires to protect a party or person from annoyance, 
embarrassment, oppression, or undue burden or expense, including one or 
more of the following:
    (a) The discovery not be had;
    (b) The discovery may be had only on specified terms and conditions, 
including a designation of the time or place;
    (c) The discovery may be had only by a method of discovery other 
than that selected by the party seeking discovery;
    (d) Certain matters not relevant may not be inquired into, or that 
the scope of discovery be limited to certain matters;
    (e) Discovery be conducted with no one present except persons 
designated by the Assistant Administrator or the administrative law 
judge; or
    (f) A trade secret or other confidential research, development, or 
commercial information may not be disclosed or be disclosed only in a 
designated way.



Sec.386.40  Supplementation of responses.

    A party who has responded to a request for discovery with a response 
that was complete when made is under no duty to supplement his/her 
response to include information thereafter acquired, except as follows:
    (a) A party is under a duty to supplement timely his/her response 
with respect to any question directly addressed to:
    (1) The identity and location of persons having knowledge of 
discoverable matters; and
    (2) The identity of each person expected to be called as an expert 
witness at the hearing, the subject matter on which he or she is 
expected to testify and the substance of his or her testimony.
    (b) A party is under a duty to amend timely a prior response if he 
or she later obtains information upon the basis of which:
    (1) he or she knows the response was incorrect when made; or
    (2) he or she knows that the response though correct when made is no 
longer true and the circumstances are such that a failure to amend the 
response is in substance a knowing concealment.
    (c) A duty to supplement responses may be imposed by order of the 
Assistant Administrator or the administrative law judge or agreement of 
the parties.



Sec.386.41  Stipulations regarding discovery.

    Unless otherwise ordered, a written stipulation entered into by all 
the parties and filed with the Assistant Administrator or the 
administrative law judge, if one has been appointed, may:
    (a) Provide that depositions be taken before any person, at any time 
or place, upon sufficient notice, and in any manner, and when so taken 
may be used like other depositions, and

[[Page 307]]

    (b) Modify the procedures provided by these rules for other methods 
of discovery.



Sec.386.42  Written interrogatories to parties.

    (a) Without leave, any party may serve upon any other party written 
interrogatories to be answered by the party to whom the interrogatories 
are directed; or, if that party is a public or private corporation or 
partnership or association or governmental agency, by any officer or 
agent, who will furnish the information available to that party.
    (b) The maximum number of interrogatories served will not exceed 30, 
including all subparts, unless the Assistant Administrator or 
Administrative Law Judge permits a larger number on motion and for good 
cause shown. Other interrogatories may be added without leave, so long 
as the total number of approved and additional interrogatories does not 
exceed 30.
    (c) Each interrogatory shall be answered separately and fully in 
writing under oath unless it is objected to, in which event the grounds 
for objection shall be stated and signed by the party, or counsel for 
the party, if represented, making the response. The party to whom the 
interrogatories are directed shall serve the answers and any objections 
within 30 days after the service of the interrogatories, or within such 
shortened or longer period as the Assistant Administrator or the 
Administrative Law Judge may allow.
    (d) Motions to compel may be made in accordance with Sec.386.45.
    (e) A notice of discovery must be served on the Assistant 
Administrator or, in cases that have been referred to the Office of 
Hearings, on the Administrative Law Judge. A copy of the 
interrogatories, answers, and all related pleadings must be served on 
all parties to the proceeding.
    (f) An interrogatory otherwise proper is not necessarily 
objectionable merely because an answer to the interrogatory involves an 
opinion or contention that relates to fact or the application of law to 
fact, but the Assistant Administrator or Administrative Law Judge may 
order that such an interrogatory need not be answered until after 
designated discovery has been completed or until a prehearing conference 
or other later time.

[70 FR 28483, May 18, 2005]



Sec.386.43  Production of documents and other evidence; entry upon
land for inspection and other purposes; and physical and mental examination.

    (a) Any party may serve on any other party a request to:
    (1) Produce and permit the party making the request, or a person 
acting on his or her behalf, to inspect and copy any designated 
documents, or to inspect and copy, test, or sample any tangible things 
which are in the possession, custody, or control of the party upon whom 
the request is served; or
    (2) Permit entry upon designated land or other property in the 
possession or control of the party upon whom the request is served for 
the purpose of inspection and measuring, photographing, testing, or for 
other purposes as stated in paragraph (a)(1) of this section.
    (3) Submit to a physical or mental examination by a physician.
    (b) The request may be served on any party without leave of the 
Assistant Administrator or administrative law judge.
    (c) The request shall:
    (1) Set forth the items to be inspected either by individual item or 
category;
    (2) Describe each item or category with reasonable particularity;
    (3) Specify a reasonable time, place, and manner of making the 
inspection and performing the related acts;
    (4) Specify the time, place, manner, conditions, and scope of the 
physical or mental examination and the person or persons by whom it is 
to be made. A report of examining physician shall be made in accordance 
with Rule 35(b) of the Federal Rules of Civil Procedure, title 28, U.S. 
Code, as amended.
    (d) The party upon whom the request is served shall serve on the 
party submitting the request a written response within 30 days after 
service of the request.
    (e) The response shall state, with respect to each item or category:

[[Page 308]]

    (1) That inspection and related activities will be permitted as 
requested; or
    (2) That objection is made in whole or in part, in which case the 
reasons for objection shall be stated.
    (f) A copy of each request for production and each written response 
shall be served on all parties and filed with the Assistant 
Administrator or the administrative law judge, if one has been 
appointed.



Sec.386.44  Request for admissions.

    (a) Request for admission. (1) Any party may serve upon any other 
party a request for admission of any relevant matter or the authenticity 
of any relevant document. Copies of any document about which an 
admission is requested must accompany the request.
    (2) Each matter for which an admission is requested shall be 
separately set forth and numbered. The matter is admitted unless within 
15 days after service of the request, the party to whom the request is 
directed serves upon the party requesting the admission a written answer 
signed by the party or his/her attorney.
    (3) Each answer must specify whether the party admits or denies the 
matter. If the matter cannot be admitted or denied, the party shall set 
out in detail the reasons.
    (4) A party may not issue a denial or fail to answer on the ground 
that he/she lacks knowledge unless he/she has made reasonable inquiry to 
ascertain information sufficient to allow him/her to admit or deny.
    (5) A party may file an objection to a request for admission within 
10 days after service. Such motion shall be filed with the 
administrative law judge if one has been appointed, otherwise it shall 
be filed with the Assistant Administrator. An objection must explain in 
detail the reasons the party should not answer. A reply to the objection 
may be served by the party requesting the admission within 10 days after 
service of the objection. It is not sufficient ground for objection to 
claim that the matter about which an admission is requested presents an 
issue of fact for hearing.
    (b) Effect of admission. Any matter admitted is conclusively 
established unless the Assistant Administrator or administrative law 
judge permits withdrawal or amendment. Any admission under this rule is 
for the purpose of the pending action only and may not be used in any 
other proceeding.
    (c) If a party refuses to admit a matter or the authenticity of a 
document which is later proved, the party requesting the admission may 
move for an award of expenses incurred in making the proof. Such a 
motion shall be granted unless there was a good reason for failure to 
admit.



Sec.386.45  Motion to compel discovery.

    (a) If a deponent fails to answer a question propounded or a party 
upon whom a request is made pursuant to Sec. Sec.386.42 through 
386.44, or a party upon whom interrogatories are served fails to respond 
adequately or objects to the request, or any part thereof, or fails to 
permit inspection as requested, the discovering party may move the 
Assistant Administrator or the administrative law judge, if one has been 
appointed, for an order compelling a response or inspection in 
accordance with the request.
    (b) The motion shall set forth:
    (1) The nature of the questions or request;
    (2) The response or objections of the party upon whom the request 
was served; and
    (3) Arguments in support of the motion.
    (c) For purposes of this section, an evasive answer or incomplete 
answer or response shall be treated as a failure to answer or respond.
    (d) In ruling on a motion made pursuant to this section, the 
Assistant Administrator or the administrative law judge, if one has been 
appointed, may make and enter a protective order such as he or she is 
authorized to enter on a motion made pursuant to Sec.386.39(a).



Sec.386.46  Depositions.

    (a) When, how, and by whom taken. (1) The deposition of any witness 
may be taken at reasonable times subsequent to the appointment of an 
Administrative Law Judge. Prior to referral to the Office of Hearings, a 
party may petition the Assistant Administrator, in accordance with Sec.
386.37, for leave to

[[Page 309]]

conduct a deposition based on good cause shown.
    (2) Depositions may be taken by oral examination or upon written 
interrogatories before any person having power to administer oaths.
    (3) The parties may stipulate in writing or the Administrative Law 
Judge may upon motion order that a deposition be taken by telephone or 
other remote electronic means.
    (4) If a subpoena duces tecum is to be served on the person to be 
examined, the designation of the materials to be produced as set forth 
in the subpoena shall be attached to, or included in, the notice.
    (5) If the deposition is to be recorded by videotape or audiotape, 
the notice shall specify the method of recording.
    (b) Application. Any party desiring to take the deposition of a 
witness must indicate to the witness and all other parties the time 
when, the place where, and the name and post office address of the 
person before whom the deposition is to be taken; the name and address 
of each witness; and the subject matter concerning which each such 
witness is expected to testify.
    (c) Notice. A party desiring to take a deposition must give notice 
to the witness and all other parties. Notice must be in writing. Notice 
of the deposition must be given not less than 20 days from when the 
deposition is to be taken if the deposition is to be held within the 
continental United States and not less than 30 days from when the 
deposition is to be taken if the deposition is to be held elsewhere, 
unless a shorter time is agreed to by the parties or by leave of the 
Assistant Administrator or Administrative Law Judge by motion for good 
cause shown.
    (d) Depositions upon written questions. Within 14 days after the 
notice and written questions are served, a party may serve cross-
questions upon all other parties. Within 7 days after being served with 
cross-questions, a party may serve redirect questions upon all other 
parties. Within 7 days after being served with redirect questions, a 
party may serve recross questions upon all other parties. The Assistant 
Administrator or Administrative Law Judge may enlarge or shorten the 
time for cause shown.
    (e) Taking and receiving in evidence. Each witness testifying upon 
deposition must be sworn, and any other party must be given the right to 
cross-examine. The questions propounded and the answers to them, 
together with all objections made, must be reduced to writing; read by 
or to, and subscribed by the witness; and certified by the person 
administering the oath. The person who took the deposition must seal the 
deposition transcript in an envelope and file it in accordance with 
Sec.386.7. Subject to objections to the questions and answers as were 
noted at the time of taking the deposition and which would have been 
valid if the witness were personally present and testifying, the 
deposition may be read and offered in evidence by the party taking it as 
against any party who was present or represented at the taking of the 
deposition or who had due notice of it.
    (f) Witness limit. No party may seek deposition testimony of more 
than five witnesses without leave of the Agency decisionmaker for good 
cause shown. Individual depositions are not to exceed 8 hours for any 
one witness.
    (g) Motion to terminate or limit examination. During the taking of a 
deposition, a party or deponent may request suspension of the deposition 
on grounds of bad faith in the conduct of the examination, oppression of 
a deponent or party or improper questions propounded. The deposition 
will then be adjourned. The objecting party or deponent must, however, 
immediately move for a ruling on his or her objections to the deposition 
conduct or proceedings before the Assistant Administrator or 
Administrative Law Judge, who then may limit the scope or manner of the 
taking of the deposition.

[70 FR 28484, May 18, 2005]



Sec.386.47  Use of deposition at hearings.

    (a) Generally. At the hearing, any part or all of a deposition, so 
far as admissible under the rules of evidence, may be used against any 
party who was present or represented at the taking of the deposition or 
who had due notice thereof in accordance with any one of the following 
provisions:

[[Page 310]]

    (1) Any deposition may be used by any party for the purpose of 
contradicting or impeaching the testimony of the deponent as a witness.
    (2) The deposition of expert witnesses, particularly the deposition 
of physicians, may be used by any party for any purpose, unless the 
Assistant Administrator or administrative law judge rules that such use 
would be unfair or a violation of due process.
    (3) The deposition of a party or of anyone who at the time of taking 
the deposition was an officer, director, or duly authorized agent of a 
public or private organization, partnership, or association which is a 
party, may be used by any other party for any purpose.
    (4) The deposition of a witness, whether or not a party, may be used 
by any party for any purpose if the presiding officer finds:
    (i) That the witness is dead; or
    (ii) That the witness is out of the United States or more than 100 
miles from the place of hearing unless it appears that the absence of 
the witness was procured by the party offering the deposition; or
    (iii) That the witness is unable to attend to testify because of 
age, sickness, infirmity, or imprisonment; or
    (iv) That the party offering the deposition has been unable to 
procure the attendance of the witness by subpoena; or
    (v) Upon application and notice, that such exceptional circumstances 
exist as to make it desirable, in the interest of justice and with due 
regard to the importance of presenting the testimony of witnesses orally 
in open hearing, to allow the deposition to be used.
    (5) If only part of a deposition is offered in evidence by a party, 
any other party may require him or her to introduce all of it which is 
relevant to the part introduced, and any party may introduce any other 
parts.
    (b) Objections to admissibility. Except as provided in this 
paragraph, objection may be made at the hearing to receiving in evidence 
any deposition or part thereof for any reason which would require the 
exclusion of the evidence if the witness were then present and 
testifying.
    (1) Objections to the competency of a witness or to the competency, 
relevancy or materiality of testimony are not waived by failure to make 
them before or during the taking of the deposition, unless the ground of 
the objection is one which might have been obviated or removed if 
presented at that time.
    (2) Errors and irregularities occurring at the oral examination in 
the manner of taking the deposition, in the form of the questions or 
answers, in the oath or affirmation, or in the conduct of parties and 
errors of any kind which might be obviated, removed, or cured if 
promptly presented, are waived unless reasonable objection thereto is 
made at the taking of the deposition.
    (3) Objections to the form or written interrogatories are waived 
unless served in writing upon the party propounding them.
    (c) Effect of taking using depositions. A party shall not be deemed 
to make a person his or her own witness for any purpose by taking his or 
her deposition. The introduction in evidence of the deposition or any 
part thereof for any purpose other than that of contradicting or 
impeaching the deponent makes the deponent the witness of the party 
introducing the deposition, but this shall not apply to the use by any 
other party of a deposition as described in paragraph (a)(2) of this 
section. At the hearing, any party may rebut any relevant evidence 
contained in a deposition whether introduced by him or her or by any 
other party.



Sec.386.48  Medical records and physicians' reports.

    In cases involving the physical qualifications of drivers, copies of 
all physicians' reports, test results, and other medical records that a 
party intends to rely upon shall be served on all other parties at least 
30 days prior to the date set for a hearing. Except as waived by the 
Director, Office of Carrier, Driver, and Vehicle Safety Standards (MC-
PS), reports, test results and medical records not served under this 
rule shall be excluded from evidence at any hearing.

[50 FR 40306, Oct. 2, 1985, as amended at 53 FR 2036, Jan. 26, 1988; 65 
FR 7756, Feb. 16, 2000; 78 FR 58481, Sept. 24, 2013]

[[Page 311]]



Sec.386.49  Form of written evidence.

    All written evidence should be submitted in the following forms:
    (a) A written statement of a person having personal knowledge of the 
facts alleged, or
    (b) Documentary evidence in the form of exhibits attached to a 
written statement identifying the exhibit and giving its source.

[70 FR 28484, May 18, 2005]



Sec.386.51  Amendment and withdrawal of pleadings.

    (a) Except in instances covered by other rules, any time more than 
15 days prior to the hearing, a party may amend his/her pleadings by 
serving the amended pleading on the Assistant Administrator or the 
administrative law judge, if one has been appointed, and on all parties. 
Within 15 days prior to the hearing, an amendment shall be allowed only 
at the discretion of the Administrative law judge. When an amended 
pleading is filed, other parties may file a response and objection 
within 10 days.
    (b) A party may withdraw his/her pleading any time more than 15 days 
prior to the hearing by serving a notice of withdrawal on the Assistant 
Administrator or the Administrative Law Judge. Within 15 days prior to 
the hearing a withdrawal may be made only at the discretion of the 
Assistant Administrator or the Administrative Law Judge. The withdrawal 
will be granted absent a finding that the withdrawal will result in 
injustice, prejudice, or irreparable harm to the non-moving party, or is 
otherwise contrary to the public interest.

[50 FR 40306, Oct. 2, 1985, as amended at 70 FR 28484, May 18, 2005; 78 
FR 58481, Sept. 24, 2013]



Sec.386.52  Appeals from interlocutory rulings.

    (a) General. Unless otherwise provided in this subpart, a party may 
not appeal a ruling or decision of the Administrative Law Judge to the 
Assistant Administrator until the Administrative Law Judge's decision 
has been entered on the record. A decision or order of the Assistant 
Administrator on the interlocutory appeal does not constitute a Final 
Agency Order for the purposes of judicial review under Sec.386.67.
    (b) Interlocutory appeal for cause. If a party files a written 
request for an interlocutory appeal for cause with the Administrative 
Law Judge, or orally requests an interlocutory appeal for cause, the 
proceedings are stayed until the Administrative Law Judge issues a 
decision on the request. If the Administrative Law Judge grants the 
request, the proceedings are stayed until the Assistant Administrator 
issues a decision on the interlocutory appeal. The Administrative Law 
Judge must grant an interlocutory appeal for cause if a party shows that 
delay of the appeal would be detrimental to the public interest or would 
result in undue prejudice to any party.
    (c) [Reserved]
    (d) Procedure. A party must file a notice of interlocutory appeal, 
with any supporting documents, with the Assistant Administrator, and 
serve copies on each party and the Administrative Law Judge, not later 
than 10 days after the Administrative Law Judge's oral decision has been 
issued, or a written decision has been served. A party must file a reply 
brief, if any, with the Assistant Administrator and serve a copy of the 
reply brief on each party, not later than 10 days after service of the 
appeal brief. The Assistant Administrator will render a decision on the 
interlocutory appeal, within a reasonable time after receipt of the 
interlocutory appeal.
    (e) The Assistant Administrator may reject frivolous, repetitive, or 
dilatory appeals, and may issue an order precluding one or more parties 
from making further interlocutory appeals, and may order such further 
relief as required.

[70 FR 28484, May 18, 2005]



Sec.386.53  Subpoenas, witness fees.

    (a) Applications for the issuance of subpoenas must be submitted to 
the Assistant Administrator, or in cases that have been called for a 
hearing, to the administrative law judge. The application must show the 
general relevance and reasonable scope of the evidence sought. Any 
person served with a subpoena may, within 7 days after service, file a 
motion to quash or modify.

[[Page 312]]

The motion must be filed with the official who approved the subpoena. 
The filing of a motion shall stay the effect of the subpoena until a 
decision is reached.
    (b) Witnesses shall be entitled to the same fees and mileage as are 
paid witnesses in the courts of the United States. The fees shall be 
paid by the party at whose instance the witness is subpoenaed or 
appears.
    (c) Paragraph (a) of this section shall not apply to the 
Administrator or employees of the FMCSA or to the production of 
documents in their custody. Applications for the attendance of such 
persons or the production of such documents at a hearing shall be made 
to the Assistant Administrator or administrative law judge, if one is 
appointed, and shall set forth the need for such evidence and its 
relevancy.



Sec.386.54  Administrative Law Judge.

    (a) Powers of an Administrative Law Judge. The Administrative Law 
Judge may take any action and may prescribe all necessary rules and 
regulations to govern the conduct of the proceedings to ensure a fair 
and impartial hearing, and to avoid delay in the disposition of the 
proceedings. In accordance with the rules in this subchapter, an 
Administrative Law Judge may do the following:
    (1) Give notice of and hold prehearing conferences and hearings.
    (2) Administer oaths and affirmations.
    (3) Issue subpoenas authorized by law.
    (4) Rule on offers of proof.
    (5) Receive relevant and material evidence.
    (6) Regulate the course of the administrative adjudication in 
accordance with the rules of this subchapter and the Administrative 
Procedure Act.
    (7) Hold conferences to settle or simplify the issues by consent of 
the parties.
    (8) Dispose of procedural motions and requests, except motions that 
under this part are made directly to the Assistant Administrator.
    (9) Issue orders permitting inspection and examination of lands, 
buildings, equipment, and any other physical thing and the copying of 
any document.
    (10) Make findings of fact and conclusions of law, and issue 
decisions.
    (11) To take any other action authorized by these rules and 
permitted by law.
    (b) Limitations on the power of the Administrative Law Judge. The 
Administrative Law Judge is bound by the procedural requirements of this 
part and the precedent opinions of the Agency. This section does not 
preclude an Administrative Law Judge from barring a person from a 
specific proceeding based on a finding of obstreperous or disruptive 
behavior in that proceeding.
    (c) Disqualification. The Administrative Law Judge may disqualify 
himself or herself at any time, either at the request of any party or 
upon his or her own initiative. Assignments of Administrative Law Judges 
are made by the Chief Administrative Law Judge upon the request of the 
Assistant Administrator. Any request for a change in such assignment, 
including disqualification, will be considered only for good cause which 
would unduly prejudice the proceeding.

[70 FR 28485, May 18, 2005]



Sec.386.55  Prehearing conferences.

    (a) Convening. At any time before the hearing begins, the 
administrative law judge, on his/her own motion or on motion by a party, 
may direct the parties or their counsel to participate with him/her in a 
prehearing conference to consider the following:
    (1) Simplification and clarification of the issues;
    (2) Necessity or desirability of amending pleadings;
    (3) Stipulations as to the facts and the contents and authenticity 
of documents;
    (4) Issuance of and responses to subpoenas;
    (5) Taking of depositions and the use of depositions in the 
proceedings;
    (6) Orders for discovery, inspection and examination of premises, 
production of documents and other physical objects, and responses to 
such orders;
    (7) Disclosure of the names and addresses of witnesses and the 
exchange of documents intended to be offered in evidence; and

[[Page 313]]

    (8) Any other matter that will tend to simplify the issues or 
expedite the proceedings.
    (b) Order. The administrative law judge shall issue an order which 
recites the matters discussed, the agreements reached, and the rulings 
made at the prehearing conference. The order shall be served on the 
parties and filed in the record of the proceedings.



Sec.386.56  Hearings.

    (a) As soon as practicable after his/her appointment, the 
administrative law judge shall issue an order setting the date, time, 
and place for the hearing. The order shall be served on the parties and 
become a part of the record of the proceedings. The order may be amended 
for good cause shown.
    (b) Conduct of hearing. The administrative law judge presides over 
the hearing. Hearings are open to the public unless the administrative 
law judge orders otherwise.
    (c) Evidence. Except as otherwise provided in these rules and the 
Administrative Procedure Act, 5 U.S.C. 551 et seq., the Federal Rules of 
Evidence shall be followed.
    (d) Information obtained by investigation. Any document, physical 
exhibit, or other material obtained by the Administration in an 
investigation under its statutory authority may be disclosed by the 
Administration during the proceeding and may be offered in evidence by 
counsel for the Administration.
    (e) Record. The hearing shall be stenographically transcribed and 
reported. The transcript, exhibits, and other documents filed in the 
proceedings shall constitute the official record of the proceedings. A 
copy of the transcript and exhibits will be made available to any person 
upon payment of prescribed costs.



Sec.386.57  Proposed findings of fact, conclusions of law.

    The administrative law judge shall afford the parties reasonable 
opportunity to submit proposed findings of fact, conclusions of law, and 
supporting reasons therefor. If the administrative law judge orders 
written proposals and arguments, each proposed finding must include a 
citation to the specific portion of the record relied on to support it. 
Written submissions, if any, must be served within the time period set 
by the administrative law judge.



Sec.386.58  Burden of proof.

    (a) Enforcement cases. The burden of proof shall be on the 
Administration in enforcement cases.
    (b) Conflict of medical opinion. The burden of proof in cases 
arising under Sec.391.47 of this chapter shall be on the party 
petitioning for review under Sec.386.13(a).



                           Subpart E_Decision



Sec.386.61  Decision.

    (a) Administrative Law Judge After receiving the proposed findings 
of fact, conclusions of law, and arguments of the parties, the 
administrative law judge shall issue a decision. If the proposed 
findings of fact, conclusions of law, and arguments were oral, he/she 
may issue an oral decision. The decision of the administrative law judge 
becomes the final decision of the Assistant Administrator 45 days after 
it is served unless a petition or motion for review is filed under Sec.
386.62. The decision shall be served on all parties and on the Assistant 
Administrator.
    (b) Hearing Officer. The Hearing Officer will prepare a report to 
the Assistant Administrator containing findings of fact and recommended 
disposition of the matter within 45 days after the conclusion of the 
hearing. The Assistant Administrator will issue a Final Agency Order 
adopting the report, or may make other such determinations as 
appropriate. The Assistant Administrator's decision to adopt a Hearing 
Officer's report may be reviewed in accordance with Sec.386.64.

[50 FR 40306, Oct. 2, 1985, as amended at 70 FR 28485, May 18, 2005]



Sec.386.62  Review of administrative law judge's decision.

    (a) All petitions to review must be accompanied by exceptions and 
briefs. Each petition must set out in detail objections to the initial 
decision and shall state whether such objections are related to alleged 
errors of law or fact. It shall also state the relief requested.

[[Page 314]]

Failure to object to any error in the initial decision shall waive the 
right to allege such error in subsequent proceedings.
    (b) Reply briefs may be filed within 30 days after service of the 
appeal brief.
    (c) No other briefs shall be permitted except upon request of the 
Assistant Administrator.
    (d) Copies of all briefs must be served on all parties.
    (e) No oral argument will be permitted except on order of the 
Assistant Administrator.



Sec.386.63  Decision on review.

    Upon review of a decision, the Assistant Administrator may adopt, 
modify, or set aside the administrative law judge's findings of fact and 
conclusions of law. He/she may also remand proceedings to the 
administrative law judge with instructions for such further proceedings 
as he/she deems appropriate. If not remanded, the Assistant 
Administrator shall issue a final order disposing of the proceedings, 
and serve it on all parties.



Sec.386.64  Reconsideration.

    (a) Within 20 days following service of the Final Agency Order, any 
party may petition the Assistant Administrator for reconsideration of 
the order. If a civil penalty was imposed, the filing of a petition for 
reconsideration stays the entire action, unless the Assistant 
Administrator orders otherwise.
    (b) In the event a Notice of Default and Final Agency Order is 
issued by the Field Administrator as a result of the respondent's 
failure to reply in accordance with Sec.386.14(a), the only issue that 
will be considered upon reconsideration is whether a default has 
occurred under Sec.386.14(c). The Final Agency Order may be vacated 
where a respondent can demonstrate excusable neglect, a meritorious 
defense, or due diligence in seeking relief.
    (c) Either party may serve an answer to a petition for 
reconsideration within 30 days of the service date of the petition.
    (d) Following the close of the 30-day period, the Assistant 
Administrator will rule on the petition.
    (e) The ruling on the petition will be the Final Agency Order. A 
petition for reconsideration of the Assistant Administrator's ruling 
will not be permitted.

[70 FR 28485, May 18, 2005]



Sec.386.65  Failure to comply with final order.

    If, within 30 days of receipt of a final agency order issued under 
this part, the respondent does not submit in writing his/her acceptance 
of the terms of an order directing compliance, or, where appropriate, 
pay a civil penalty, or file an appeal under Sec.386.67, the case may 
be referred to the Attorney General with a request that an action be 
brought in the appropriate United States District Court to enforce the 
terms of a compliance order or collect the civil penalty.



Sec.386.66  Motions for rehearing or for modification.

    (a) No motion for rehearing or for modification of an order shall be 
entertained for 1 year following the date the Assistant Administrator's 
order goes into effect. After 1 year, any party may file a motion with 
the Assistant Administrator requesting a rehearing or modification of 
the order. The motion must contain the following:
    (1) A copy of the order about which the change is requested;
    (2) A statement of the changed circumstances justifying the request; 
and
    (3) Copies of all evidence intended to be relied on by the party 
submitting the motion.
    (b) Upon receipt of the motion, the Assistant Administrator may make 
a decision denying the motion or modifying the order in whole or in 
part. He/she may also, prior to making his/her decision, order such 
other proceedings under these rules as he/she deems necessary and may 
request additional information from the party making the motion.



Sec.386.67  Judicial review.

    (a) Any party to the underlying proceeding, who, after an 
administrative adjudication, is adversely affected by a Final Agency 
Order issued under 49 U.S.C. 521 may, within 30 days of service of the 
Final Agency Order, petition

[[Page 315]]

for review of the order in the United States Court of Appeals in the 
circuit where the violation is alleged to have occurred, or where the 
violator has its principal place of business or residence, or in the 
United States Court of Appeals for the District of Columbia Circuit.
    (b) Judicial review will be based on a determination of whether the 
findings and conclusions in the Final Agency Order were supported by 
substantial evidence or were otherwise not in accordance with law. No 
objection that has not been raised before the Agency will be considered 
by the court, unless reasonable grounds existed for failure or neglect 
to do so. The commencement of proceedings under this section will not, 
unless ordered by the court, operate as a stay of the Final Agency Order 
of the Agency.

[70 FR 28485, May 18, 2005]



               Subpart F_Injunctions and Imminent Hazards



Sec.386.71  Injunctions.

    Whenever it is determined that a person has engaged, or is about to 
engage, in any act or practice constituting a violation of section 31502 
of title 49, United States Code; of the Motor Carrier Safety Act of 
1984; the Hazardous Materials Transportation Act; or any regulation or 
order issued under that section or those Acts for which the Federal 
Motor Carrier Safety Administrator exercises enforcement responsibility, 
the Chief Counsel may request the United States Attorney General to 
bring an action in the appropriate United States District Court for such 
relief as is necessary or appropriate, including mandatory or 
prohibitive injunctive relief, interim equitable relief, and punitive 
damages, as provided by section 213(c) of the Motor Carrier Safety Act 
of 1984 and section 111(a) of the Hazardous Materials Transportation Act 
(49 U.S.C. 507(c) 5122).

[70 FR 28485, May 18, 2005]



Sec.386.72  Imminent hazard.

    (a) Whenever it is determined that an imminent hazard exists as a 
result of the transportation by motor vehicle of a particular hazardous 
material, the Chief Counsel or Deputy Chief Counsel of the FMCSA may 
bring, or request the United States Attorney General to bring, an action 
in the appropriate United States District Court for an order suspending 
or restricting the transportation by motor vehicle of the hazardous 
material or for such other order as is necessary to eliminate or 
ameliorate the imminent hazard, as provided by 49 U.S.C. 5122. In this 
paragraph, ``imminent hazard'' means the existence of a condition that 
presents a substantial likelihood that death, serious illness, severe 
personal injury, or a substantial endangerment to health, property, or 
the environment may occur before a notice of investigation proceeding, 
or other administrative hearing or formal proceeding, to abate the risk 
of harm can be completed.
    (b)(1) Whenever it is determined that a violation of 49 U.S.C. 31502 
or the Motor Carrier Safety Act of 1984, as amended, or the Commercial 
Motor Vehicle Safety Act of 1986, as amended, or a regulation issued 
under such section or Acts, or a combination of such violations, poses 
an imminent hazard to safety, the Director of the Office of Enforcement 
and Compliance or a Division Administrator, or his or her delegate, 
shall order:
    (i) A commercial motor vehicle or employee operating such vehicle 
out-of-service, or order an employer to cease all or part of the 
employer's commercial motor vehicle operations, as provided by 49 U.S.C. 
521(b)(5);
    (ii) An intermodal equipment provider's specific vehicle or 
equipment out-of-service, or order an intermodal equipment provider to 
cease all or part of its operations, as provided by 49 U.S.C. 521(b)(5) 
and 49 U.S.C. 31151(a)(3)(I).
    (2) In making any such order, no restrictions shall be imposed on 
any vehicle, terminal or facility, employee, employer or intermodal 
equipment provider beyond that required to abate the hazard.
    (3) In this paragraph (b), imminent hazard means any condition of 
vehicle, intermodal equipment, employee or commercial motor vehicle 
operations that substantially increases the likelihood of serious injury 
or death if not discontinued immediately.

[[Page 316]]

    (4) Upon the issuance of an order under paragraph (b)(1) of this 
section, the motor carrier employer, intermodal equipment provider or 
driver employee shall comply immediately with such order. Opportunity 
for review shall be provided in accordance with 5 U.S.C. 554, except 
that such review shall occur not later than 10 days after issuance of 
such order, as provided by section 213(b) of the Motor Carrier Safety 
Act of 1984 (49 U.S.C. 521(b)(5)). An order to an employer or intermodal 
equipment provider to cease all or part of its operations shall not 
prevent vehicles in transit at the time the order is served from 
proceeding to their immediate destinations, unless any such vehicle or 
its driver is specifically ordered out-of-service forthwith. However, 
vehicles and drivers proceeding to their immediate destination shall be 
subject to compliance upon arrival.
    (5) For purposes of this section, the term immediate destination is 
the next scheduled stop of the vehicle already in motion where the cargo 
on board can be safely secured.
    (6) Failure to comply immediately with an order issued under this 
section shall subject the motor carrier employer, intermodal equipment 
provider, or driver to penalties prescribed in subpart G of this part.

[50 FR 40306, Oct. 2, 1985, as amended at 53 FR 2036, Jan. 26, 1988; 53 
FR 50970, Dec. 19, 1988; 56 FR 10184, Mar. 11, 1991; 65 FR 7756, Feb. 
16, 2000; 65 FR 58664, Oct. 2, 2000; 73 FR 76819, Dec. 17, 2008; 78 FR 
58481, Sept. 24, 2013]



Sec.386.73  Operations out of service and record consolidation
proceedings (reincarnated carriers).

    (a) Out-of-service order. An FMCSA Field Administrator or the 
Director of FMCSA's Office of Enforcement and Compliance (Director) may 
issue an out-of-service order to prohibit a motor carrier, intermodal 
equipment provider, broker, or freight forwarder from conducting 
operations subject to FMCSA jurisdiction upon a determination by the 
Field Administrator or Director that the motor carrier, intermodal 
equipment provider, broker, or freight forwarder or an officer, 
employee, agent, or authorized representative of such an entity, 
operated or attempted to operate a motor carrier, intermodal equipment 
provider, broker, or freight forwarder under a new identity or as an 
affiliated entity to:
    (1) Avoid complying with an FMCSA order;
    (2) Avoid complying with a statutory or regulatory requirement;
    (3) Avoid paying a civil penalty;
    (4) Avoid responding to an enforcement action; or
    (5) Avoid being linked with a negative compliance history.
    (b) Record consolidation order. In addition to, or in lieu of, an 
out-of-service order issued under this section, the Field Administrator 
or Director may issue an order consolidating the records maintained by 
FMCSA concerning the current motor carrier, intermodal equipment 
provider, broker, and freight forwarder and its affiliated motor 
carrier, intermodal equipment provider, broker, or freight forwarder or 
its previous incarnation, for all purposes, upon a determination that 
the motor carrier, intermodal equipment provider, broker, and freight 
forwarder or officer, employee, agent, or authorized representative of 
the same, operated or attempted to operate a motor carrier, intermodal 
equipment provider, broker, or freight forwarder under a new identity or 
as an affiliated entity to:
    (1) Avoid complying with an FMCSA order;
    (2) Avoid complying with a statutory or regulatory requirement;
    (3) Avoid paying a civil penalty;
    (4) Avoid responding to an enforcement action; or
    (5) Avoid being linked with a negative compliance history.
    (c) Standard. The Field Administrator or Director may determine that 
a motor carrier, intermodal equipment provider, broker, or freight 
forwarder is reincarnated if there is substantial continuity between the 
entities such that one is merely a continuation of the other. The Field 
Administrator or Director may determine that a motor carrier, intermodal 
equipment provider, broker, or freight forwarder is an affiliate if the 
business operations are

[[Page 317]]

under common ownership and/or common control. In making this 
determination, the Field Administrator or Director may consider, among 
other things, the following factors:
    (1) Whether the new or affiliated entity was created for the purpose 
of evading statutory or regulatory requirements, an FMCSA order, 
enforcement action, or negative compliance history. In weighing this 
factor, the Field Administrator or Director may consider the stated 
business purpose for the creation of the new or affiliated entity.
    (2) The previous entity's safety performance history, including, 
among other things, safety violations and enforcement actions of the 
Secretary, if any;
    (3) Consideration exchanged for assets purchased or transferred;
    (4) Dates of company creation and dissolution or cessation of 
operations;
    (5) Commonality of ownership between the current and former company 
or between current companies;
    (6) Commonality of officers and management personnel;
    (7) Identity of physical or mailing addresses, telephone, fax 
numbers, or email addresses;
    (8) Identity of motor vehicle equipment;
    (9) Continuity of liability insurance policies or commonality of 
coverage under such policies;
    (10) Commonality of drivers and other employees;
    (11) Continuation of carrier facilities and other physical assets;
    (12) Continuity or commonality of nature and scope of operations, 
including customers for whom transportation is provided;
    (13) Advertising, corporate name, or other acts through which the 
company holds itself out to the public;
    (d) Evaluating factors. The Field Administrator or Director may 
examine, among other things, the company management structures, 
financial records, corporate filing records, asset purchase or transfer 
and title history, employee records, insurance records, and any other 
information related to the general operations of the entities involved 
and factors in paragraph (c) of this section.
    (e) Effective dates. An order issued under this section becomes the 
Final Agency Order and is effective on the 21st day after it is served 
unless a request for administrative review is served and filed as set 
forth in paragraph (g) of this section. Any motor carrier, intermodal 
equipment provider, broker, or freight forwarder that fails to comply 
with any prohibition or requirement set forth in an order issued under 
this section is subject to the applicable penalty provisions for each 
instance of noncompliance.
    (f) Commencement of proceedings. The Field Administrator or Director 
may commence proceedings under this section by issuing an order that:
    (1) Provides notice of the factual and legal basis of the order;
    (2) In the case of an out-of-service order, identifies the 
operations prohibited by the order;
    (3) In the case of an order that consolidates records maintained by 
FMCSA, identifies the previous entity and current or affiliated motor 
carriers, intermodal equipment providers, brokers, or freight forwarders 
whose records will be consolidated;
    (4) Provides notice that the order is effective upon the 21st day 
after service;
    (5) Provides notice of the right to petition for administrative 
review of the order and that a timely petition will stay the effective 
date of the order unless the Assistant Administrator orders otherwise 
for good cause; and
    (6) Provides notice that failure to timely request administrative 
review of the order constitutes waiver of the right to contest the order 
and will result in the order becoming a Final Agency Order 21 days after 
it is served.
    (g) Administrative review. A motor carrier, intermodal equipment 
provider, broker, or freight forwarder issued an order under this 
section may petition for administrative review of the order. A petition 
for administrative review is limited to contesting factual or procedural 
errors in the issuance of the order under review and may not be 
submitted to demonstrate corrective action. A petition for 
administrative review that does not identify factual or procedural 
errors in the issuance of the order under review will be dismissed.

[[Page 318]]

Petitioners seeking to demonstrate corrective action may do so by 
submitting a Petition for Rescission under paragraph (h) of this 
section.
    (1) A petition for administrative review must be in writing and 
served on the Assistant Administrator, Federal Motor Carrier Safety 
Administration, 1200 New Jersey Ave. SE., Washington, DC 20590-0001, 
Attention: Adjudications Counsel, or by electronic mail to 
[email protected]. A copy of the petition for administrative 
review must also be served on the Field Administrator or Director who 
issued the order, at the physical address or electronic mail account 
identified in the order.
    (2) A petition for administrative review must be served within 15 
days of the date the Field Administrator or Director served the order 
issued under this section. Failure to timely request administrative 
review waives the right to administrative review and constitutes an 
admission of the facts alleged in the order.
    (3) A petition for administrative review must include:
    (i) A copy of the order in dispute; and
    (ii) A statement of all factual and procedural issues in dispute.
    (4) If a petition for administrative review is timely served and 
filed, the petitioner may supplement the petition by serving documentary 
evidence and/or written argument that supports its position regarding 
the procedural or factual issues in dispute no later than 30 days from 
the date the disputed order was served. The supplementary documentary 
evidence or written argument may not expand the issues on review and 
need not address every issue identified in the petition. Failure to 
timely serve supplementary documentary evidence and/or written argument 
constitutes a waiver of the right to do so.
    (5) The Field Administrator or Director must serve written argument 
and supporting documentary evidence, if any, in defense of the disputed 
order no later than 15 days following the period in which petitioner may 
serve supplemental documentary evidence and/or written argument in 
support of the petition for administrative review.
    (6) The Assistant Administrator may ask the parties to submit 
additional information or attend a conference to facilitate 
administrative review.
    (7) The Assistant Administrator will issue a written decision on the 
request for administrative review within 30 days of the close of the 
time period for the Field Administrator or the Director to serve written 
argument and supporting documentary evidence in defense of the order, or 
the actual filing of such written argument and documentary evidence, 
whichever is earlier.
    (8) If a petition for administrative review is timely served in 
accordance with this subsection, the disputed order is stayed, pending 
the Assistant Administrator's review. The Assistant Administrator may 
enter an order vacating the automatic stay in accordance with the 
following procedures:
    (i) The Agency Official may file a motion to vacate the automatic 
stay demonstrating good cause why the order should not be stayed. The 
Agency Official's motion must be in writing, state the factual and legal 
basis for the motion, be accompanied by affidavits or other evidence 
relied on, and be served on the petitioner and Assistant Administrator.
    (ii) The petitioner may file an answer in opposition, accompanied by 
affidavits or other evidence relied on. The answer must be served within 
10 days of service of the motion.
    (iii) The Assistant Administrator will issue a decision on the 
motion to vacate the automatic stay within 10 days of the close of the 
time period for serving the answer to the motion. The 30-day period for 
review of the petition for administrative review in paragraph (g)(7) of 
this section is tolled from the time the Agency Official's motion to 
lift a stay is served until the Assistant Administrator issues a 
decision on the motion.
    (9) The Assistant Administrator's decision on a petition for 
administrative review of an order issued under this section constitutes 
the Final Agency Order.
    (h) Petition for rescission. A motor carrier, intermodal equipment 
provider, broker, or freight forwarder may petition to rescind an order 
issued under this section if action has been taken to

[[Page 319]]

correct the deficiencies that resulted in the order.
    (1) A petition for rescission must be made in writing to the Field 
Administrator or Director who issued the order.
    (2) A petition for rescission must include a copy of the order 
requested to be rescinded, a factual statement identifying all 
corrective action taken, and copies of supporting documentation.
    (3) Upon request and for good cause shown, the Field Administrator 
or Director may grant the petitioner additional time, not to exceed 45 
days, to complete corrective action initiated at the time the petition 
for rescission was filed.
    (4) The Field Administrator or Director will issue a written 
decision on the petition for rescission within 60 days of service of the 
petition. The written decision will include the factual and legal basis 
for the determination.
    (5) If the Field Administrator or Director grants the request for 
rescission, the written decision is the Final Agency Order.
    (6) If the Field Administrator or Director denies the request for 
rescission, the petitioner may file a petition for administrative review 
of the denial with the Assistant Administrator, Federal Motor Carrier 
Safety Administration, 1200 New Jersey Ave. SE., Washington, DC 20590-
0001, Attention: Adjudication Counsel or by electronic mail to 
[email protected]. The petition for administrative review of 
the denial must be served and filed within 15 days of the service of the 
decision denying the request for recession. The petition for 
administrative review must identify the disputed factual or procedural 
issues with respect to the denial of the petition for rescission. The 
petition may not, however, challenge the underlying basis of the order 
for which rescission was sought.
    (7) The Assistant Administrator will issue a written decision on the 
petition for administrative review of the denial of the petition for 
rescission within 60 days. The Assistant Administrator's decision 
constitutes the Final Agency Order.
    (i) Other orders unaffected. If a motor carrier, intermodal 
equipment provider, broker, or freight forwarder subject to an order 
issued under this section is or becomes subject to any other order, 
prohibition, or requirement of the FMCSA, an order issued under this 
section is in addition to, and does not amend or supersede such other 
order, prohibition, or requirement. A motor carrier, intermodal 
equipment provider, broker, or freight forwarder subject to an order 
issued under this section remains subject to the suspension and 
revocation provisions of 49 U.S.C. 13905 for violations of regulations 
governing their operations.
    (j) Inapplicability of subparts. Subparts B, C, D, and E of this 
part, except Sec.386.67, do not apply to this section.

[77 FR 24870, Apr. 26, 2012, as amended at 78 FR 58481, Sept. 24, 2013]



                           Subpart G_Penalties

    Source: 56 FR 10184, Mar. 11, 1991, unless otherwise noted.



Sec.386.81  General.

    (a) The amounts of civil penalties that can be assessed for 
regulatory violations subject to the proceedings in this subchapter are 
established in the statutes granting enforcement powers. The 
determination of the actual civil penalties assessed in each proceeding 
is based on those defined limits or minimums and consideration of 
information available at the time the claim is made concerning the 
nature, gravity of the violation and, with respect to the violator, the 
degree of culpability, history of prior offenses, effect on ability to 
continue to do business, and such other matters as justice and public 
safety may require. In addition to these factors, a civil penalty 
assessed under 49 U.S.C. 14901(a) and (d) concerning household goods is 
also based on the degree of harm caused to a shipper and whether the 
shipper has been adequately compensated before institution of the civil 
penalty proceeding. In adjudicating the claims and orders under the 
administrative procedures herein, additional information may be 
developed regarding these factors that may affect the final amount of 
the claim.
    (b) When assessing penalties for violations of notices and orders or 
settling claims based on these assessments,

[[Page 320]]

consideration will be given to good faith efforts to achieve compliance 
with the terms of the notices and orders.

[56 FR 10184, Mar. 11, 1991, as amended at 65 FR 7756, Feb. 16, 2000; 78 
FR 60232, Oct. 1, 2013]



Sec.386.82  Civil penalties for violations of notices and orders.

    (a) Additional civil penalties are chargeable for violations of 
notices and orders which are issued under civil forfeiture proceedings 
pursuant to 49 U.S.C. 521(b). These notices and orders are as follows:
    (1) Notice to abate--Sec.386.11 (b)(2) and (c)(1)(iv);
    (2) Notice to post--Sec.386.11(c)(3);
    (3) Final order--Sec.386.14, Sec.386.17, Sec.386.22, and Sec.
386.61; and
    (4) Out-of-service order--Sec.386.72(b)(1).
    (b) A schedule of these additional penalties is provided in the 
appendix A to this part. All the penalties are maximums, and discretion 
will be retained to meet special circumstances by setting penalties for 
violations of notices and orders, in some cases, at less than the 
maximum.
    (c) Claims for penalties provided in this section and in the 
appendix A to this part shall be made through the civil forfeiture 
proceedings contained in this part. The issues to be decided in such 
proceedings will be limited to whether violations of notices and orders 
occurred as claimed and the appropriate penalty for such violations. 
Nothing contained herein shall be construed to authorize the reopening 
of a matter already finally adjudicated under this part.

[56 FR 10184, Mar. 11, 1991, as amended at 67 FR 61821, Oct. 2, 2002; 70 
FR 28486, May 18, 2005; 77 FR 59826, Oct. 1, 2012]



Sec.386.83  Sanction for failure to pay civil penalties or abide by
payment plan; operation in interstate commerce prohibited.

    (a)(1) General rule. (i) A CMV owner or operator that fails to pay a 
civil penalty in full within 90 days after the date specified for 
payment by FMCSA's final agency order, is prohibited from operating in 
interstate commerce starting on the next (i.e., the 91st) day. The 
prohibition continues until the FMCSA has received full payment of the 
penalty.
    (ii) An intermodal equipment provider that fails to pay a civil 
penalty in full within 90 days after the date specified for payment by 
FMCSA's final agency order, is prohibited from tendering intermodal 
equipment to motor carriers for operation in interstate commerce 
starting on the next (i.e., the 91st) day. The prohibition continues 
until the FMCSA has received full payment of the penalty.
    (2) Civil penalties paid in installments. The FMCSA Service Center 
may allow a CMV owner or operator, or an intermodal equipment provider, 
to pay a civil penalty in installments. If the CMV owner or operator, or 
intermodal equipment provider, fails to make an installment payment on 
schedule, the payment plan is void and the entire debt is payable 
immediately. A CMV owner or operator, or intermodal equipment provider, 
that fails to pay the full outstanding balance of its civil penalty 
within 90 days after the date of the missed installment payment, is 
prohibited from operating in interstate commerce on the next (i.e., the 
91st) day. The prohibition continues until the FMCSA has received full 
payment of the entire penalty.
    (3) Appeals to Federal Court. If the CMV owner or operator, or 
intermodal equipment provider, appeals the final agency order to a 
Federal Circuit Court of Appeals, the terms and payment due date of the 
final agency order are not stayed unless the Court so directs.
    (b) Show cause proceeding. (1) FMCSA will notify a CMV owner or 
operator, or intermodal equipment provider, in writing if it has not 
received payment within 45 days after the date specified for payment by 
the final agency order or the date of a missed installment payment. The 
notice will include a warning that failure to pay the entire penalty 
within 90 days after payment was due, will result in the CMV owner or 
operator, or an intermodal equipment provider, being prohibited from 
operating in interstate commerce.
    (2) The notice will order the CMV owner or operator, or intermodal 
equipment provider, to show cause why it should not be prohibited from 
operating in interstate commerce on the

[[Page 321]]

91st day after the date specified for payment. The prohibition may be 
avoided only by submitting to the Chief Safety Officer:
    (i) Evidence that the respondent has paid the entire amount due; or
    (ii) Evidence that the respondent has filed for bankruptcy under 
chapter 11, title 11, United States Code. Respondents in bankruptcy must 
also submit the information required by paragraph (d) of this section.
    (3) The notice will be delivered by certified mail or commercial 
express service. If the principal place of business of a CMV owner or 
operator, or an intermodal equipment provider, is in a foreign country, 
the notice will be delivered to the designated agent of the CMV owner or 
operator or intermodal equipment provider.
    (c) A CMV owner or operator, or intermodal equipment provider that 
continues to operate in interstate commerce in violation of this section 
may be subject to additional sanctions under paragraph IV of (i) 
appendix A to part 386.
    (d) This section does not apply to any person who is unable to pay a 
civil penalty because the person is a debtor in a case under 11 U.S.C. 
chapter 11. CMV owners or operators, or intermodal equipment providers, 
in bankruptcy proceedings under chapter 11 must provide the following 
information in their response to the FMCSA:
    (1) The chapter of the Bankruptcy Code under which the bankruptcy 
proceeding is filed (i.e., chapter 7 or 11);
    (2) The bankruptcy case number;
    (3) The court in which the bankruptcy proceeding was filed; and
    (4) Any other information requested by the agency to determine a 
debtor's bankruptcy status.

[73 FR 76819, Dec. 17, 2008, as amended at 74 FR 68708, Dec. 29, 2009; 
78 FR 58481, Sept. 24, 2013]



Sec.386.84  Sanction for failure to pay civil penalties or abide by
payment plan; suspension or revocation of registration.

    (a)(1) General rule. The registration of a broker, freight 
forwarder, for-hire motor carrier, foreign motor carrier or foreign 
motor private carrier that fails to pay a civil penalty in full within 
90 days after the date specified for payment by the FMCSA's final agency 
order, will be suspended starting on the next (i.e., the 91st) day. The 
suspension continues until the FMCSA has received full payment of the 
penalty.
    (2) Civil penalties paid in installments. The FMCSA Service Center 
may allow a respondent broker, freight forwarder, for-hire motor 
carrier, foreign motor carrier or foreign motor private carrier to pay a 
civil penalty in installments. If the respondent fails to make an 
installment payment on schedule, the payment plan is void and the entire 
debt is payable immediately. The registration of a respondent that fails 
to pay the remainder of its civil penalty in full within 90 days after 
the date of the missed installment payment is suspended on the next 
(i.e., the 91st) day. The suspension continues until the FMCSA has 
received full payment of the entire penalty.
    (3) Appeals to Federal Court. If the respondent broker, freight 
forwarder, for-hire motor carrier, foreign motor carrier or foreign 
motor private carrier appeals the final agency order to a Federal 
Circuit Court of Appeals, the terms and payment due date of the final 
agency order are not stayed unless the Court so directs.
    (b) Show Cause Proceeding. (1) The FMCSA will notify a broker, 
freight forwarder, for-hire motor carrier, foreign motor carrier or 
foreign motor private carrier in writing if it has not received payment 
within 45 days after the date specified for payment by the final agency 
order or the date of a missed installment payment. The notice will 
include a warning that failure to pay the entire penalty within 90 days 
after payment was due will result in the suspension of the respondent's 
registration.
    (2) The notice will order the respondent to show cause why its 
registration should not be suspended on the 91st day after the date 
specified for payment. The prohibition may be avoided only by submitting 
to the Chief Safety Officer:
    (i) Evidence that the respondent has paid the entire amount due; or
    (ii) Evidence that the respondent has filed for bankruptcy under 
chapter 11,

[[Page 322]]

title 11, United States Code. Respondents in bankruptcy must also submit 
the information required by paragraph (d) of this section.
    (3) The notice will be delivered by certified mail or commercial 
express service. If a respondent's principal place of business is in a 
foreign country, it will be delivered to the respondent's designated 
agent.
    (c) The registration of a broker, freight forwarder, for-hire motor 
carrier, foreign motor carrier or foreign motor private carrier that 
continues to operate in interstate commerce in violation of this section 
after its registration has been suspended may be revoked after an 
additional notice and opportunity for a proceeding in accordance with 49 
U.S.C. 13905(c). Additional sanctions may be imposed under paragraph 
IV(i) of Appendix A to part 386.
    (d) This section does not apply to any person who is unable to pay a 
civil penalty because the person is a debtor in a case under chapter 11, 
title 11, United States Code. Brokers, freight forwarders, for-hire 
motor carriers, foreign motor carriers or foreign motor private carriers 
in bankruptcy proceedings under chapter 11 must provide the following 
information in their response to the FMCSA:
    (1) The chapter of the Bankruptcy Code under which the bankruptcy 
proceeding is filed (i.e., chapter 7 or 11);
    (2) The bankruptcy case number;
    (3) The court in which the bankruptcy proceeding was filed; and
    (4) Any other information requested by the agency to determine a 
debtor's bankruptcy status.

[65 FR 78428, Dec. 15, 2000, as amended at 78 FR 60232, Oct. 1, 2013]



Sec. Appendix A to Part 386--Penalty Schedule; Violations of Notices and 
                                 Orders

                           I. Notice To Abate

    Violation--Failure to cease violations of the regulations in the 
time prescribed in the notice. (The time within to comply with a notice 
to abate shall not begin to run with respect to contested violations, 
i.e., where there are material issues in dispute under Sec.386.14, 
until such time as the violation has been established.)
    Penalty reinstatement of any deferred assessment or payment of a 
penalty or portion thereof.

                              II. Subpoena

    Violation--Failure to respond to Agency subpoena to appear and 
testify or produce records.
    Penalty--minimum of $1,000 but not more than $10,000 per violation.

                            III. Final Order

    Violation--Failure to comply with Final Agency Order.
    Penalty--Automatic reinstatement of any penalty previously reduced 
or held in abeyance and restoration of the full amount assessed in the 
Notice of Claim less any payments previously made.

                        IV. Out-of-Service Order

    a. Violation--Operation of a commercial vehicle by a driver during 
the period the driver was placed out of service.
    Penalty--Up to $2,100 per violation.
(For purposes of this violation, the term ''driver`` means an operator 
of a commercial motor vehicle, including an independent contractor who, 
while in the course of operating a commercial motor vehicle, is employed 
or used by another person.)
    b. Violation--Requiring or permitting a driver to operate a 
commercial vehicle during the period the driver was placed out of 
service.
    Penalty--Up to $16,000 per violation.
(This violation applies to motor carriers, including an independent 
contractor who is not a ``driver,'' as defined under paragraph IVa 
above.)
    c. Violation--Operation of a commercial motor vehicle or intermodal 
equipment by a driver after the vehicle or intermodal equipment was 
placed out-of-service and before the required repairs are made.
    Penalty--$2,100 each time the vehicle or intermodal equipment is so 
operated.
    (This violation applies to drivers as defined in IVa above.)
    d. Violation--Requiring or permitting the operation of a commercial 
motor vehicle or intermodal equipment placed out-of-service before the 
required repairs are made.
    Penalty--Up to $16,000 each time the vehicle or intermodal equipment 
is so operated after notice of the defect is received.
    (This violation applies to intermodal equipment providers and motor 
carriers, including an independent owner-operator who is not a 
``driver,'' as defined in IVa above.)
    e. Violation--Failure to return written certification of correction 
as required by the out-of-service order.
Penalty--Up to $750 per violation.

[[Page 323]]

    f. Violation--Knowingly falsifies written certification of 
correction required by the out-of-service order.
    Penalty--Considered the same as the violations described in 
paragraphs IVc and IVd above, and subject to the same penalties.

    Note: Falsification of certification may also result in criminal 
prosecution under 18 U.S.C. 1001.

    g. Violation--Operating in violation of an order issued under Sec.
386.72(b) to cease all or part of the employer's commercial motor 
vehicle operations or to cease all or part of an intermodal equipment 
provider's operations, i.e., failure to cease operations as ordered.
    Penalty--Up to $25,000 per day the operation continues after the 
effective date and time of the order to cease.
    h. Violation--Operating in violation of an order issued under Sec.
386.73. Penalty--Up to $16,000 per day the operation continues after the 
effective date and time of the out-of-service order.
    i. Violation--Conducting operations during a period of suspension 
under Sec.386.83 or Sec.386.84 for failure to pay penalties.
    Penalty--Up to $11,000 for each day that operations are conducted 
during the suspension period.

[56 FR 10184, Mar. 11, 1991, as amended at 63 FR 12414, Mar. 13, 1998; 
65 FR 78429, Dec. 15, 2000; 68 FR 15383, Mar. 31, 2003; 70 FR 28486, May 
18, 2005; 72 FR 55102, Sept. 28, 2007; 73 FR 76820, Dec. 17, 2008; 77 FR 
24872, Apr. 26, 2012; 78 FR 60233, Oct. 1, 2013]



Sec. Appendix B to Part 386-- Penalty Schedule; Violations and Monetary 
                                Penalties

    The Debt Collection Improvement Act of 1996 [Public Law 104-134, 
title III, chapter 10, Sec. 31001, par. (s), 110 Stat. 1321-373] amended 
the Federal Civil Penalties Inflation Adjustment Act of 1990 to require 
agencies to adjust for inflation ``each civil monetary penalty provided 
by law within the jurisdiction of the Federal agency * * *'' and to 
publish that regulation in the Federal Register. Pursuant to that 
authority, the inflation-adjusted civil penalties listed in paragraphs 
(a) through (h) of this appendix supersede the corresponding civil 
penalty amounts listed in title 49, United States Code.
    What are the types of violations and maximum monetary penalties?
    (a) Violations of the Federal Motor Carrier Safety Regulations 
(FMCSRs):
    (1) Recordkeeping. A person or entity that fails to prepare or 
maintain a record required by parts 40, 382, 385, and 390-99 of this 
subchapter, or prepares or maintains a required record that is 
incomplete, inaccurate, or false, is subject to a maximum civil penalty 
of $1,000 for each day the violation continues, up to $10,000.
    (2) Knowing falsification of records. A person or entity that 
knowingly falsifies, destroys, mutilates, or changes a report or record 
required by parts 382, 385, and 390-99 of this subchapter, knowingly 
makes or causes to be made a false or incomplete record about an 
operation or business fact or transaction, or knowingly makes, prepares, 
or preserves a record in violation of a regulation or order of the 
Secretary is subject to a maximum civil penalty of $10,000 if such 
action misrepresents a fact that constitutes a violation other than a 
reporting or recordkeeping violation.
    (3) Non-recordkeeping violations. A person or entity that violates 
parts 382, 385, or 390-99 of this subchapter, except a recordkeeping 
requirement, is subject to a civil penalty not to exceed $11,000 for 
each violation.
    (4) Non-recordkeeping violations by drivers. A driver who violates 
parts 382, 385, and 390-99 of this subchapter, except a recordkeeping 
violation, is subject to a civil penalty not to exceed $2,750.
    (5) Violation of 49 CFR 392.5. A driver placed out of service for 24 
hours for violating the alcohol prohibitions of 49 CFR 392.5(a) or (b) 
who drives during that period is subject to a civil penalty not to 
exceed $3,750 for each violation.
    (6) Egregious violations of driving-time limits in 49 CFR part 395. 
A driver who exceeds, and a motor carrier that requires or permits a 
driver to exceed, by more than 3 hours the driving-time limit in 49 CFR 
395.3(a) or 395.5(a), as applicable, shall be deemed to have committed 
an egregious driving-time limit violation. In instances of an egregious 
driving-time violation, the Agency will consider the ``gravity of the 
violation,'' for purposes of 49 U.S.C. 521(b)(2)(D), sufficient to 
warrant imposition of penalties up to the maximum permitted by law.
    (b) Commercial driver's license (CDL) violations. Any person who 
violates 49 CFR part 383, subparts B, C, E, F, G, or H is subject to a 
civil penalty of $3,750.
    (c) Special penalties pertaining to violations of out-of-service 
orders by CDL-holders. A CDL-holder who is convicted of violating an 
out-of-service order shall be subject to a civil penalty of not less 
than $2,100 nor more than $3,750. An employer of a CDL-holder who 
knowingly allows, requires, permits, or authorizes that employee to 
operate a CMV during any period in which the CDL-holder is subject to an 
out-of-service order, is subject to a civil penalty of not less than 
$3,750 or more than $16,000.
    (d) Financial responsibility violations. A motor carrier that fails 
to maintain the levels of financial responsibility prescribed by Part 
387 of this subchapter is subject to a maximum penalty of $16,000 for 
each violation. Each day of a continuing violation constitutes a 
separate offense.

[[Page 324]]

    (e) Violations of the Hazardous Materials Regulations (HMRs) and 
Safety Permitting Regulations found in subpart E of Part 385. This 
paragraph applies to violations by motor carriers, drivers, shippers and 
other persons who transport hazardous materials on the highway in 
commercial motor vehicles or cause hazardous materials to be so 
transported.
    (1) All knowing violations of 49 U.S.C. chapter 51 or orders or 
regulations issued under the authority of that chapter applicable to the 
transportation or shipment of hazardous materials by commercial motor 
vehicle on highways are subject to a civil penalty of not less than $250 
and not more than $50,000 for each violation. Each day of a continuing 
violation constitutes a separate offense.
    (2) All knowing violations of 49 U.S.C. chapter 51 or orders or 
regulations issued under the authority of that chapter applicable to 
training related to the transportation or shipment of hazardous 
materials by commercial motor vehicle on highways are subject to a civil 
penalty of not less than $450 and not more than $50,000 for each 
violation.
    (3) All knowing violations of 49 U.S.C. chapter 51 or orders, 
regulations, or exemptions issued under the authority of that chapter 
applicable to the manufacture, fabrication, marking, maintenance, 
reconditioning, repair, or testing of a packaging or container that is 
represented, marked, certified, or sold as being qualified for use in 
the transportation or shipment of hazardous materials by commercial 
motor vehicle on highways are subject to a civil penalty of not less 
than $250 and not more than $50,000 for each violation.
    (4) Whenever regulations issued under the authority of 49 U.S.C. 
chapter 51 require compliance with the FMCSRs while transporting 
hazardous materials, any violations of the FMCSRs will be considered a 
violation of the HMRs and subject to a civil penalty of not less than 
$250 and not more than $50,000.
    (5) If any violation subject to the civil penalties set out in 
paragraphs (e)(1) through (4) of this appendix results in death, serious 
illness, or severe injury to any person or in substantial destruction of 
property, the civil penalty may be increased to not more than $105,000 
for each offense.
    (f) Operating after being declared unfit by assignment of a final 
``unsatisfactory'' safety rating. (1) A motor carrier operating a 
commercial motor vehicle in interstate commerce (except owners or 
operators of commercial motor vehicles designed or used to transport 
hazardous materials for which placarding of a motor vehicle is required 
under regulations prescribed under 49 U.S.C. chapter 51) is subject, 
after being placed out of service because of receiving a final 
``unsatisfactory'' safety rating, to a civil penalty of not more than 
$25,000 (49 CFR 385.13). Each day the transportation continues in 
violation of a final ``unsatisfactory'' safety rating constitutes a 
separate offense.
    (2) A motor carrier operating a commercial motor vehicle designed or 
used to transport hazardous materials for which placarding of a motor 
vehicle is required under regulations prescribed under 49 U.S.C. chapter 
51 is subject, after being placed out of service because of receiving a 
final ``unsatisfactory'' safety rating, to a civil penalty of not more 
than $75,000 for each offense. If the violation results in death, 
serious illness, or severe injury to any person or in substantial 
destruction of property, the civil penalty may be increased to not more 
than $175,000 for each offense. Each day the transportation continues in 
violation of a final ``unsatisfactory'' safety rating constitutes a 
separate offense.
    (g) Violations of the commercial regulations (CRs). Penalties for 
violations of the CRs are specified in 49 U.S.C. Chapter 149. These 
penalties relate to transportation subject to the Secretary's 
jurisdiction under 49 U.S.C. Chapter 135. Unless otherwise noted, a 
separate violation occurs for each day the violation continues.
    (1) A person who fails to make a report, to specifically, 
completely, and truthfully answer a question, or to make, prepare, or 
preserve a record in the form and manner prescribed is liable for a 
minimum penalty of $1,000 per violation.
    (2) A person who operates as a carrier or broker for the 
transportation of property in violation of the registration requirements 
of 49 U.S.C. 13901 is liable for a minimum penalty of $10,000 per 
violation.
    (3) A person who operates as a motor carrier of passengers in 
violation of the registration requirements of 49 U.S.C. 13901 is liable 
for a minimum penalty of $25,000 per violation.
    (4) A person who operates as a foreign motor carrier or foreign 
motor private carrier in violation of the provisions of 49 U.S.C. 13902 
(c) is liable for a minimum penalty of $650 per violation.
    (5) A person who operates as a foreign motor carrier or foreign 
motor private carrier without authority, before the implementation of 
the land transportation provisions of the North American Free Trade 
Agreement, outside the boundaries of a commercial zone along the United 
States-Mexico border is liable for a maximum penalty of $11,000 for an 
intentional violation and a maximum penalty of $32,500 for a pattern of 
intentional violations.
    (6) A person who operates as a motor carrier or broker for the 
transportation of hazardous wastes in violation of the registration 
provisions of 49 U.S.C. 13901 is liable for a minimum penalty of $20,000 
and a maximum penalty of $40,000 per violation.
    (7) A motor carrier or freight forwarder of household goods, or 
their receiver or trustee,

[[Page 325]]

that does not comply with any regulation relating to the protection of 
individual shippers is liable for a minimum penalty of $1,100 per 
violation.
    (8) A person--
    (i) Who falsifies, or authorizes an agent or other person to 
falsify, documents used in the transportation of household goods by 
motor carrier or freight forwarder to evidence the weight of a shipment 
or
    (ii) Who charges for services which are not performed or are not 
reasonably necessary in the safe and adequate movement of the shipment 
is liable for a minimum penalty of $2,200 for the first violation and 
$6,500 for each subsequent violation.
    (9) A person who knowingly accepts or receives from a carrier a 
rebate or offset against the rate specified in a tariff required under 
49 U.S.C. 13702 for the transportation of property delivered to the 
carrier commits a violation for which the penalty is equal to three 
times the amount accepted as a rebate or offset and three times the 
value of other consideration accepted or received as a rebate or offset 
for the six-year period before the action is begun.
    (10) A person who offers, gives, solicits, or receives 
transportation of property by a carrier at a different rate than the 
rate in effect under 49 U.S.C. 13702 is liable for a maximum penalty of 
$110,000 per violation. When acting in the scope of his/her employment, 
the acts or omissions of a person acting for or employed by a carrier or 
shipper are considered to be the acts and omissions of that carrier or 
shipper, as well as that person.
    (11) Any person who offers, gives, solicits, or receives a rebate or 
concession related to motor carrier transportation subject to 
jurisdiction under subchapter I of 49 U.S.C. Chapter 135, or who assists 
or permits another person to get that transportation at less than the 
rate in effect under 49 U.S.C. 13702, commits a violation for which the 
penalty is $200 for the first violation and $275 for each subsequent 
violation.
    (12) A freight forwarder, its officer, agent, or employee, that 
assists or willingly permits a person to get service under 49 U.S.C. 
13531 at less than the rate in effect under 49 U.S.C. 13702 commits a 
violation for which the penalty is up to $650 for the first violation 
and up to $2,200 for each subsequent violation.
    (13) A person who gets or attempts to get service from a freight 
forwarder under 49 U.S.C. 13531 at less than the rate in effect under 49 
U.S.C. 13702 commits a violation for which the penalty is up to $650 for 
the first violation and up to $2,200 for each subsequent violation.
    (14) A person who knowingly authorizes, consents to, or permits a 
violation of 49 U.S.C. 14103 relating to loading and unloading motor 
vehicles or who knowingly violates subsection (a) of 49 U.S.C. 14103 is 
liable for a penalty of not more than $11,000 per violation.
    (15) A person, or an officer, employee, or agent of that person, who 
tries to evade regulation under Part B of Subtitle IV, Title 49, U.S.C., 
for carriers or brokers is liable for a penalty of $220 for the first 
violation and at least $275 for a subsequent violation.
    (16) A person required to make a report to the Secretary, answer a 
question, or make, prepare, or preserve a record under Part B of 
Subtitle IV, Title 49, U.S.C., or an officer, agent, or employee of that 
person, is liable for a maximum penalty of $6,500 per violation if it 
does not make the report, does not completely and truthfully answer the 
question within 30 days from the date the Secretary requires the answer, 
does not make or preserve the record in the form and manner prescribed, 
falsifies, destroys, or changes the report or record, files a false 
report or record, makes a false or incomplete entry in the record about 
a business related fact, or prepares or preserves a record in violation 
of a regulation or order of the Secretary.
    (17) A motor carrier, water carrier, freight forwarder, or broker, 
or their officer, receiver, trustee, lessee, employee, or other person 
authorized to receive information from them, who discloses information 
identified in 49 U.S.C. 14908 without the permission of the shipper or 
consignee is liable for a maximum penalty of $2,200.
    (18) A person who violates a provision of Part B, Subtitle IV, Title 
49, U.S.C., or a regulation or order under Part B, or who violates a 
condition of registration related to transportation that is subject to 
jurisdiction under subchapter I or III or Chapter 135, or who violates a 
condition of registration of a foreign motor carrier or foreign motor 
private carrier under section 13902, is liable for a penalty of $650 for 
each violation if another penalty is not provided in 49 U.S.C. Chapter 
149.
    (19) A violation of Part B, Subtitle IV, Title 49, U.S.C., committed 
by a director, officer, receiver, trustee, lessee, agent, or employee of 
a carrier that is a corporation is also a violation by the corporation 
to which the penalties of Chapter 149 apply. Acts and omissions of 
individuals acting in the scope of their employment with a carrier are 
considered to be the actions and omissions of the carrier as well as the 
individual.
    (20) In a proceeding begun under 49 U.S.C. 14902 or 14903, the rate 
that a carrier publishes, files, or participates in under section 13702 
is conclusive proof against the carrier, its officers, and agents that 
it is the legal rate for the transportation or service. Departing, or 
offering to depart, from that published or filed rate is a violation of 
49 U.S.C. 14902 and 14903.
    (21) A person--

[[Page 326]]

    (i) Who knowingly and willfully fails, in violation of a contract, 
to deliver to, or unload at, the destination of a shipment of household 
goods in interstate commerce for which charges have been estimated by 
the motor carrier transporting such goods, and for which the shipper has 
tendered a payment in accordance with part 375, subpart G of this 
chapter, is liable for a civil penalty of not less than $10,000 for each 
violation. Each day of a continuing violation constitutes a separate 
offense.
    (ii) Who is a carrier or broker and is found to be subject to the 
civil penalties in paragraph (i) of this appendix may also have his or 
her carrier and/or broker registration suspended for not less than 12 
months and not more than 36 months under 49 U.S.C. chapter 139. Such 
suspension of a carrier or broker shall extend to and include any 
carrier or broker having the same ownership or operational control as 
the suspended carrier or broker.
    (22) A broker for transportation of household goods who makes an 
estimate of the cost of transporting any such goods before entering into 
an agreement with a motor carrier to provide transportation of household 
goods subject to FMCSA jurisdiction is liable to the United States for a 
civil penalty of not less than $10,000 for each violation.
    (23) A person who provides transportation of household goods subject 
to jurisdiction under 49 U.S.C. chapter 135, subchapter I, or provides 
broker services for such transportation, without being registered under 
49 U.S.C. chapter 139 to provide such transportation or services as a 
motor carrier or broker, as the case may be, is liable to the United 
States for a civil penalty of not less than $25,000 for each violation.
    (h) Copying of records and access to equipment, lands, and 
buildings. A person subject to 49 U.S.C. chapter 51 or a motor carrier, 
broker, freight forwarder, or owner or operator of a commercial motor 
vehicle subject to part B of subtitle VI of title 49 U.S.C. who fails to 
allow promptly, upon demand in person or in writing, the Federal Motor 
Carrier Safety Administration, an employee designated by the Federal 
Motor Carrier Safety Administration, or an employee of a MCSAP grant 
recipient to inspect and copy any record or inspect and examine 
equipment, lands, buildings, and other property, in accordance with 49 
U.S.C. 504(c), 5121(c), and 14122(b), is subject to a civil penalty of 
not more than $1,000 for each offense. Each day of a continuing 
violation constitutes a separate offense, except that the total of all 
civil penalties against any violator for all offenses related to a 
single violation shall not exceed $10,000.
    (i) A person, or an officer, employee, or agent of that person, that 
by any means tries to evade regulation of motor carriers under Title 49, 
United States Code chapter 5, chapter 51, subchapter III of chapter 311 
(except sections 31138 and 31139) or section 31302, 31303, 31304, 
31305(b), 31310(g)(1)(A), or 31502, or a regulation issued under any of 
those provisions, shall be fined at least $2,000 but not more than 
$5,000 for the first violation and at least $2,500 but not more than 
$7,500 for a subsequent violation.

[63 FR 12414, Mar. 13, 1998, as amended at 65 FR 7756, Feb. 16,, 2000; 
67 FR 61821, Oct. 2, 2002; 68 FR 15383, Mar. 31, 2003; 69 FR 39371, June 
30, 2004; 70 FR 28486, May 18, 2005; 72 FR 36789, July 5, 2007; 72 FR 
55102, Sept. 28, 2007; 75 FR 72998, Nov. 29, 2010; 76 FR 81186, Dec. 27, 
2011; 78 FR 60233, Oct. 1, 2013]



PART 387_MINIMUM LEVELS OF FINANCIAL RESPONSIBILITY FOR MOTOR CARRIERS--Table of Contents



                  Subpart A_Motor Carriers of Property

Sec.
387.1 Purpose and scope.
387.3 Applicability.
387.5 Definitions.
387.7 Financial responsibility required.
387.9 Financial responsibility, minimum levels.
387.11 State authority and designation of agent.
387.13 Fiduciaries.
387.15 Forms.
387.17 Violation and penalty.
387.19 Electronic filing of surety bonds, trust fund agreements, 
          certificates of insurance and cancellations.

                 Subpart B_Motor Carriers of Passengers

387.25 Purpose and scope.
387.27 Applicability.
387.29 Definitions.
387.31 Financial responsibility required.
387.33 Financial responsibility, minimum levels.
387.35 State authority and designation of agent.
387.37 Fiduciaries.
387.39 Forms.
387.41 Violation and penalty.
387.43 Electronic filing of surety bonds, trust fund agreements, 
          certificates of insurance and cancellations.

Subpart C_Surety Bonds and Policies of Insurance for Motor Carriers and 
                            Property Brokers

387.301 Surety bond, certificate of insurance, or other securities.
387.303 Security for the protection of the public: Minimum limits.
387.305 Combination vehicles.
387.307 Property broker surety bond or trust fund.

[[Page 327]]

387.309 Qualifications as a self-insurer and other securities or 
          agreements.
387.311 Bonds and certificates of insurance.
387.313 Forms and procedures.
387.315 Insurance and surety companies.
387.317 Refusal to accept, or revocation by the FMCSA of surety bonds, 
          etc.
387.319 Fiduciaries.
387.321 Operations in foreign commerce.
387.323 Electronic filing of surety bonds, trust fund agreements, 
          certificates of insurance and cancellations.

 Subpart D_Surety Bonds and Policies of Insurance for Freight Forwarders

387.401 Definitions.
387.403 General requirements.
387.405 Limits of liability.
387.407 Surety bonds and certificates of insurance.
387.409 Insurance and surety companies.
387.411 Qualifications as a self-insurer and other securities or 
          agreements.
387.413 Forms and procedure.
387.415 Acceptance and revocation by the FMCSA.
387.417 Fiduciaries.
387.419 Electronic filing of surety bonds, certificates of insurance and 
          cancellations.

    Authority: 49 U.S.C. 13101, 13301, 13906, 14701, 31138, 31139, and 
31144; and 49 CFR 1.87.

    Effective Date Note: At 78 FR 52650, Aug. 23, 2013, the authority 
citation for part 387 was revised, effective Aug. 23, 2015. For the 
convenience of the user, the revised text is set forth as follows:
    Authority: 49 U.S.C. 13101, 13301, 13906, 13908, 14701, 31138, and 
31139; and 49 CFR 1.87.

    Editorial Note: Nomenclature changes to part 387 appear at 66 FR 
49873, Oct. 1, 2001.



                  Subpart A_Motor Carriers of Property



Sec.387.1  Purpose and scope.

    This subpart prescribes the minimum levels of financial 
responsibility required to be maintained by motor carriers of property 
operating motor vehicles in interstate, foreign, or intrastate commerce. 
The purpose of these regulations is to create additional incentives to 
motor carriers to maintain and operate their vehicles in a safe manner 
and to assure that motor carriers maintain an appropriate level of 
financial responsibility for motor vehicles operated on public highways.

[46 FR 30982, June 11, 1981, as amended at 48 FR 52683, Nov. 21, 1983]



Sec.387.3  Applicability.

    (a) This subpart applies to for-hire motor carriers operating motor 
vehicles transporting property in interstate or foreign commerce.
    (b) This subpart applies to motor carriers operating motor vehicles 
transporting hazardous materials, hazardous substances, or hazardous 
wastes in interstate, foreign, or intrastate commerce.
    (c) Exception. (1) The rules in this part do not apply to a motor 
vehicle that has a gross vehicle weight rating (GVWR) of less than 
10,001 pounds. This exception does not apply if the vehicle is used to 
transport any quantity of a Division 1.1, 1.2, or 1.3 material, any 
quantity of a Division 2.3, Hazard Zone A, or Division 6.1, Packing 
Group I, Hazard Zone A, or to a highway route controlled quantity of a 
Class 7 material as it is defined in 49 CFR 173.403, in interstate or 
foreign commerce.
    (2) The rules in this part do not apply to the transportation of 
non-bulk oil, non-bulk hazardous materials, substances, or wastes in 
intrastate commerce, except that the rules in this part do apply to the 
transportation of a highway route controlled quantity of a Class 7 
material as defined in 49 CFR 173.403, in intrastate commerce.

[46 FR 30982, June 11, 1981; 46 FR 45612, Sept. 14, 1981, as amended at 
48 FR 5559, Feb. 7, 1983; 48 FR 52683, Nov. 21, 1983; 49 FR 38290, Sept. 
28, 1984; 59 FR 63923, Dec. 12, 1994; 73 FR 76496, Dec. 16, 2008]



Sec.387.5  Definitions.

    As used in this subpart--
    Accident includes continuous or repeated exposure to the same 
conditions resulting in public liability which the insured neither 
expected nor intended.
    Bodily injury means injury to the body, sickness, or disease 
including death resulting from any of these.
    Cancellation of insurance means the withdrawal of insurance coverage 
by either the insurer or the insured.
    Endorsement means an amendment to an insurance policy.
    Environmental restoration means restitution for the loss, damage, or 
destruction of natural resources arising out of the accidental 
discharge, dispersal, release or escape into or upon the land, 
atmosphere, watercourse, or

[[Page 328]]

body of water of any commodity transported by a motor carrier. This 
shall include the cost of removal and the cost of necessary measure 
taken to minimize or mitigate damage to human health, the natural 
environment, fish, shellfish, and wildlife.
    Evidence of security means a surety bond or a policy of insurance 
with the appropriate endorsement attached.
    Financial responsibility means the financial reserves (e.g., 
insurance policies or surety bonds) sufficient to satisfy liability 
amounts set forth in this subpart covering public liability.
    For-hire carriage means the business of transporting, for 
compensation, the goods or property of another.
    In bulk means the transportation, as cargo, of property, except 
Division 1.1, 1.2, or 1.3 materials, and Division 2.3, Hazard Zone A 
gases, in containment systems with capacities in excess of 3500 water 
gallons.
    In bulk (Division 1.1, 1.2, and 1.3 explosives) means the 
transportation, as cargo, of any Division 1.1, 1.2, or 1.3 materials in 
any quantity.
    In bulk (Division 2.3, Hazard Zone A or Division 6.1, Packing Group 
I, Hazard Zone A materials) means the transportation, as cargo, of any 
Division 2.3, Hazard Zone A, or Division 6.1, packing Group I, Hazard 
Zone A material, in any quantity.
    Insured and principal means the motor carrier named in the policy of 
insurance, surety bond, endorsement, or notice of cancellation, and also 
the fiduciary of such motor carrier.
    Insurance premium means the monetary sum an insured pays an insurer 
for acceptance of liability for public liability claims made against the 
insured.
    Motor carrier means a for-hire motor carrier or a private motor 
carrier. The term includes, but is not limited to, a motor carrier's 
agent, officer, or representative; an employee responsible for hiring, 
supervising, training, assigning, or dispatching a driver; or an 
employee concerned with the installation, inspection, and maintenance of 
motor vehicle equipment and/or accessories.
    Property damage means damage to or loss of use of tangible property.
    Public liability means liability for bodily injury or property 
damage and includes liability for environmental restoration.
    State means a State of the United States, the District of Columbia, 
Puerto Rico, the Virgin Islands, American Samoa, Guam, and the Northern 
Mariana Islands.

[46 FR 30982, June 11, 1981; 46 FR 45612, Sept. 14, 1981; 47 FR 12801, 
Mar. 25, 1982, as amended at 48 FR 52683, Nov. 21, 1983; 51 FR 33856, 
Sept. 23, 1986; 53 FR 12160, Apr. 13, 1988; 59 FR 63923, Dec. 12, 1994; 
62 FR 16709, Apr. 8, 1997; 63 FR 33275, June 18, 1998; 78 FR 58482, 
Sept. 24, 2013]



Sec.387.7  Financial responsibility required.

    (a) No motor carrier shall operate a motor vehicle until the motor 
carrier has obtained and has in effect the minimum levels of financial 
responsibility as set forth in Sec.387.9 of this subpart.
    (b)(1) Policies of insurance, surety bonds, and endorsements 
required under this section shall remain in effect continuously until 
terminated. Cancellation may be effected by the insurer or the insured 
motor carrier giving 35 days' notice in writing to the other. The 35 
days' notice shall commence to run from the date the notice is mailed. 
Proof of mailing shall be sufficient proof of notice.
    (2) Exception. Policies of insurance and surety bonds may be 
obtained for a finite period of time to cover any lapse in continuous 
compliance.
    (3) Exception. A Mexico-domiciled motor carrier operating solely in 
municipalities in the United States on the U.S.-Mexico international 
border or within the commercial zones of such municipalities with a 
Certificate of Registration issued under part 368 may meet the minimum 
financial responsibility requirements of this subpart by obtaining 
insurance coverage, in the required amounts, for periods of 24 hours or 
longer, from insurers that meet the requirements of Sec.387.11 of this 
subpart. A Mexican motor carrier so insured must have available for 
inspection in each of its vehicles copies of the following documents:
    (i) The Certificate of Registration;
    (ii) The required insurance endorsement (Form MCS-90); and
    (iii) An insurance identification card, binder, or other document 
issued by an

[[Page 329]]

authorized insurer which specifies both the effective date and the 
expiration date of the temporary insurance coverage authorized by this 
exception.

Mexician motor carriers insured under this exception are also exempt 
from the notice of cancellation requirements stated on Form MCS-90.
    (c) Policies of insurance and surety bonds required under this 
section may be replaced by other policies of insurance or surety bonds. 
The liability of the retiring insurer or surety, as to events after the 
termination date, shall be considered as having terminated on the 
effective date of the replacement policy of insurance or surety bond or 
at the end of the 35 day cancellation period required in paragraph (b) 
of this section, whichever is sooner.
    (d) Proof of the required financial responsibility shall be 
maintained at the motor carrier's principal place of business. The proof 
shall consist of--
    (1) ``Endorsement(s) for Motor Carrier Policies of Insurance for 
Public Liability Under Sections 29 and 30 of the Motor Carrier Act of 
1980'' (Form MCS-90) issued by an insurer(s);
    (2) A ``Motor Carrier Surety Bond for Public Liability Under Section 
30 of the Motor Carrier Act of 1980'' (Form MCS-82) issued by a surety; 
or
    (3) A written decision, order, or authorization of the Federal Motor 
Carrier Safety Administration authorizing a motor carrier to self-insure 
under Sec.387.309, provided the motor carrier maintains a satisfactory 
safety rating as determined by the Federal Motor Carrier Safety 
Administration under part 385 of this chapter.
    (e)(1) The proof of minimum levels of financial responsibility 
required by this section shall be considered public information and be 
produced for review upon reasonable request by a member of the public.
    (2) In addition to maintaining proof of financial responsibility as 
required by paragraph (d) of this section, non-North America-domiciled 
private and for-hire motor carriers shall file evidence of financial 
responsibility with FMCSA in accordance with the requirements of subpart 
C of this part.
    (f) All vehicles operated within the United States by motor carriers 
domiciled in a contiguous foreign country, shall have on board the 
vehicle a legible copy, in English, of the proof of the required 
financial responsibility (Form MCS-90 or MCS-82) used by the motor 
carrier to comply with paragraph (d) of this section.
    (g) Any motor vehicle in which there is no evidence of financial 
responsibility required by paragraph (f) of this section shall be denied 
entry into the United States.

[46 FR 30982, June 11, 1981; 46 FR 45612, Sept. 14, 1981, as amended at 
48 FR 5559, Feb. 7, 1983; 48 FR 52683, Nov. 21, 1983; 51 FR 22083, June 
18, 1986; 54 FR 49092, Nov. 29, 1989; 59 FR 63923, Dec. 12, 1994; 67 FR 
12661, Mar. 19, 2002; 73 FR 76496, Dec. 16, 2008]



Sec.387.9  Financial responsibility, minimum levels.

    The minimum levels of financial responsibility referred to in Sec.
387.7 of this subpart are hereby prescribed as follows:

                  Schedule of Limits--Public Liability
------------------------------------------------------------------------
       Type of carriage        Commodity transported    January 1, 1985
------------------------------------------------------------------------
(1) For-hire (In interstate    Property                         $750,000
 or foreign commerce, with a    (nonhazardous).
 gross vehicle weight rating
 of 10,001 or more pounds).
(2) For-hire and Private (In   Hazardous substances,           5,000,000
 interstate, foreign, or        as defined in 49 CFR
 intrastate commerce, with a    171.8, transported
 gross vehicle weight rating    in cargo tanks,
 of 10,001 or more pounds).     portable tanks, or
                                hopper-type vehicles
                                with capacities in
                                excess of 3,500
                                water gallons; or in
                                bulk Division 1.1,
                                1.2 and 1.3
                                materials. Division
                                2.3, Hazard Zone A,
                                or Division 6.1,
                                Packing Group I,
                                Hazard Zone A
                                material; in bulk
                                Division 2.1 or 2.2;
                                or highway route
                                controlled
                                quantities of a
                                Class 7 material, as
                                defined in 49 CFR
                                173.403.
(3) For-hire and Private (In   Oil listed in 49 CFR            1,000,000
 interstate or foreign          172.101; hazardous
 commerce, in any quantity;     waste, hazardous
 or in intrastate commerce,     materials, and
 in bulk only; with a gross     hazardous substances
 vehicle weight rating of       defined in 49 CFR
 10,001 or more pounds).        171.8 and listed in
                                49 CFR 172.101, but
                                not mentioned in (2)
                                above or (4) below.

[[Page 330]]

 
(4) For-hire and Private (In   Any quantity of                 5,000,000
 interstate or foreign          Division 1.1, 1.2,
 commerce, with a gross         or 1.3 material; any
 vehicle weight rating of       quantity of a
 less than 10,001 pounds).      Division 2.3, Hazard
                                Zone A, or Division
                                6.1, Packing Group
                                I, Hazard Zone A
                                material; or highway
                                route controlled
                                quantities of a
                                Class 7 material as
                                defined in 49 CFR
                                173.403.
------------------------------------------------------------------------


[73 FR 76946, Dec. 16, 2008]



Sec.387.11  State authority and designation of agent.

    A policy of insurance or surety bond does not satisfy the financial 
responsibility requirements of this subpart unless the insurer or surety 
furnishing the policy or bond is--
    (a) Legally authorized to issue such policies or bonds in each State 
in which the motor carrier operates; or
    (b) Legally authorized to issue such policies or bonds in the State 
in which the motor carrier has its principal place of business or 
domicile, and is willing to designate a person upon whom process, issued 
by or under the authority of any court having jurisdiction of the 
subject matter, may be served in any proceeding at law or equity brought 
in any State in which the motor carrier operates; or
    (c) Legally authorized to issue such policies or bonds in any State 
of the United States and eligible as an excess or surplus lines insurer 
in any State in which business is written, and is willing to designate a 
person upon whom process, issued by or under the authority of any court 
having jurisdiction of the subject matter, may be served in any 
proceeding at law or equity brought in any State in which the motor 
carrier operates.
    (d) A Canadian insurance company legally authorized to issue a 
policy of insurance in the Province or Territory of Canada in which the 
Canadian motor carrier has its principal place of business or domicile, 
and that is willing to designate a person upon whom process, issued by 
or under the authority of any court having jurisdiction over the subject 
matter, may be served in any proceeding at law or equity brought in any 
State in which the motor carrier operates.

[46 FR 30982, June 11, 1981, as amended at 48 FR 52683, Nov. 21, 1983; 
75 FR 38430, July 2, 2010]



Sec.387.13  Fiduciaries.

    The coverage of fiduciaries shall attach at the moment of succession 
of such fiduciaries.

[46 FR 30982, June 11, 1981]



Sec.387.15  Forms.

    Endorsements for policies of insurance (Illustration I) and surety 
bonds (Illustration II) must be in the form prescribed by the FMCSA and 
approved by the OMB. Endorsements to policies of insurance and surety 
bonds shall specify that coverage thereunder will remain in effect 
continuously until terminated, as required in Sec.387.7 of this 
subpart. The continuous coverage requirement does not apply to Mexican 
motor carriers insured under Sec.387.7(b)(3) of this subpart. The 
endorsement and surety bond shall be issued in the exact name of the 
motor carrier.

                             Illustration I

Form MCS-90 (3/82)
Form Approved
OMB No. 2125-0074

Endorsement for Motor Carrier Policies of Insurance for Public Liability 
        Under Sections 29 and 30 of the Motor Carrier Act of 1980

Issued to_______________________________________________________________
of______________________________________________________________________
Dated at________________________________________________________________

this -------------- day of --------------------, 19----

Amending Policy No._____________________________________________________
Effective Date__________________________________________________________
Name of Insurance Company_______________________________________________

[[Page 331]]

 Countersigned by_______________________________________________________
                                       Authorized Company Representative

The policy to which this endorsement is attached provides primary or 
excess insurance, as indicated by ``X'', for the limits shown:
[squ] This insurance is primary and the company shall not be liable for 
amounts in excess of $---------- for each accident.
[squ] This insurance is excess and the company shall not be liable for 
amounts in excess of $---------- for each accident in excess of the 
underlying limit of $---------- for each accident.

    Whenever required by the FMCSA the company agrees to furnish the 
FMCSA a duplicate of said policy and all its endorsements. The company 
also agrees, upon telephone request by an authorized representative of 
the FMCSA, to verify that the policy is in force as of a particular 
date. The telephone number to call is: ------------

Cancellation of this endorsement may be effected by the company or the 
insured by giving (1) thirty-five (35) days notice in writing to the 
other party (said 35 days notice to commence from the date the notice is 
mailed, proof of mailing shall be sufficient proof of notice), and (2) 
if the insured is subject to the FMCSA's jurisdiction, by providing 
thirty (30) days notice to the FMCSA (said 30 days notice to commence 
from the date the notice is received by the FMCSA at its office in 
Washington, DC).

                 definitions as used in this endorsement

Accident includes continuous or repeated exposure to conditions which 
results in bodily injury, property damage, or environmental damage which 
the insured neither expected or intended.
Motor Vehicle means a land vehicle, machine, truck, tractor, trailer, or 
semitrailer propelled or drawn by mechanical power and used on a highway 
for transporting property, or any combination thereof.
Bodily Injury means injury to the body, sickness, or disease to any 
person, including death resulting from any of these.
Environmental Restoration means restitution for the loss, damage, or 
destruction of natural resources arising out of the accidental 
discharge, dispersal, release or escape into or upon the land, 
atmosphere, watercourse, or body of water, of any commodity transported 
by a motor carrier. This shall include the cost of removal and the cost 
of necessary measures taken to minimize or mitigate damage to human 
health, the natural environment, fish, shellfish, and wildlife.
Property Damage means damage to or loss of use of tangible property.
Public Liability means liability for bodily injury, property damage, and 
environmental restoration.

    The insurance policy to which this endorsement is attached provides 
automobile liability insurance and is amended to assure compliance by 
the insured, within the limits stated herein, as a motor carrier of 
property, with sections 29 and 30 of the Motor Carrier Act of 1980 and 
the rules and regulations of the Federal Motor Carrier Safety 
Administration.
    In consideration of the premium stated in the policy to which this 
endorsement is attached, the insurer (the company) agrees to pay, within 
the limits of liability described herein, any final judgment recovered 
against the insured for public liability resulting from negligence in 
the operation, maintenance or use of motor vehicles subject to the 
financial responsibility requirements of sections 29 and 30 of the Motor 
Carrier Act of 1980 regardless of whether or not each motor vehicle is 
specifically described in the policy and whether or not such negligence 
occurs on any route or in any territory authorized to be served by the 
insured or elsewhere. Such insurance as is afforded, for public 
liability, does not apply to injury to or death of the insured's 
employees while engaged in the course of their employment, or property 
transported by the insured, designated as cargo. It is understood and 
agreed that no condition, provision, stipulation, or limitation 
contained in the policy, this endorsement, or any other endorsement 
thereon, or violation thereof, shall relieve the company from liability 
or from the payment of any final judgment, within the limits of 
liability herein described, irrespective of the financial condition, 
insolvency or bankruptcy of the insured. However, all terms, conditions, 
and limitations in the policy to which the endorsement is attached shall 
remain in full force and effect as binding between the insured and the 
company. The insured agrees to reimburse the company for any payment 
made by the company on account of any accident, claim, or suit involving 
a breach of the terms of the policy, and for any payment that the 
company would not have been obligated to make under the provisions of 
the policy except for the agreement contained in this endorsement.
    It is further understood and agreed that, upon failure of the 
company to pay any final judgment recovered against the insured as 
provided herein, the judgment creditor may maintain an action in any 
court of competent jurisdiction against the company to compel such 
payment.
    The limits of the company's liability for the amounts prescribed in 
this endorsement apply separately to each accident and any payment under 
the policy because of any one accident shall not operate to reduce the 
liability of the company for the payment of final judgments resulting 
from any other accident.

[[Page 332]]

                             Illustration II

Form MCS-82 (4/83)

(Form approved by Office of Management and Budget under control no. 
2125-0075)

      Motor Carrier Public Liability Surety Bond Under Sections 29 and 30 of the Motor Carrier Act of 1980
 
                                                                     Motor carrier
                                          Surety company and    principal, FMCSA Docket
               Parties                    principal place of    No. and principal place
                                           business address           of business
 
                                       .......................  .......................  .......................
                                       .......................  .......................  .......................
                                       .......................  .......................  .......................
                                       .......................  .......................  .......................
 

    Purpose--This is an agreement between the Surety and the Principal 
under which the Surety, its successors and assigness, agree to be 
responsible for the payment of any final judgment or judgments against 
the Principal for public liability, property damage, and environmental 
restoration liability claims in the sums prescribed herein; subject to 
the governing provisions and the following conditions.
    Governing provisions--(1) Sections 29 and 30 of the Motor Carrier 
Act of 1980 (49 U.S.C. 13906).
    (2) Rules and regulations of the Federal Motor Carrier Safety 
Administration.
    Conditions--The Principal is or intends to become a motor carrier of 
property subject to the applicable governing provisions relating to 
financial responsibility for the protection of the public.
    This bond assures compliance by the Principal with the applicable 
governing provisions, and shall inure to the benefit of any person or 
persons who shall recover a final judgment or judgments against the 
Principal for public liability, property damage, or environmental 
restoration liability claims (excluding injury to or death of the 
Principal's employees while engaged in the course of their employment, 
and loss of or damange to property of the principal, and the cargo 
transported by the Principal). If every final judgment shall be paid for 
such claims resulting from the negligent operation, maintenance, or use 
of motor vehicles in transportation subject to the applicable governing 
provisions, then this obligation shall be void, otherwise it will remain 
in full effect.
    Within the limits described herein, the Surety extends to such 
losses regardless of whether such motor vehicles are specifically 
described herein and whether occurring on the route or in the territory 
authorized to be served by the Principal or elsewhere.
    The liability of the Surety on each motor vehicle subject to the 
financial responsibility requirements of Section's 29 and 30 of the 
Motor Carrier Act of 1980 for each accident shall not exceed $----------
, and shall be a continuing one notwithstanding any recovery hereunder.
    The surety agrees, upon telephone request by an authorized 
representative of the FMCSA, to verify that the surety bond is in force 
as of a particular date. The telephone number is: ------------
    This bond is effective from ------ (12:01 a.m., standard time, at 
the address of the Principal as stated herein) and shall countine in 
force until terminated as described herein. The principal or the Surety 
may at any time terminate this bond by giving (1) thirty five (35) days 
notice in writing to the other party (said 35 day notice to commence 
from the date the notice is mailed, proof of mailing shall be sufficient 
proof of notice), and (2) if the Principal is subject to the FMCSA's 
jurisdiction, by providing thirty (30) days notice to the FMCSA (said 30 
days notice to commence from the date notice is received by the FMCSA at 
its office in Washington, DC). The Surety shall not be liable for the 
payment of any judgment or judgments against the Principal for public 
liability, property damage, or environmental restoration claims 
resulting from accidents which occur after the termination of this bond 
as described herein, but such termination shall not affect the liability 
of the Surety for the payment of any such judgment or judgments 
resulting from accidents which occur during the time the bond is in 
effect.
(AFFIX CORPORATE SEAL)
Date____________________________________________________________________
Surety__________________________________________________________________
City____________________________________________________________________
State___________________________________________________________________
By______________________________________________________________________

[[Page 333]]

                        Acknowledgement of Surety

State of________________________________________________________________
County of_______________________________________________________________

    On this ------------ day of ----------------, 19----, before me 
personally came ----------------------, who, being by me duly sworn, did 
depose and say that he/she resides in --------------------; that he/she 
is the ------------------ of the --------------------, the corporation 
described in and which executed the foregoing instrument; that he/she 
knows the seal of said corporation, that the seal affixed to said 
instrument is such corporate seal, that it was so affixed by order of 
the board of directors of said corporation, that he/she signed his/her 
name thereto by like order, and he/she duly acknowledged to me that he/
she executed the same for and on behalf of said corporation.
(OFFICIAL SEAL)
________________________________________________________________________
Title of official administering oath____________________________________
Surety Company File No._________________________________________________

[46 FR 30982, June 11, 1981, as amended at 48 FR 52683, Nov. 21, 1983; 
49 FR 27292, July 2, 1984; 49 FR 38290, Sept. 28, 1984; 51 FR 33856, 
Sept. 23, 1986; 53 FR 12160, Apr. 13, 1988; 54 FR 49092, Nov. 29, 1989; 
59 FR 63924, Dec. 12, 1994]



Sec.387.17  Violation and penalty.

    Any person (except an employee who acts without knowledge) who 
knowingly violates the rules of this subpart shall be liable to the 
United States for civil penalty of no more than $11,000 for each 
violation, and if any such violation is a continuing one, each day of 
violation will constitute a separate offense. The amount of any such 
penalty shall be assessed by the FMCSA's Administrator, by written 
notice. In determining the amount of such penalty, the Administrator, or 
his/her authorized delegate shall take into account the nature, 
circumstances, extent, the gravity of the violation committed and, with 
respect to the person found to have committed such violation, the degree 
of culpability, any history of prior offenses, effect on ability to 
continue to do business, and such other matters as justice may require.

[59 FR 63924, Dec. 12, 1994, as amended at 78 FR 60233, Oct. 1, 2013]



Sec.387.19  Electronic filing of surety bonds, trust fund agreements, 
certificates of insurance and cancellations.

    (a) Insurers of exempt for-hire motor carriers, as defined in Sec.
390.5 of this subchapter, and private motor carriers that transport 
hazardous materials in interstate commerce must file certificates of 
insurance, surety bonds, and other securities and agreements with FMCSA 
electronically in accordance with the requirements and procedures set 
forth at Sec.387.323.
    (b) The requirements of this section do not apply to motor carriers 
excepted under Sec.387.7(b)(3).

[78 FR 52650, Aug. 23, 2013]

    Effective Date Note: At 78 FR 52650, Aug. 23, 2013, Sec.387.19 was 
revised, effective Aug. 23, 2015.



                 Subpart B_Motor Carriers of Passengers

    Source: 48 FR 52683, Nov. 21, 1983, unless otherwise noted.



Sec.387.25  Purpose and scope.

    This subpart prescribes the minimum levels of financial 
responsibility required to be maintained by for-hire motor carriers of 
passengers operating motor vehicles in interstate or foreign commerce. 
The purpose of these regulations is to create additional incentives to 
carriers to operate their vehicles in a safe manner and to assure that 
they maintain adequate levels of financial responsibility.



Sec.387.27  Applicability.

    (a) This subpart applies to for-hire motor carriers transporting 
passengers in interstate or foreign commerce.
    (b) Exception. The rules in this subpart do not apply to--
    (1) A motor vehicle transporting only school children and teachers 
to or from school;
    (2) A motor vehicle providing taxicab service and having a seating 
capacity of less than 7 passengers and not operated on a regular route 
or between specified points;
    (3) A motor vehicle carrying less than 16 individuals in a single 
daily round trip to commute to and from work; and
    (4) A motor vehicle operated by a motor carrier under contract 
providing transportation of preprimary, primary,

[[Page 334]]

and secondary students for extracurricular trips organized, sponsored, 
and paid by a school district.

[48 FR 52683, Nov. 21, 1983, as amended at 63 FR 33275, June 18, 1998]



Sec.387.29  Definitions.

    As used in this subpart--
    Accident means includes continuous or repeated exposure to the same 
conditions resulting in public liability which the insured neither 
expected nor intended.
    Bodily injury means injury to the body, sickness, or disease 
including death resulting from any of these.
    Endorsement means an amendment to an insurance policy.
    Financial responsibility means the financial reserves (e.g., 
insurance policies or surety bonds) sufficient to satisfy liability 
amounts set forth in this subpart covering public liability.
    For-hire carriage means the business of transporting, for 
compensation, passengers and their property, including any compensated 
transportation of the goods or property or another.
    Insured and principal means the motor carrier named in the policy of 
insurance, surety bond, endorsement, or notice of cancellation, and also 
the fiduciary of such motor carrier.
    Insurance premium means the monetary sum an insured pays an insurer 
for acceptance of liability for public liability claims made against the 
insured.
    Motor carrier means a for-hire motor carrier. The term includes, but 
is not limited to, a motor carrier's agent, officer, or representative; 
an employee responsible for hiring, supervising, training, assigning, or 
dispatching a driver; or an employee concerned with the installation, 
inspection, and maintenance of motor vehicle equipment and/or 
accessories.
    Property damage means damage to or loss of use of tangible property.
    Public liability means liability for bodily injury or property 
damage.
    Seating capacity means any plan view location capable of 
accommodating a person at least as large as a 5th percentile adult 
female, if the overall seat configuration and design and vehicle design 
is such that the position is likely to be used as a seating position 
while the vehicle is in motion, except for auxiliary seating 
accommodations such as temporary or folding jump seats. Any bench or 
split bench seat in a passenger car, truck or multi-purpose passenger 
vehicle with a gross vehicle weight rating less than 10,000 pounds, 
having greater than 50 inches of hip room (measured in accordance with 
SEA Standards J1100(a)) shall have not less than three designated 
seating positions, unless the seat design or vehicle design is such that 
the center position cannot be used for seating.

[48 FR 52683, Nov. 21, 1983, as amended at 63 FR 33276, June 18, 1998; 
78 FR 58482, Sept. 24, 2013]



Sec.387.31  Financial responsibility required.

    (a) No motor carrier shall operate a motor vehicle transporting 
passengers until the motor carrier has obtained and has in effect the 
minimum levels of financial responsibility as set forth in Sec.387.33 
of this subpart.
    (b) Policies of insurance, surety bonds, and endorsements required 
under this section shall remain in effect continuously until terminated.
    (1) Cancellation may be effected by the insurer or the insured motor 
carrier giving 35 days notice in writing to the other. The 35 days 
notice shall commence to run from the date the notice is mailed. Proof 
of mailing shall be sufficient proof of notice.
    (2) Exception. Policies of insurance and surety bonds may be 
obtained for a finite period of time to cover any lapse in continuous 
compliance.
    (3) Exception. Mexican motor carriers may meet the minimum financial 
responsibility requirements of this subpart by obtaining insurance 
coverage, in the required amounts, for periods of 24 hours or longer, 
from insurers that meet the requirements of Sec.387.35 of this 
subpart. A Mexican motor carrier so insured must have available for 
inspection in each of its vehicles copies of the following documents:
    (i) The required insurance endorsement (Form MCS-90B); and
    (ii) An insurance identification card, binder, or other document 
issued by an authorized insurer which specifies both the effective date 
and the expiration date of the temporary insurance coverage authorized 
by this exception.

[[Page 335]]


Mexican motor carriers insured under this exception are also exempt from 
the notice of cancellation requirements stated on Form MCS-90B.
    (c) Policies of insurance and surety bonds required under this 
section may be replaced by other policies of insurance or surety bonds. 
The liability of retiring insurer or surety, as to events after the 
termination date, shall be considered as having terminated on the 
effective date of the replacement policy of insurance or surety bond or 
at the end or the 35 day cancellation period required in paragraph (b) 
of this section, whichever is sooner.
    (d) Proof of the required financial responsibility shall be 
maintained at the motor carrier's principal place of business. The proof 
shall consist of--
    (1) ``Endorsement(s) for Motor Carriers of Passengers Policies of 
Insurance for Public Liability Under Section 18 of the Bus Regulatory 
Reform Act of 1982'' (Form MCS-90B) issued by an insurer(s); or
    (2) A ``Motor Carrier of Passengers Surety Bond for Public Liability 
Under Section 18 of the Bus Regulatory Reform Act of 1982'' (Form MCS-
82B) issued by a surety.
    (e)(1) The proof of minimum levels of financial responsibility 
required by this section shall be considered public information and be 
produced for review upon reasonable request by a member of the public.
    (2) In addition to maintaining proof of financial responsibility as 
required by paragraph (d) of this section, non-North America-domiciled 
private and for-hire motor carriers shall file evidence of financial 
responsibility with FMCSA in accordance with the requirements of subpart 
C of this part.
    (f) All passenger carrying vehicles operated within the United 
States by motor carriers domiciled in a contiguous foreign country, 
shall have on board the vehicle a legible copy, in English, of the proof 
of the required financial responsibility (Forms MCS-90B or MCS-82B) used 
by the motor carrier to comply with paragraph (d) of this section.
    (g) Any motor vehicle in which there is no evidence of financial 
responsibility required by paragraph (f) of this section shall be denied 
entry into the United States.

[48 FR 52683, Nov. 21, 1983, as amended at 50 FR 7062, Feb. 20, 1985; 54 
FR 49092, Nov. 29, 1989; 60 FR 38743, July 28, 1995; 73 FR 76496, Dec. 
16, 2008]



Sec.387.33  Financial responsibility, minimum levels.

    The minimum levels of financial responsibility referred to in Sec.
387.31 of this subpart are hereby prescribed as follows:

                           Schedule of Limits

                            Public Liability

For-hire motor carriers of passengers operating in interstate or foreign 
commerce.

------------------------------------------------------------------------
                                                      Effective dates
                                                 -----------------------
            Vehicle seating capacity               Nov. 19,    Nov. 19,
                                                     1983        1985
------------------------------------------------------------------------
(1) Any vehicle with a seating capacity of 16     $2,500,000  $5,000,000
 passengers or more.............................
(2) Any vehicle with a seating capacity of 15        750,000   1,500,000
 passengers or less \1\.........................
------------------------------------------------------------------------
\1\ Except as provided in Sec. 387.27(b).


    Effective Date Note: At 78 FR 52651, Aug. 23, 2013, Sec.387.33 was 
revised, effective Aug. 23, 2015. For the convenience of the user, the 
revised text is set forth as follows:



Sec.387.33  Financial responsibility, minimum levels.

    (a) General limits. The minimum levels of financial responsibility 
referred to in Sec.387.31 are prescribed as follows:

                           SCHEDULE OF LIMITS

                            Public Liability

For-Hire Motor Carriers of Passengers Operating in Interstate or Foreign
                                Commerce
------------------------------------------------------------------------
                Vehicle seating capacity                  Minimum limits
------------------------------------------------------------------------
(1) Any vehicle with a seating capacity of 16 passengers      $5,000,000
 or more, including the driver \1\......................
(2) Any vehicle with a seating capacity of 15 passengers       1,500,000
 or less, including the driver \2\......................
------------------------------------------------------------------------
1 2 Except as provided in Sec. 387.27(b).

    (b) Limits applicable to transit service providers. Notwithstanding 
the provisions of paragraph (a) of this section, the minimum level of 
financial responsibility for a motor vehicle used to provide 
transportation services within a transit service area located in more 
than one State under an agreement with a Federal, State, or local 
government funded, in whole or in part, with a grant under 49 U.S.C. 
5307, 5310 or 5311, including

[[Page 336]]

transportation designed and carried out to meet the special needs of 
elderly individuals and individuals with disabilities, will be the 
highest level required for any of the States in which it operates. This 
paragraph applies to transit service providers that operate in more than 
one State, as well as transit service providers that operate in only one 
State but interline with other motor carriers that provide interstate 
transportation within or outside the transit service area. Transit 
service providers conducting such operations must register as for-hire 
passenger carriers under part 365, subpart A and part 390, subpart E, of 
this subchapter, identify the State(s) in which they operate under the 
applicable grants, and certify on their registration documents that they 
have in effect financial responsibility levels in an amount equal to or 
greater than the highest level required by any of the States in which 
they are operating under a qualifying grant.



Sec.387.35  State authority and designation of agent.

    A policy of insurance or surety bond does not satisfy the financial 
responsibility requirements of this subpart unless the insurer or surety 
furnishing the policy or bond is--
    (a) Legally authorized to issue such policies or bonds in each State 
in which the motor carrier operates, or
    (b) Legally authorized to issue such policies or bonds in the State 
in which the motor carrier has its principal place of business or 
domicile, and is willing to designate a person upon whom process, issued 
by or under the authority of any court having jurisdiction of the 
subject matter, may be served in any proceeding at law or equity brought 
in any State in which the motor carrier operates; or
    (c) Legally authorized to issue such policies or bonds in any State 
of the United States and eligible as an excess or surplus lines insurer 
in any State in which business is written, and is willing to designate a 
person upon whom process, issued by or under the authority of any court 
having jurisdiction of the subject matter, may be served in any 
proceeding at law or equity brought in any State in which the motor 
carrier operates.
    (d) A Canadian insurance company legally authorized to issue a 
policy of insurance in the Province or Territory of Canada in which a 
Canadian motor carrier has its principal place of business or domicile, 
and that is willing to designate a person upon whom process, issued by 
or under the authority of any court having jurisdiction over the subject 
matter, may be served in any proceeding at law or equity brought in any 
State in which the motor carrier operates.

[48 FR 52683, Nov. 21, 1983, as amended at 75 FR 38430, July 2, 2010]



Sec.387.37  Fiduciaries.

    The coverage of fiduciaries shall attach at the moment of succession 
of such fiduciaries.



Sec.387.39  Forms.

    Endorsements for policies of insurance (Illustration I) and surety 
bonds (Illustration II) must be in the form prescribed by the FMCSA and 
approved by the OMB. Endorsements to policies of insurance and surety 
bonds shall specify that coverage thereunder will remain in effect 
continuously until terminated, as required in Sec.387.31 of this 
subpart. The continuous coverage requirement does not apply to Mexican 
motor carriers insured under Sec.387.31(b)(3) of this subpart. The 
endorsement and surety bond shall be issued in the exact name of the 
motor carrier.

[[Page 337]]

[GRAPHIC] [TIFF OMITTED] TR02OC02.001


[[Page 338]]


[GRAPHIC] [TIFF OMITTED] TR02OC02.002


(Approved by the Office of Management and Budget under control number 
2125-0518)

[48 FR 52683, Nov. 21, 1983, as amended at 49 FR 22326, May 29, 1984; 54 
FR 49093, Nov. 29, 1989; 67 FR 61821, 61822, Oct. 2, 2002]

[[Page 339]]



Sec.387.41  Violation and penalty.

    Any person (except an employee who acts without knowledge) who 
knowingly violates the rules of this subpart shall be liable to the 
United States for civil penalty of no more than $11,000 for each 
violation, and if any such violation is a continuing one, each day of 
violation will constitute a separate offense. The amount of any such 
penalty shall be assessed by the Administrator or his/her designee, by 
written notice. In determining the amount of such penalty, the 
Administrator or his/her designee shall take into account the nature, 
circumstances, extent, the gravity of the violation committed and, with 
respect to the person found to have committed such violation, the degree 
of culpability, any history of prior offenses, effect on ability to 
continue to do business, and such other matters as justice may require.

[53 FR 47543, Nov. 23, 1988, as amended at 78 FR 60233, Oct. 1, 2013]



Sec.387.43  Electronic filing of surety bonds, trust fund agreements, 
certificates of insurance and cancellations.

    (a) Insurers of for-hire motor carriers of passengers must file 
certificates of insurance, surety bonds, and other securities and 
agreements electronically in accordance with the requirements and 
procedures set forth at Sec.387.323.
    (b) This section does not apply to motor carriers excepted under 
Sec.387.31(b)(3).

[78 FR 52651, Aug. 23, 2013

    Effective Date Note: At 78 FR 52651, Aug. 23, 2013, Sec.387.33 was 
added, effective Aug. 23, 2015.



Subpart C_Surety Bonds and Policies of Insurance for Motor Carriers and 
                            Property Brokers

    Cross Reference: Prescribed forms relating to this part are listed 
in 49 CFR part 1003.

    Source: 32 FR 20032, Dec. 20, 1967, unless otherwise noted. 
Redesignated at 61 FR 54709, Oct. 21, 1996.



Sec.387.301  Surety bond, certificate of insurance, or other securities.

    (a) Public liability. (1) No common or contract carrier or foreign 
(Mexican) motor private carrier or foreign motor carrier transporting 
exempt commodities subject to Subtitle IV, part B, chapter 135 of title 
49 of the U.S. Code shall engage in interstate or foreign commerce, and 
no certificate or permit shall be issued to such a carrier or remain in 
force unless and until there shall have been filed with and accepted by 
the FMCSA surety bonds, certificates of insurance, proof of 
qualifications as self-insurer, or other securities or agreements, in 
the amounts prescribed in Sec.387.303, conditioned to pay any final 
judgment recovered against such motor carrier for bodily injuries to or 
the death of any person resulting from the negligent operation, 
maintenance or use of motor vehicles in transportation subject to 
Subtitle IV, part B, chapter 135 of title 49 of the U.S. Code, or for 
loss of or damage to property of others, or, in the case of motor 
carriers of property operating freight vehicles described in Sec.
387.303(b)(2) of this part, for environmental restoration.
    (2) Motor Carriers of property which are subject to the conditions 
set forth in paragraph (a)(1) of this section and transport the 
commodities described in Sec.387.303(b)(2), are required to obtain 
security in the minimum limits prescribed in Sec.387.303(b)(2).
    (b) Household goods motor carriers-cargo insurance. No household 
goods motor carrier subject to subtitle IV, part B, chapter 135 of title 
49 of the U.S. Code shall engage in interstate or foreign commerce, nor 
shall any certificate be issued to such a household goods motor carrier 
or remain in force unless and until there shall have been filed with and 
accepted by the FMCSA, a surety bond, certificate of insurance, proof of 
qualifications as a self-insurer, or other securities or agreements in 
the amounts prescribed in Sec.387.303, conditioned upon such carrier 
making compensation to individual shippers for all property belonging to 
individual shippers and coming into the possession of such carrier in 
connection with its transportation service. The terms ``household goods 
motor carrier'' and

[[Page 340]]

``individual shipper'' are defined in part 375 of this subchapter.
    (c) Continuing compliance required. Such security as is accepted by 
the FMCSA in accordance with the requirements of section 13906 of title 
49 of the U.S. Code, shall remain in effect at all times.

[48 FR 51780, Nov. 14, 1983, as amended at 60 FR 63981, Dec. 13, 1995; 
62 FR 49941, Sept. 24, 1997; 75 FR 35328, June 22, 2010]

    Effective Date Note: At 78 FR 52651, Aug. 23, 2013, Sec.387.301 
was amended by revising paragraph (a)(1), effective Aug. 23, 2015. For 
the convenience of the user, the revised text is set forth as follows:



Sec.387.301  Surety bond, certificate of insurance, or other 
          securities.

    (a) Public liability. (1) No for-hire motor carrier or foreign 
(Mexican) motor private carrier or foreign motor carrier transporting 
exempt commodities subject to Subtitle IV, part B, chapter 135 of title 
49, United States Code, shall engage in interstate or foreign commerce, 
and no certificate shall be issued to such a carrier or remain in force 
unless and until there shall have been filed with and accepted by the 
FMCSA surety bonds, certificates of insurance, proof of qualifications 
as self-insurer, or other securities or agreements, in the amounts 
prescribed in Sec.387.303, conditioned to pay any final judgment 
recovered against such motor carrier for bodily injuries to or the death 
of any person resulting from the negligent operation, maintenance or use 
of motor vehicles in transportation subject to Subtitle IV, part B, 
chapter 135 of title 49, U.S.C., or for loss of or damage to property of 
others, or, in the case of motor carriers of property operating freight 
vehicles described in Sec.387.303(b)(2), for environmental 
restoration.

                                * * * * *



Sec.387.303  Security for the protection of the public: Minimum limits.

    (a) Definitions. (1) Primary security means public liability 
coverage provided by the insurance or surety company responsible for the 
first dollar of coverage.
    (2) Excess security means public liability coverage above the 
primary security, or above any additional underlying security, up to and 
including the required minimum limits set forth in paragraph (b)(2) of 
this section.
    (b)(1) Motor carriers subject to Sec.387.301(a)(1) are required to 
have security for the required minimum limits as follows:
    (i) Small freight vehicles:

------------------------------------------------------------------------
                                    Transportation
       Kind of equipment               provided          Minimum limits
------------------------------------------------------------------------
Fleet including only vehicles    Property (non-        $300,000
 under 10,001 pounds (4,536       hazardous).
 kilograms) GVWR.
------------------------------------------------------------------------

    (ii) Passenger carriers.

                  Passenger Carriers: Kind of Equipment
------------------------------------------------------------------------
           Vehicle seating capacity                  Minimum limits
------------------------------------------------------------------------
(A) Any vehicle with a seating capacity of 16   $5,000,000
 passengers or more (including the driver).
(B) Any vehicle designed or used to transport   1,500,000
 15 passengers or less (including the driver)
 for compensation.
------------------------------------------------------------------------

    (2) Motor carriers subject to Sec.387.301(a)(2) are required to 
have security for the required minimum limits as follows:

------------------------------------------------------------------------
      Kind of equipment          Commodity transported    Minimum limits
------------------------------------------------------------------------
(i) Freight vehicles of        Property (non-hazardous)  $750,000
 10,001 pounds (4,536
 kilograms) or more GVWR.
(ii) Freight vehicles of       Hazardous substances, as  5,000,000
 10,001 (4,536 kilograms)       defined in Sec. 171.8
 pounds or more GVWR.           of this title,
                                transported in cargo
                                tanks, portable tanks,
                                or hopper-type vehicles
                                with capacities in
                                excess of 3,500 water
                                gallons, or in bulk
                                explosives Division
                                1,1, 1.2 and 1.3
                                materials. Division
                                2.3, Hazard Zone A
                                material; in bulk
                                Division 2.1 or 2.2; or
                                highway route
                                controlled quantities
                                of a Class 7 material,
                                as defined in Sec.
                                173.403 of this title.

[[Page 341]]

 
(iii) Freight vehicles of      Oil listed in Sec.      1,000,000
 10,001 pounds (4,536           172.101 of this title;
 kilograms) or more GVWR.       hazardous waste,
                                hazardous materials and
                                hazardous substances
                                defined in Sec. 171.8
                                of this title and
                                listed in Sec.
                                172.101 of this title,
                                but not mentioned in
                                (b) above or (d) below.
(iv) Freight vehicles under    Any quantity of Division  5,000,000
 10,001 pounds (4,536           1.1, 1.2, or 1.3
 kilograms) GVWR.               material; any quantity
                                of a Division 2.3,
                                Hazard Zone A, or
                                Division 6.1, Packing
                                Group I, Hazard Zone A
                                material; or highway
                                route controlled
                                quantities of Class 7
                                material as defined in
                                Sec. 173.455 of this
                                title.
------------------------------------------------------------------------

    (3) Motor carriers subject to the minimum limits governed by this 
section, which are also subject to Department of Transportation limits 
requirements, are at no time required to have security for more than the 
required minimum limits established by the Secretary of Transportation 
in the applicable provisions of 49 CFR Part 387--Minimum Levels of 
Financial Responsibility for Motor Carriers.
    (4) Foreign motor carriers and foreign motor private carriers. 
Foreign motor carriers and foreign motor private carriers (Mexican), 
subject to the requirements of 49 U.S.C. 13902(c) and 49 CFR part 368 
regarding obtaining certificates of registration from the FMCSA, must 
meet our minimum financial responsibility requirements by obtaining 
insurance coverage, in the required amounts, for periods of 24 hours or 
longer, from insurance or surety companies, that meet the requirements 
of 49 CFR 387.315. These carriers must have available for inspection, in 
each vehicle operating in the United States, copies of the following 
documents:
    (i) The certificate of registration;
    (ii) The required insurance endorsement (Form MCS-90); and
    (iii) An insurance identification card, binder, or other document 
issued by an authorized insurer which specifies both the effective date 
and the expiration date of the insurance coverage.

Notwithstanding the provisions of Sec.387.301(a)(1), the filing of 
evidence of insurance is not required as a condition to the issuance of 
a certificate of registration. Further, the reference to continuous 
coverage at Sec.387.313(a)(6) and the reference to cancellation notice 
at Sec.387.313(d) are not applicable to these carriers.
    (c) Household goods motor carriers: Cargo liability. Security 
required to compensate individual shippers for loss or damage to 
property belonging to them and coming into the possession of household 
goods motor carriers in connection with their transportation service;
    (1) For loss of or damage to household goods carried on any one 
motor vehicle--$5,000,
    (2) For loss of or damage to or aggregate of losses or damages of or 
to household goods occurring at any one time and place--$10,000.

[47 FR 55944, Dec. 14, 1982]

    Editorial Note: For Federal Register citations affecting Sec.
387.303, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and at www.fdsys.gov.

    Effective Date Note: At 78 FR 52651, Aug. 23, 2013, Sec.387.303 
was amended by adding paragraph (b)(1)(iii), effective Aug. 23, 2015. 
For the convenience of the user, the added text is set forth as follows:



Sec.387.303  Security for the protection of the public: Minimum 
          limits.

                                * * * * *

    (b) * * *
    (1) * * *
    (iii) Limits applicable to transit service providers. 
Notwithstanding the provisions of paragraph (b)(1)(ii) of this section, 
the minimum level of financial responsibility for a motor vehicle used 
to provide transportation services within a transit service area under 
an agreement with a Federal, State, or local government funded, in whole 
or in part, with a grant under 49 U.S.C. 5307, 5310 or 5311, including 
transportation designed and carried out to meet the special needs of 
elderly individuals and individuals with disabilities, will be the 
highest level required for any of the States in which it operates. This 
paragraph applies to transit service providers who operate in a transit 
service area located in more than one State, as well as transit service 
providers who operate in only one State but

[[Page 342]]

interline with other motor carriers that provide interstate 
transportation within or outside the transit service area. Transit 
service providers conducting such operations must register as for-hire 
passenger carriers under part 365, subpart A and part 390, subpart E of 
this subchapter, identify the State(s) in which they operate under the 
applicable grants, and certify on their registration documents that they 
have in effect financial responsibility levels in an amount equal to or 
greater than the highest level required by any of the States in which 
they are operating under a qualifying grant.

                                * * * * *



Sec.387.305  Combination vehicles.

    The following combinations will be regarded as one motor vehicle for 
purposes of this part, (a) a tractor and trailer or semitrailer when the 
tractor is engaged solely in drawing the trailer or semitrailer, and (b) 
a truck and trailer when both together bear a single load.



Sec.387.307  Property broker surety bond or trust fund.

    (a) Security. A broker must have a surety bond or trust fund in 
effect for $75,000. The FMCSA will not issue a broker license until a 
surety bond or trust fund for the full limits of liability prescribed 
herein is in effect. The broker license shall remain valid or effective 
only as long as a surety bond or trust fund remains in effect and shall 
ensure the financial responsibility of the broker.
    (b) Evidence of security. Evidence of a surety bond must be filed 
using the FMCSA's prescribed Form BMC 84. Evidence of a trust fund with 
a financial institution must be filed using the FMCSA's prescribed Form 
BMC 85. The surety bond or the trust fund shall ensure the financial 
responsibility of the broker by providing for payments to shippers or 
motor carriers if the broker fails to carry out its contracts, 
agreements, or arrangements for the supplying of transportation by 
authorized motor carriers.
    (c) Financial institution--when used in this section and in forms 
prescribed under this section, where not otherwise distinctly expressed 
or manifestly incompatible with the intent thereof, shall mean--Each 
agent, agency, branch or office within the United States of any person, 
as defined by the ICC Termination Act, doing business in one or more of 
the capacities listed below:
    (1) An insured bank (as defined in section 3(h) of the Federal 
Deposit Insurance Act (12 U.S.C. 1813(h));
    (2) A commercial bank or trust company;
    (3) An agency or branch of a foreign bank in the United States;
    (4) An insured institution (as defined in section 401(a) of the 
National Housing Act (12 U.S.C. 1724(a));
    (5) A thrift institution (savings bank, building and loan 
association, credit union, industrial bank or other);
    (6) An insurance company;
    (7) A loan or finance company; or
    (8) A person subject to supervision by any State or Federal bank 
supervisory authority.
    (d) Forms and Procedures--(1) Forms for broker surety bonds and 
trust agreements. Form BMC-84 broker surety bond will be filed with the 
FMCSA for the full security limits under paragraph (a) of this section); 
or Form BMC-85 broker trust fund agreement will be filed with the FMCSA 
for the full security limits under paragraph (a) of this section.
    (2) Broker surety bonds and trust fund agreements in effect 
continuously. Surety bonds and trust fund agreements shall specify that 
coverage thereunder will remain in effect continuously until terminated 
as herein provided.
    (i) Cancellation notice. The surety bond and the trust fund 
agreement may be cancelled as only upon 30 days' written notice to the 
FMCSA, on prescribed Form BMC 36, by the principal or surety for the 
surety bond, and on prescribed Form BMC 85, by the trustor/broker or 
trustee for the trust fund agreement. The notice period commences upon 
the actual receipt of the notice at the FMCSA's Washington, DC office.
    (ii) Termination by replacement. Broker surety bonds or trust fund 
agreements which have been accepted by the FMCSA under these rules may 
be replaced by other surety bonds or trust fund agreements, and the 
liability of the retiring surety or trustee under such surety bond or 
trust fund

[[Page 343]]

agreements shall be considered as having terminated as of the effective 
date of the replacement surety bond or trust fund agreement. However, 
such termination shall not affect the liability of the surety or the 
trustee hereunder for the payment of any damages arising as the result 
of contracts, agreements or arrangements made by the broker for the 
supplying of transportation prior to the date such termination becomes 
effective.
    (3) Filing and copies. Broker surety bonds and trust fund agreements 
must be filed with the FMCSA in duplicate.

[53 FR 10396, Mar. 31, 1988, as amended at 75 FR 72998, Nov. 29, 2010; 
78 FR 58482, Sept. 24, 2013; 78 FR 60233, Oct. 1, 2013]



Sec.387.309  Qualifications as a self-insurer and other securities
or agreements.

    (a) As a self-insurer. The FMCSA will consider and will approve, 
subject to appropriate and reasonable conditions, the application of a 
motor carrier to qualify as a self-insurer, if the carrier furnishes a 
true and accurate statement of its financial condition and other 
evidence that establishes to the satisfaction of the FMCSA the ability 
of the motor carrier to satisfy its obligation for bodily injury 
liability, property damage liability, or cargo liability. Application 
Guidelines: In addition to filing Form BMC 40, applicants for authority 
to self-insure against bodily injury and property damage claims should 
submit evidence that will allow the FMCSA to determine:
    (1) The adequacy of the tangible net worth of the motor carrier in 
relation to the size of operations and the extent of its request for 
self-insurance authority. Applicant should demonstrate that it will 
maintain a net worth that will ensure that it will be able to meet its 
statutory obligations to the public to indemnify all claimants in the 
event of loss.
    (2) The existence of a sound self-insurance program. Applicant 
should demonstrate that it has established, and will maintain, an 
insurance program that will protect the public against all claims to the 
same extent as the minimum security limits applicable to applicant under 
Sec.387.303 of this part. Such a program may include, but not be 
limited to, one or more of the following: Irrevocable letters of credit; 
irrevocable trust funds; reserves; sinking funds; third-party financial 
guarantees, parent company or affiliate sureties; excess insurance 
coverage; or other similar arrangements.
    (3) The existence of an adequate safety program. Applicant must 
submit evidence of a current ``satisfactory'' safety rating by the 
United States Department of Transportation. Non-rated carriers need only 
certify that they have not been rated. Applications by carriers with a 
less than satisfactory rating will be summarily denied. Any self-
insurance authority granted by the FMCSA will automatically expire 30 
days after a carrier receives a less than satisfactory rating from DOT.
    (4) Additional information. Applicant must submit such additional 
information to support its application as the FMCSA may require.
    (b) Other securities or agreements. The FMCSA also will consider 
applications for approval of other securities or agreements and will 
approve any such application if satisfied that the security or agreement 
offered will afford the security for protection of the public 
contemplated by 49 U.S.C. 13906.

[48 FR 51780, Nov. 14, 1983 and 51 FR 15008, Apr. 22, 1986, as amended 
at 52 FR 3815, Feb. 6, 1987; 62 FR 49941, Sept. 24, 1997; 68 FR 56199, 
Sept. 30, 2003]



Sec.387.311  Bonds and certificates of insurance.

    (a) Public liability. Each Form BMC 82 surety bond filed with the 
FMCSA must be for the full limits of liability required under Sec.
387.303(b)(1). Form MCS-82 surety bonds and other forms of similar 
import prescribed by the Department of Transportation, may be aggregated 
to comply with the minimum security limits required under Sec.
387.303(b)(1) or Sec.387.303(b)(2). Each Form BMC 91 certificate of 
insurance filed with the FMCSA will always represent the full security 
minimum limits required for the particular carrier, while it remains in 
force, under Sec.387.303(b)(1) or Sec.387.303(b)(2), whichever is 
applicable. Any previously executed Form BMC 91 filed before the current 
revision which is left on file with the FMCSA after the effective

[[Page 344]]

date of this regulation, and not canceled within 30 days of that date 
will be deemed to certify the same coverage limits as would the filing 
of a revised Form BMC 91. Each Form BMC 91X certificate of insurance 
filed with the FMCSA will represent the full security limits under Sec.
387.303(b)(1) or Sec.387.303(b)(2) or the specific security limits of 
coverage as indicated on the face of the form. If the filing reflects 
aggregation, the certificate must show clearly whether the insurance is 
primary or, if excess coverage, the amount of underlying coverage as 
well as amount of the maximum limits of coverage. * Each Form BMC 91MX 
certificate of insurance filed with the FMCSA will represent the 
security limits of coverage as indicated on the face of the form. The 
Form BMC 91MX must show clearly whether the insurance is primary or, if 
excess coverage, the amount of underlying coverage as well as amount of 
the maximum limits of coverage.
---------------------------------------------------------------------------

    *Note: Aggregation to meet the requirement of Sec.387.303(b)(1) 
will not be allowed until the completion of our rulemaking in Ex Parte 
No. MC-5 (Sub-No. 2), Motor Carrier and Freight Forwarder Insurance 
Procedures and Minimum Amounts of Liability.
---------------------------------------------------------------------------

    (b) Cargo liability. Each form BMC 83 surety bond filed with the 
FMCSA must be for the full limits of liability required under Sec.
387.303(c). Each Form BMC 34 certificate of insurance filed with the 
FMCSA will represent the full security limits under Sec.387.303(c) or 
the specific security limits of coverage as indicated on the face of the 
form. If the filing reflects aggregation, the certificate must show 
clearly whether the insurance is primary or, if excess coverage, the 
amount of underlying coverage as well as amount of the maximum limits of 
coverage.
    (c) Each policy of insurance in connection with the certificate of 
insurance which is filed with the FMCSA, shall be amended by attachment 
of the appropriate endorsement prescribed by the FMCSA and the 
certificate of insurance filed must accurately reflect that endorsement.

[47 FR 55944, Dec. 14, 1982, as amended at 48 FR 43332, Sept. 23, 1983; 
48 FR 51781, Nov. 14, 1983; 50 FR 40030, Oct. 1, 1985; 62 FR 49941, 
Sept. 24, 1997; 68 FR 56199, Sept. 30, 2003]



Sec.387.313  Forms and procedures.

    (a) Forms for endorsements, certificates of insurance and others--
(1) In form prescribed. Endorsements for policies of insurance and 
surety bonds, certificates of insurance, applications to qualify as a 
self-insurer, or for approval of other securities or agreements, and 
notices of cancellation must be in the form prescribed and approved by 
the FMCSA.
    (2) Aggregation of Insurance.** When insurance is provided by more 
than one insurer in order to aggregate security limits for carriers 
operating only freight vehicles under 10,000 pounds Gross Vehicle Weight 
Rating, as defined in Sec.387.303(b)(1), a separate Form BMC 90, with 
the specific amounts of underlying and limits of coverage shown thereon 
or appended thereto, and Form BMC 91X certificate is required of each 
insurer.
---------------------------------------------------------------------------

    **Note: See Note for Rule 387.311. Also, it should be noted that DOT 
is considering prescribing adaptations of the Form MCS 90 endorsement 
and the Form MCS 82 surety bond for use by passenger carriers and Rules 
Sec. Sec.387.311 and 387.313 have been written sufficiently broad to 
provide for this contingency when new forms are prescribed by that 
Agency.

For aggregation of insurance for all other carriers to cover security 
limits under Sec.387.303 (b)(1) or (b)(2), a separate Department of 
Transportation prescribed form endorsement and Form BMC 91X certificate 
is required of each insurer. When insurance is provided by more than one 
insurer to aggregate coverage for security limits under Sec.387.303(c) 
a separate Form BMC 32 endorsement and Form BMC 34 certificate of 
---------------------------------------------------------------------------
insurance is required for each insurer.

For aggregation of insurance for foreign motor private carriers of 
nonhazardous commodities to cover security limits under Sec.
387.303(b)(4), a separate Form BMC 90 with the specific amounts of 
underlying and limits of coverage shown thereon or appended thereto, or 
Department of Transportation prescribed form endorsement, and Form BMC 
91MX certificate is required for each insurer.

    (3) Use of Certificates and Endorsements in BMC Series. Form BMC 91 
certificates

[[Page 345]]

of insurance will be filed with the FMCSA for the full security limits 
under Sec.387.303 (b)(1) or (b)(2).

Form BMC 91X certificate of insurance will be filed to represent full 
coverage or any level of aggregation for the security limits under Sec.
387.303 (b)(1) or (b)(2).

Form BMC 90 endorsement will be used with each filing of Form BMC 91 or 
Form 91X certificate with the FMCSA which certifies to coverage not 
governed by the requirements of the Department of Transportation. Form 
BMC 32 endorsement and Form BMC 34 certificate of insurance and Form BMC 
83 surety bonds are used for the limits of cargo liability under Sec.
387.303(c).

Form BMC 91MX certificate of insurance will be filed to represent any 
level of aggregation for the security limits under Sec.387.303(b)(4).

    (4) Use of Endorsements in MCS Series. When Security limits 
certified under Sec.387.303 (b)(1) or (b)(2) involves coverage also 
required by the Department of Transportation a Form MCS endorsement 
prescribed by the Department of Transportation such as, and including, 
the Form MCS 90 endorsement is required.
    (5) Surety bonds. When surety bonds are used rather than 
certificates of insurance, Form BMC 82 is required for the security 
limits under Sec.387.303(b)(1) not subject to regulation by the 
Department of Transportation, and Form MCS 82, or any form of similar 
import prescribed by the Department of Transportation, is used for the 
security limits subject also to minimum coverage requirements of the 
Department of Transportation.
    (6) Surety bonds and certificates in effect continuously. Surety 
bonds and certificates of insurance shall specify that coverage 
thereunder will remain in effect continuously until terminated as herein 
provided, except: (1) When filed expressly to fill prior gaps or lapses 
in coverage or to cover grants of emergency temporary authority of 
unusually short duration and the filing clearly so indicates, or (2) in 
special or unusual circumstances, when special permission is obtained 
for filing certificates of insurance or surety bonds on terms meeting 
other particular needs of the situation.
    (b) Filing and copies. Certificates of insurance, surety bonds, and 
notices of cancellation must be filed with the FMCSA in triplicate.
    (c) Name of insured. Certificates of insurance and surety bonds 
shall be issued in the full and correct name of the individual, 
partnership, corporation or other person to whom the certificate, 
permit, or license is, or is to be, issued. In the case of a 
partnership, all partners shall be named.
    (d) Cancellation notice. Except as provided in paragraph (e) of this 
section, surety bonds, certificates of insurance and other securities or 
agreements shall not be cancelled or withdrawn until 30 days after 
written notice has been submitted to the FMCSA at its offices in 
Washington, DC, on the prescribed form (Form BMC-35, Notice of 
Cancellation Motor Carrier Policies of Insurance under 49 U.S.C. 13906, 
and BMC-36, Notice of Cancellation Motor Carrier and Broker Surety 
Bonds, as appropriate) by the insurance company, surety or sureties, 
motor carrier, broker or other party thereto, as the case may be, which 
period of thirty (30) days shall commence to run from the date such 
notice on the prescribed form is actually received by the FMCSA.
    (e) Termination by replacement. Certificates of insurance or surety 
bonds which have been accepted by the FMCSA under these rules may be 
replaced by other certificates of insurance, surety bonds or other 
security, and the liability of the retiring insurer or surety under such 
certificates of insurance or surety bonds shall be considered as having 
terminated as of the effective date of the replacement certificate of 
insurance, surety bond or other security, provided the said replacement 
certificate, bond or other security is acceptable to the FMCSA under the 
rules and regulations in this part.
    (f) Termination of Forms BMC-32 and BMC-34 for motor carriers 
transporting property other than household goods. Form BMC-32 
endorsements and Form BMC-34 certificates of insurance issued to motor 
carriers transporting property other than household goods that have been 
accepted by the FMCSA

[[Page 346]]

under these rules will expire on March 21, 2011.

[47 FR 55944, Dec. 14, 1982, as amended at 48 FR 43334, Sept. 23, 1983; 
48 FR 51781, Nov. 14, 1983; 50 FR 40030, Oct. 1, 1985; 51 FR 34623, 
Sept. 30, 1986; 62 FR 49941, Sept. 24, 1997; 75 FR 35328, June 22, 2010]

    Effective Date Note: At 78 FR 52651, Aug. 23, 2013, Sec.387.313 
was amended by revising paragraphs (b) and (d), effective Aug. 23, 2015. 
For the convenience of the user, the revised text is set forth as 
follows:



Sec.387.313  Forms and procedures.

                                * * * * *

    (b) Filing and copies. Certificates of insurance, surety bonds, and 
notices of cancellation must be filed with the FMCSA at http://
www.fmcsa.dot.gov.

                                * * * * *

    (d) Cancellation notice. Except as provided in paragraph (e) of this 
section, surety bonds, certificates of insurance, and other securities 
or agreements shall not be cancelled or withdrawn until 30 days after 
written notice has been submitted to http://www.fmcsa.dot.gov on the 
prescribed form (Form BMC-35, Notice of Cancellation Motor Carrier 
Policies of Insurance under 49 U.S.C. 13906, and BMC-36, Notice of 
Cancellation Motor Carrier and Broker Surety Bonds, as appropriate) by 
the insurance company, surety or sureties, motor carrier, broker or 
other party thereto, as the case may be, which period of thirty (30) 
days shall commence to run from the date such notice on the prescribed 
form is filed with FMCSA at http://www.fmcsa.dot.gov.

                                * * * * *



Sec.387.315  Insurance and surety companies.

    A certificate of insurance or surety bond will not be accepted by 
the FMCSA unless issued by an insurance or surety company that is 
authorized (licensed or admitted) to issue bonds or underlying insurance 
policies:
    (a) In each State in which the motor carrier is authorized by the 
FMCSA to operate, or
    (b) In the State in which the motor carrier has its principal place 
of business or domicile, and will designate in writing upon request by 
the FMCSA, a person upon whom process, issued by or under the authority 
of a court of competent jurisdiction, may be served in any proceeding at 
law or equity brought in any State in which the carrier operates, or
    (c) In any State, and is eligible as an excess or surplus lines 
insurer in any State in which business is written, and will make the 
designation of process agent described in paragraph (b) of this section.
    (d) In the Province or Territory of Canada in which a Canadian motor 
carrier has its principal place of business or domicile, and will 
designate in writing upon request by FMCSA, a person upon whom process, 
issued by or under the authority of a court of competent jurisdiction, 
may be served in any proceeding at law or equity brought in any State in 
which the carrier operates.

[56 FR 28111, June 19, 1991, as amended at 75 FR 38430, July 2, 2010; 78 
FR 58482, Sept. 24, 2013]



Sec.387.317  Refusal to accept, or revocation by the FMCSA of surety bonds, etc.

    The FMCSA may, at any time, refuse to accept or may revoke its 
acceptance of any surety bond, certificate of insurance, qualifications 
as a self-insurer, or other securities or agreements if, in its judgment 
such security does not comply with these sections or for any reason 
fails to provide satisfactory or adequate protection for the public. 
Revocation of acceptance of any certificate of insurance, surety bond or 
other security shall not relieve the motor carrier from compliance with 
Sec.387.301(d).

[47 FR 55945, Dec. 14, 1982, as amended at 62 FR 49942, Sept. 24, 1997]



Sec.387.319  Fiduciaries.

    (a) Definitions. The terms ``insured'' and ``principal'' as used in 
a certificate of insurance, surety bond, and notice of cancellation, 
filed by or for a motor carrier, include the motor carrier and its 
fiduciary as of the moment of succession. The term ``fiduciary'' means 
any person authorized by law to collect and preserve property of 
incapacitated, financially disabled, bankrupt, or deceased holders of 
operating rights, and assignees of such holders.
    (b) Insurance coverage in behalf of fiduciaries to apply 
concurrently. The coverage furnished under the provisions of this 
section on behalf of fiduciaries

[[Page 347]]

shall not apply subsequent to the effective date of other insurance, or 
other security, filed with and approved by the FMCSA in behalf of such 
fiduciaries. After the coverage provided in this section shall have been 
in effect thirty (30) days, it may be cancelled or withdrawn within the 
succeeding period of thirty (30) days by the insurer, the insured, the 
surety, or the principal upon ten (10) days' notice in writing to the 
FMCSA at its office in Washington, DC, which period of ten (10) days 
shall commence to run from the date such notice is actually received by 
the FMCSA. After such coverage has been in effect for a total of sixty 
(60) days, it may be cancelled or withdrawn only in accordance with 
Sec.1043.7.

[32 FR 20032, Dec. 20, 1967, as amended at 47 FR 49596, Nov. 1, 1982; 47 
FR 55945, Dec. 14, 1982; 55 FR 11197, Mar. 27, 1990]



Sec.387.321  Operations in foreign commerce.

    No motor carrier may operate in the United States in the course of 
transportation between places in a foreign country or between a place in 
one foreign country and a place in another foreign country unless and 
until there shall have been filed with and accepted by the FMCSA a 
certificate of insurance, surety bond, proof of qualifications as a 
self-insurer, or other securities or agreements in the amount prescribed 
in Sec.387.303(b), conditioned to pay any final judgment recovered 
against such motor carrier for bodily injuries to or the death of any 
person resulting from the negligent operation, maintenance, or use of 
motor vehicles in transportation between places in a foreign country or 
between a place in one foreign country and a place in another foreign 
country, insofar as such transportation takes place in the United 
States, or for loss of or damage to property of others. The security for 
the protection of the public required by this section shall be 
maintained in effect at all times and shall be subject to the provisions 
of Sec. Sec.387.309 through 387.319. The requirements of Sec.
387.315(a) shall be satisfied if the insurance or surety company, in 
addition to having been approved by the FMCSA, is legally authorized to 
issue policies or surety bonds in at least one of the States in the 
United States, or one of the Provinces in Canada, and has filed with the 
FMCSA the name and address of a person upon whom legal process may be 
served in each State in or through which the motor carrier operates. 
Such designation may from time to time be changed by like designation 
similarly filed, but shall be maintained during the effectiveness of any 
certificate of insurance or surety bond issued by the company, and 
thereafter with respect to any claims arising during the effectiveness 
of such certificate or bond. The term ``motor carrier'' as used in this 
section shall not include private carriers or carriers operating under 
the partial exemption from regulation in 49 U.S.C. 13503 and 13506.

[47 FR 55945, Dec. 14, 1982, as amended at 62 FR 49942, Sept. 24, 1997]



Sec.387.323  Electronic filing of surety bonds, trust fund agreements,
certificates of insurance and cancellations.

    (a) Insurers may, at their option and in accordance with the 
requirements and procedures set forth in paragraphs (a) through (d) of 
this section, file forms BMC 34, BMC 35, BMC 36, BMC 82, BMC 83, BMC 84, 
BMC 85, BMC 91, and BMC 91X electronically, in lieu of using the 
prescribed printed forms.
    (b) Each insurer must obtain authorization to file electronically by 
registering with the FMCSA. An individual account number and password 
for computer access will be issued to each registered insurer.
    (c) Filings may be transmitted online via the Internet at: http://
fhwa-li.volpe.dot.gov or via American Standard Code Information 
Interchange (ASCII). All ASCII transmission must be in fixed format, 
i.e., all records must have the same number of fields and same length. 
The record layouts for ASCII electronic transactions are described in 
the following table:

[[Page 348]]



                                    Electronic Insurance Filing Transactions
----------------------------------------------------------------------------------------------------------------
                                                                                Required
           Field name             Number of positions      Description          F=filing        Start      End
                                                                             C=cancel B=both    field     field
----------------------------------------------------------------------------------------------------------------
Record type.....................  1 Numeric..........  1=Filing             B                        1         1
                                                       2=Cancellation.....
Insurer number..................  8 Text.............  FMCSA Assigned       B                        2         9
                                                        Insurer Number
                                                        (Home Office) With
                                                        Suffix (Issuing
                                                        Office), If
                                                        Different, e.g.
                                                        12345-01.
Filing type.....................  1 Numeric..........  1 = BI&PD            B                       10        10
                                                       2 = Cargo..........
                                                       3 = Bond...........
                                                       4 = Trust Fund.....
FMCSA docket number.............  8 Text.............  FMCSA Assigned MC    B                       11        18
                                                        or FF Number,
                                                        e.g., MC000045.
Insured legal name..............  120 Text...........  Legal Name.........  B                       19       138
Insured d/b/a name..............  60 Text............  Doing Business As    B                      139       198
                                                        Name If Different
                                                        From Legal Name.
Insured address.................  35 Text............  Either street or     B                      199       233
                                                        mailing address.
Insured city....................  30 Text............  ...................  B                      234       263
Insured state...................  2 Text.............  ...................  B                      264       265
Insured zip code................  9 Numeric            (Do not include      B                      266       274
                                                        dash if using 9
                                                        digit code).
Insured country.................  2 Text.............  (Will default to     B                      275       276
                                                        US).
Form code.......................  10 Text............  BMC-91, BMC-91X,     B                      277       286
                                                        BMC-34, BMC-35,
                                                        etc.
Full, primary or excess coverage  1 Text.............  If BMC-91X, P or E   F                      287       287
                                                        = indicator of
                                                        primary or excess
                                                        policy; 1 = Full
                                                        under Sec.
                                                        387.303(b)(1); 2 =
                                                        Full under Sec.
                                                        387.303(b)(2).
Limit of liability..............  5 Numeric..........  $ in Thousands.....  F                      288       292
Underlying limit of liability...  5 Numeric..........  $ in Thousands       F                      293       297
                                                        (will default to
                                                        $000 if Primary).
Effective date..................  8 Text.............  MM/DD/YY Format for  B                      298       305
                                                        both Filing or
                                                        Cancellation.
Policy number...................  25 Text............  Surety companies     B                      306       330
                                                        may enter bond
                                                        number.
----------------------------------------------------------------------------------------------------------------

    (d) All registered insurers agree to furnish upon request to the 
FMCSA a duplicate original of any policy (or policies) and all 
endorsements, surety bond, trust fund agreement, or other filing.

[60 FR 16810, Apr. 3, 1995, as amended at 62 FR 49942, Sept. 24, 1997; 
66 FR 49873, Oct. 1, 2001]

    Effective Date Note: At 78 FR 52651, Aug. 23, 2013, Sec.387.323 
was revised, effective Aug. 23, 2015. For the convenience of the user, 
the revised text is set forth as follows:



Sec.387.323  Electronic filing of surety bonds, trust fund agreements, 
          certificates of insurance and cancellations.

    (a) Insurers must electronically file forms BMC 34, BMC 35, BMC 36, 
BMC 82, BMC 83, BMC 84, BMC 85, BMC 91, and BMC 91X in accordance with 
the requirements and procedures set forth in paragraphs (b) through (d) 
of this section.
    (b) Each insurer must obtain authorization to file electronically by 
registering with the FMCSA. An individual account number and password 
for computer access will be issued to each registered insurer.
    (c) Filings must be transmitted online via the Internet at http://
www.fmcsa.dot.gov.
    (d) All registered insurers agree to furnish upon request to the 
FMCSA a copy of any policy (or policies) and all certificates of 
insurance, endorsements, surety bonds, trust fund agreements, proof of 
qualification to self-insure or other insurance filings.



 Subpart D_Surety Bonds and Policies of Insurance for Freight Forwarders

    Source: 55 FR 11201, Mar. 27, 1990, unless otherwise noted. 
Redesignated at 61 FR 54710, Oct. 21, 1996.



Sec.387.401  Definitions.

    (a) Freight forwarder means a person holding itself out to the 
general public (other than as an express, pipeline,

[[Page 349]]

rail, sleeping car, motor, or water carrier) to provide transportation 
of property for compensation in interstate commerce, and in the ordinary 
course of its business:
    (1) Performs or provides for assembling, consolidating, break-bulk, 
and distribution of shipments; and
    (2) Assumes responsibility for transportation from place of receipt 
to destination; and
    (3) Uses for any part of the transportation a carrier subject to 
FMCSA jurisdiction.
    (b) Household goods freight forwarder (HHGFF) means a freight 
forwarder of household goods, unaccompanied baggage, or used 
automobiles.
    (c) Motor vehicle means any vehicle, machine, tractor, trailer, or 
semitrailer propelled or drawn by mechanical power and used to transport 
property, but does not include any vehicle, locomotive, or car operated 
exclusively on a rail or rails. The following combinations will be 
regarded as one motor vehicle:
    (1) A tractor that draws a trailer or semitrailer; and
    (2) A truck and trailer bearing a single load.



Sec.387.403  General requirements.

    (a) Cargo. A household goods freight forwarder may not operate until 
it has filed with FMCSA an appropriate surety bond, certificate of 
insurance, qualifications as a self-insurer, or other securities or 
agreements, in the amounts prescribed in Sec.387.405, for loss of or 
damage to household goods.
    (b) Public liability. A HHGFF may not perform transfer, collection, 
and delivery service until it has filed with the FMCSA an appropriate 
surety bond, certificate of insurance, qualifications as a self-insurer, 
or other securities or agreements, in the amounts prescribed at Sec.
387.405, conditioned to pay any final judgment recovered against such 
HHGFF for bodily injury to or the death of any person, or loss of or 
damage to property (except cargo) of others, or, in the case of freight 
vehicles described at 49 CFR 387.303(b)(2), for environmental 
restoration, resulting from the negligent operation, maintenance, or use 
of motor vehicles operated by or under its control in performing such 
service.
    (c) Surety bond or trust fund. A freight forwarder must have a 
surety bond or trust fund in effect. The FMCSA will not issue a freight 
forwarder license until a surety bond or trust fund for the full limit 
of liability prescribed in Sec.387.405 is in effect. The freight 
forwarder license shall remain valid or effective only as long as a 
surety bond or trust fund remains in effect and shall ensure the 
financial responsibility of the freight forwarder. The requirements 
applicable to property broker surety bonds and trust funds in Sec.
387.307 shall apply to the surety bond or trust fund required by this 
paragraph.

[55 FR 11201, Mar. 27, 1990. Redesignated at 61 FR 54710, Oct. 21, 1996, 
as amended at 62 FR 49942, Sept. 24, 1997; 75 FR 35328, June 22, 2010; 
78 FR 60233, Oct. 1, 2013]

    Effective Date Note: At 78 FR 52652, Aug. 23, 2013, Sec.387.403 
was revised, effective Aug. 23, 2015. For the convenience of the user, 
the revised text is set forth as follows:



Sec.387.403  General requirements.

    (a) Cargo. A household goods freight forwarder may not operate until 
it has filed with FMCSA an appropriate surety bond, certificate of 
insurance, qualifications as a self-insurer, or other securities or 
agreements, in the amounts prescribed at Sec.387.405, for loss of or 
damage to household goods.
    (b) Public liability. A freight forwarder may not perform transfer, 
collection, or delivery service until it has filed with the FMCSA an 
appropriate surety bond, certificate of insurance, qualifications as a 
self-insurer, or other securities or agreements, in the amounts 
prescribed at Sec.387.405, conditioned to pay any final judgment 
recovered against such freight forwarder for bodily injury to or the 
death of any person, or loss of or damage to property (except cargo) of 
others, or, in the case of freight vehicles described at Sec.
387.303(b)(2), for environmental restoration, resulting from the 
negligent operation, maintenance, or use of motor vehicles operated by 
or under its control in performing such service.



Sec.387.405  Limits of liability.

    The minimum amounts for cargo and public liability security are 
identical to those prescribed for motor carriers at 49 CFR 387.303. The 
minimum amount for the surety bond or trust

[[Page 350]]

fund is identical to that prescribed for brokers at 49 CFR 387.307.

[78 FR 60233, Oct. 1, 2013]



Sec.387.407  Surety bonds and certificates of insurance.

    (a) The limits of liability under Sec.387.405 may be provided by 
aggregation under the procedures at 49 CFR part 387, subpart C.
    (b) Each policy of insurance used in connection with a certificate 
of insurance filed with the FMCSA shall be amended by attachment of the 
appropriate endorsement prescribed by the FMCSA (or the Department of 
Transportation, where applicable).

[55 FR 11201, Mar. 27, 1990. Redesignated at 61 FR 54710, Oct. 21, 1996, 
as amended at 62 FR 49942, Sept. 24, 1997]



Sec.387.409  Insurance and surety companies.

    A certificate of insurance or surety bond will not be accepted by 
the FMCSA unless issued by an insurance or surety company that is 
authorized (licensed or admitted) to issue bonds or underlying insurance 
policies:
    (a) In each State in which the freight forwarder is authorized by 
the FMCSA to perform service, or
    (b) In the State in which the freight forwarder has its principal 
place of business or domicile, and will designate in writing upon 
request by the FMCSA, a person upon whom process, issued by or under the 
authority of a court of competent jurisdiction, may be served in any 
proceeding at law or equity brought in any State in which the freight 
forwarder performs service; or
    (c) In any State, and is eligible as an excess or surplus lines 
insurer in any State in which business is written, and will make the 
designation of process agent prescribed in paragraph (b) of this 
section.
    (d) In the Province or Territory of Canada in which a Canadian 
freight forwarder has its principal place of business or domicile, and 
will designate in writing upon request by FMCSA, a person upon whom 
process, issued by or under the authority of a court of competent 
jurisdiction, may be served in any proceeding at law or equity brought 
in any State in which the freight forwarder operates.

[56 FR 28111, June 19, 1991, as amended at 75 FR 38430, July 2, 2010; 78 
FR 58482, Sept. 24, 2013]



Sec.387.411  Qualifications as a self-insurer and other securities
or agreements.

    (a) Self-insurer. The FMCSA will approve the application of a 
freight fowarder to qualify as a self-insurer if it is able to meet its 
obligations for bodily-injury, property-damage, and cargo liability 
without adversely affecting its business.
    (b) Other securities and agreements. The FMCSA will grant 
applications for approval of other securities and agreements if the 
public will be protected as contemplated by 49 U.S.C. 13906(c).

[55 FR 11201, Mar. 27, 1990. Redesignated at 61 FR 54710, Oct. 21, 1996, 
as amended at 62 FR 49942, Sept. 24, 1997]



Sec.387.413  Forms and procedure.

    (a) Forms. Endorsements for policies of insurance, surety bonds, 
certificates of insurance, applications to qualify as a self-insurer or 
for approval of other securities or agreements, and notices of 
cancellation must be in the form prescribed at 49 CFR part 387, subpart 
C.
    (b) Procedure. Certificates of insurance, surety bonds, and notices 
of cancellation must be filed with the FMCSA in triplicate.
    (c) Names. Certificates of insurance and surety bonds shall be 
issued in the full name (including any trade name) of the individual, 
partnership (all partners named), corporation, or other person holding 
or to be issued the permit.
    (d) Cancellation. Except as provided in paragraph (e) of this 
section, certificates of insurance, surety bonds, and other securities 
and agreements shall not be cancelled or withdrawn until 30 days after 
the FMCSA receives written notice from the insurance company, surety, 
freight forwarder, or other party, as the case may be.
    (e) Termination by replacement. Certificates of insurance or surety 
bonds may be replaced by other certificates of insurance, surety bonds, 
or other security, and the liability of the retiring insurer or surety 
shall be considered as

[[Page 351]]

having terminated as of the replacement's effective date, if acceptable 
to the FMCSA.
    (f) Termination of Forms BMC-32 and BMC-34 for freight forwarders of 
property other than household goods. Form BMC-32 endorsements and Form 
BMC-34 certificates of insurance issued to freight forwarders of 
property other than household goods that have been accepted by the FMCSA 
under these rules will expire on March 21, 2011.

[55 FR 11201, Mar. 27, 1990. Redesignated at 61 FR 54710, Oct. 21, 1996, 
as amended at 62 FR 49942, Sept. 24, 1997; 75 FR 35329, June 22, 2010]

    Effective Date Note: At 78 FR 52652, Aug. 23, 2013, Sec.387.413 
was amended by revising paragraph (b), effective Aug. 23, 2015. For the 
convenience of the user, the revised text is set forth as follows:



Sec.387.413  Forms and procedures.

                                * * * * *

    (b) Procedure. Certificates of insurance, surety bonds, and notices 
of cancellation must be electronically filed with the FMCSA.

                                * * * * *



Sec.387.415  Acceptance and revocation by the FMCSA.

    The FMCSA may at any time refuse to accept or may revoke its 
acceptance of any surety bond, certificate of insurance, qualifications 
as a self-insurer, or other security or agreement that does not comply 
with these rules or fails to provide adequate public protection.



Sec.387.417  Fiduciaries.

    (a) Interpretations. The terms ``insured'' and ``principal'' as used 
in a certificate of insurance, surety bond, and notice of cancellation, 
filed by or for a freight forwarder, include the freight forwarder and 
its fiduciary (as defined at 49 CFR 387.319(a)) as of the moment of 
succession.
    (b) Span of security coverage. The coverage furnished for a 
fiduciary shall not apply after the effective date of other insurance or 
security, filed with and accepted by the FMCSA for such fiduciary. After 
the coverage shall have been in effect 30 days, it may be cancelled or 
withdrawn within the succeeding 30 days by the insurer, the insured, the 
surety, or the principal 10 days after the FMCSA receives written 
notice. After such coverage has been in effect 60 days, it may be 
cancelled or withdrawn only in accordance with Sec.387.413(d).

[55 FR 11201, Mar. 27, 1990. Redesignated at 61 FR 54710, Oct. 21, 1996, 
as amended at 62 FR 49942, Sept. 24, 1997]



Sec.387.419  Electronic filing of surety bonds, certificates of
insurance and cancellations.

    Insurers may, at their option and in accordance with the 
requirements and procedures set forth at 49 CFR 387.323, file 
certificates of insurance, surety bonds, and other securities and 
agreements electronically.

[60 FR 16811, Apr. 3, 1995, as amended at 62 FR 49942, Sept. 24, 1997]

    Effective Date Note: At 78 FR 52652, Aug. 23, 2013, Sec.387.419 
was revised, effective Aug. 23, 2015. For the convenience of the user, 
the revised text is set forth as follows:



Sec.387.419  Electronic filing of surety bonds, certificates of 
          insurance and cancellations.

    Insurers must electronically file certificates of insurance, surety 
bonds, and other securities and agreements and notices of cancellation 
in accordance with the requirements and procedures set forth at Sec.
387.323.



PART 388_COOPERATIVE AGREEMENTS WITH STATES--Table of Contents



Sec.
388.1 Eligibility.
388.2 Extent of acceptance.
388.3 Cancellation.
388.4 Exchange of information.
388.5 Requests for assistance.
388.6 Joint investigation, inspection, or examination.
388.7 Joint administrative activities related to enforcement of safety 
          and hazardous materials laws and regulations.
388.8 Supplemental agreements.

    Authority: 49 U.S.C. 113 and 502; 49 CFR 1.87.

    Source: 33 FR 19725, Dec. 25, 1968, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 388 appear at 66 FR 
49873, Oct. 1, 2001.

[[Page 352]]



Sec.388.1  Eligibility.

    Any State may agree with the Federal Motor Carrier Safety 
Administration to enforce the safety laws and regulations of said State 
and the United States concerning motor carrier transportation by filing 
with the Administrator at Administrator, Federal Motor Carrier Safety 
Administration, 1200 New Jersey Ave., SE., Washington, DC 20590-0001, a 
written acceptance of the terms herein.

[33 FR 19725, Dec. 25, 1968, as amended at 72 FR 55702, Oct. 1, 2007]



Sec.388.2  Extent of acceptance.

    The written acceptance may be in letter form, signed by competent 
authority of said State charged with regulations of motor carrier saftey 
and hazardous materials transportation and shall specify the terms 
herein pertaining to the obligations of a State in which said State will 
participate. To the extent that a State agrees to participate in the 
terms herein, officials of the Federal Motor Carrier Safety 
Administration will reciprocate.



Sec.388.3  Cancellation.

    Cancellation or withdrawal, in whole or in part, from any agreement 
made under this chapter may be effected by written notice from either 
party indicating the effective date of said cancellation or withdrawal.



Sec.388.4  Exchange of information.

    (a) Federal Motor Carrier Safety Administration furnishing 
information to State. Information that comes to the attention of an 
employee of the Federal Motor Carrier Safety Administration in the 
course of his/her official duties of investigation, inspection, or 
examination of the property, equipment, and records of a motor carrier 
or others, pursuant to 49 U.S.C. 504(c), and that is believed to be a 
violation of any law or regulation of the State pertaining to unsafe 
motor carrier operations and practices, shall be communicated to the 
appropriate State authority by an official of the Federal Motor Carrier 
Safety Administration.
    (b) State furnishing information to Federal Motor Carrier Safety 
Administration. Information that comes to the attention of a duly 
authorized agent of the State in the course of his/her official duties 
of investigation, inspection, or examination of the property, equipment, 
and records of a motor carrier or others, and that is believed to be a 
violation of any provision of the safety or hazardous materials laws of 
the United States concerning highway transportation or the regulations 
of the Federal Motor Carrier Safety Administration thereunder, shall be 
communicated to the Field Administrator.

[51 FR 12621, Apr. 14, 1986, as amended at 67 FR 61824, Oct. 2, 2002]



Sec.388.5  Requests for assistance.

    (a) State request for Federal Motor Carrier Safety Administration 
assistance. Upon written request of the appropriate State authority, the 
officials of the Federal Motor Carrier Safety Administration for that 
State shall, as time, personnel, and funds permit, obtain evidence for 
use by said State in the enforcement of its laws and regulations 
concerning unsafe motor carrier operations. Evidence obtained in this 
manner shall be transmitted to the appropriate State authority together 
with the name and address of an agent or employee, if any, having 
knowledge of the facts, who shall be made available when necessary to 
testify as a witness in an enforcement proceeding or other action.
    (b) Federal Motor Carrier Safety Administration request for State 
assistance. Upon written request from a Regional Director of Motor 
Carriers, the appropriate State authority, shall, as time, personnel, 
and funds permit, obtain evidence in the State for use by the Federal 
Motor Carrier Safety Administration in its enforcement of the safety and 
hazardous materials laws and regulations of the United States concerning 
highway transportation. Evidence obtained in this manner shall be 
transmitted to the Field Administrator, together with the name and 
address of an agent or employee, if any, having knowledge of the facts, 
who shall be made available when necessary to testify as a witness in an 
enforcement proceeding or other action.

[33 FR 19725, Dec. 25, 1968, as amended at 51 FR 12621, Apr. 14, 1986; 
60 FR 38743, July 28, 1995; 67 FR 61824, Oct. 2, 2002]

[[Page 353]]



Sec.388.6  Joint investigation, inspection, or examination.

    Upon agreement by the Field Administrator and the appropriate State 
authority, there will be conducted a joint investigation, inspection, or 
examination of the property, equipment, or records of motor carriers or 
others, for the enforcement of the safety and hazardous materials laws 
and regulations of the United States and the State concerning highway 
transportation. The said Field Administrator and the appropriate State 
authority shall decide as to the location and time, the objectives 
sought, and the identity of the person who will supervise the joint 
effort and make the necessary decisions. Any agent or employee of either 
agency who has personal knowledge of pertinent facts shall be made 
available when necessary to testify as a witness in an enforcement 
proceeding or other action.

[33 FR 19725, Dec. 25, 1968, as amended at 51 FR 12621, Apr. 14, 1986; 
67 FR 61824, Oct. 2, 2002]



Sec.388.7  Joint administrative activities related to enforcement of
safety and hazardous materials laws and regulations.

    To facilitate the interchange of information and evidence, and the 
conduct of joint investigation and administrative action, the Field 
Administrator and the appropriate State authority shall, when warranted, 
schedule joint conferences of staff members of both agencies. 
Information shall be exchanged as to the nature and extent of the 
authority and capabilities of the respective agencies to enforce the 
safety and hazardous materials laws and regulations of the State or of 
the United States concerning motor carrier transportation. The Federal 
Motor Carrier Safety Administration and the State (or appropriate State 
authority) shall use their best efforts to inform each other of changes 
in their rules and regulations and cooperate with and assist each other 
in conducting training schools for Federal and State enforcement 
officials engaged in such duties.

[33 FR 19725, Dec. 25, 1968, as amended at 51 FR 12621, Apr. 14, 1986; 
67 FR 61824, Oct. 2, 2002]



Sec.388.8  Supplemental agreements.

    The terms specified in this part may be supplemented from time to 
time by specific agreement between the Federal Motor Carrier Safety 
Administration and the appropriate State authority in order to further 
implement the provisions of 49 U.S.C. 502.

[51 FR 12621, Apr. 14, 1986]



PART 389_RULEMAKING PROCEDURES_FEDERAL MOTOR CARRIER SAFETY REGULATIONS--Table of Contents



                            Subpart A_General

Sec.
389.1 Applicability.
389.3 Definitions.
389.5 Regulatory docket.
389.7 Records.

               Subpart B_Procedures for Adoption of Rules

389.11 General.
389.13 Initiation of rule making.
389.15 Contents of notices of proposed rule making.
389.17 Participation by interested persons.
389.19 Petitions for extension of time to comment.
389.21 Contents of written comments.
389.23 Consideration of comments received.
389.25 Additional rule making proceedings.
389.27 Hearings.
389.29 Adoption of final rules.
389.31 Petitions for rule making.
389.33 Processing of petition.
389.35 Petitions for reconsideration.
389.37 Proceedings on petitions for reconsideration.
389.39 Direct final rulemaking procedures

    Authority: 49 U.S.C. 113, 501 et seq., subchapters I and III of 
chapter 311, chapter 313, and 31502; 42 U.S.C. 4917; and 49 CFR 1.87.

    Source: 35 FR 9209, June 12, 1970, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 389 appear at 66 FR 
49873, Oct. 1, 2001.



                            Subpart A_General



Sec.389.1  Applicability.

    This part prescribes rulemaking procedures that apply to the 
issuance, amendment and revocation of rules under an Act.

[62 FR 37152, July 11, 1997]

[[Page 354]]



Sec.389.3  Definitions.

    Act means statutes granting the Secretary authority to regulate 
motor carrier safety.
    Administrator means the Federal Motor Carrier Safety Administrator.

[62 FR 37152, July 11, 1997]



Sec.389.5  Regulatory docket.

    (a) Information and data deemed relevant by the Administrator 
relating to rulemaking actions, including notices of proposed 
rulemaking; comments received in response to notices; petitions for 
rulemaking and reconsideration; denials of petitions for rulemaking and 
reconsideration; records of additional rule making proceedings under 
Sec.389.25; and final rules are maintained at headquarters, Federal 
Motor Carrier Safety Administration, 1200 New Jersey Ave., SE., 
Washington, DC 20590-0001.
    (b) Except for material ordered withheld from the public under 
section 552(b) of title 5 of the United States Code, any person may 
examine docketed material in the Department of Transportation Docket 
Management Facility in the following ways:
    (1) At headquarters at any time during regular business hours. 
Copies may be obtained upon payment of a fee.
    (2) On the Web site regulations.gov, at any time, by using the 
uniform resources locator (URL) http://www.regulations.gov. Copies may 
be downloaded or printed.

[72 FR 55702, Oct. 1, 2007]



Sec.389.7  Records.

    Records of the Administrator relating to rule making proceedings are 
available for inspection as provided in section 552(b) of title 5 of the 
United States Code and part 7 of the regulations of the Secretary of 
Transportation (part 7 of this title; 32 FR 9284 et seq.).

[35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988]



               Subpart B_Procedures for Adoption of Rules



Sec.389.11  General.

    Except as provided in Sec.389.39, Direct final rulemaking 
procedures, unless the Administrator, for good cause, finds a rule is 
impractical, unnecessary, or contrary to the public interest, and 
incorporates such a finding and a brief statement for the reason for it 
in the rule, a notice of proposed rulemaking must be issued, and 
interested persons are invited to participate in the rulemaking 
proceedings involving rules under an Act.

[75 FR 29916, May 28, 2010]



Sec.389.13  Initiation of rule making.

    The Administrator initiates rule making on his/her own motion. 
However, in so doing, he/she may, in his/her discretion, consider the 
recommendations of his/her staff or other agencies of the United States 
or of other interested persons.

[35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988]



Sec.389.15  Contents of notices of proposed rule making.

    (a) Each notice of proposed rule making is published in the Federal 
Register, unless all persons subject to it are named and are personally 
served with a copy of it.
    (b) Each notice, whether published in the Federal Register or 
personally served, includes:
    (1) A statement of the time, place, and nature of the proposed rule 
making proceeding;
    (2) A reference to the authority under which it is issued;
    (3) A description of the subjects and issues involved or the 
substance and terms of the proposed rule;
    (4) A statement of the time within which written comments must be 
submitted; and
    (5) A statement of how and to what extent interested persons may 
participate in the proceeding.



Sec.389.17  Participation by interested persons.

    (a) Any interested person may participate in rule making proceedings 
by submitting comments in writing containing information, views, or 
arguments.

[[Page 355]]

    (b) In his/her discretion, the Administrator may invite any 
interested person to participate in the rule making procedures described 
in Sec.389.25.

[35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988]



Sec.389.19  Petitions for extension of time to comment.

    A petition for extension of the time to submit comments must be 
received in duplicate not later than three (3) days before expiration of 
the time stated in the notice. The filing of the petition does not 
automatically extend the time for petitioner's comments. Such a petition 
is granted only if the petitioner shows good cause for the extension, 
and if the extension is consistent with the public interest. If an 
extension is granted, it is granted to all persons, and it is published 
in the Federal Register.



Sec.389.21  Contents of written comments.

    All written comments must be in English and submitted in five (5) 
legible copies, unless the number of copies is specified in the notice. 
Any interested person must submit as part of his/her written comments 
all material that he/she considers relevant to any statement of fact 
made by him/her. Incorporation of material by reference is to be 
avoided. However, if such incorporation is necessary, the incorporated 
material shall be identified with respect to document and page.



Sec.389.23  Consideration of comments received.

    All timely comments are considered before final action is taken on a 
rule making proposal. Late filed comments may be considered as far as 
practicable.



Sec.389.25  Additional rulemaking proceedings.

    The Administrator may initiate any further rulemaking proceedings 
that he/she finds necessary or desirable. For example, interested 
persons may be invited to make oral arguments, to participate in 
conferences between the Administrator or his/her representative at which 
minutes of the conference are kept, to appear at informal hearings 
presided over by officials designated by the Administrator at which a 
transcript or minutes are kept, or to participate in any other 
proceeding to assure informed administrative action and to protect the 
public interest.

[78 FR 58482, Sept. 24, 2013]



Sec.389.27  Hearings.

    (a) Sections 556 and 557 of title 5, United States Code, do not 
apply to hearings held under this part. Unless otherwise specified, 
hearings held under this part are informal, nonadversary, fact-finding 
procedures at which there are no formal pleadings or adverse parties. 
Any rule issued in a case in which an informal hearing is held is not 
necessarily based exclusively on the record of the hearing.
    (b) The Administrator designates a representative to conduct any 
hearing held under this part. The Chief Counsel of the Federal Motor 
Carrier Safety Administration designates a member of his/her staff to 
serve as legal officer at the hearing.

[35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988]



Sec.389.29  Adoption of final rules.

    Final rules are prepared by representatives of the office concerned 
and the Office of the Chief Counsel. The rule is then submitted to the 
Administrator for his/her consideration. If the Administrator adopts the 
rule, it is published in the Federal Register, unless all persons 
subject to it are named and are personally served with a copy of it.

[35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988]



Sec.389.31  Petitions for rule making.

    (a) Any interested person may petition the Administrator to 
establish, amend, or repeal a rule.
    (b) Each petition filed under this section must:
    (1) Be submitted in duplicate to the Administrator, Federal Motor 
Carrier Safety Administration, 1200 New Jersey Ave., SE., Washington, DC 
20590-0001;
    (2) Set forth the text or substance of the rule or amendment 
proposed, or specify the rule that the petitioner

[[Page 356]]

seeks to have repealed, as the case may be;
    (3) Explain the interest of the petitioner in the action requested;
    (4) Contain any information and arguments available to the 
petitioner to support the action sought.

[35 FR 9209, June 12, 1970, as amended at 45 FR 46424, July 10, 1980; 53 
FR 2036, Jan. 26, 1988; 72 FR 55702, Oct. 1, 2007]



Sec.389.33  Processing of petition.

    (a) Unless the Administrator otherwise specifies, no public hearing, 
argument, or other proceeding is held directly on a petition before its 
disposition under this section.
    (b) Grants. If the Administrator determines that the petition 
contains adequate justification, he/she initiates rule making action 
under this Subpart B.
    (c) Denials. If the Administrator determines that the petition does 
not justify rule making, he/she denies the petition.
    (d) Notification. Whenever the Administrator determines that a 
petition should be granted or denied, the Office of the Chief Counsel 
prepares a notice of that grant or denial for issuance to the 
petitioner, and the Administrator issues it to the petitioner.

[35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988]



Sec.389.35  Petitions for reconsideration.

    (a) Any interested person may petition the Administrator for 
reconsideration of any rule issued under this part. The petition must be 
in English and submitted in five (5) legible copies to the 
Administrator, Federal Motor Carrier Safety Administration, 1200 New 
Jersey Ave., SE., Washington, DC 20590-0001, and received not later than 
thirty (30) days after publication of the rule in the Federal Register. 
Petitions filed after that time will be considered as petitions filed 
under Sec.389.31. The petition must contain a brief statement of the 
complaint and an explanation as to why compliance with the rule is not 
practicable, is unreasonable, or is not in the public interest.
    (b) If the petitioner requests the consideration of additional 
facts, he/she must state the reason they were not presented to the 
Administrator within the prescribed time.
    (c) The Administrator does not consider repetitious petitions.
    (d) Unless the Administrator otherwise provides, the filing of a 
petition under this section does not stay the effectiveness of the rule.

[35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988; 72 
FR 55702, Oct. 1, 2007]



Sec.389.37  Proceedings on petitions for reconsideration.

    The Administrator may grant or deny, in whole or in part, any 
petition for reconsideration without further proceedings. In the event 
he/she determines to reconsider any rule, he/she may issue a final 
decision on reconsideration without further proceedings, or he/she may 
provide such opportunity to submit comment or information and data as 
he/she deems appropriate. Whenever the Administrator determines that a 
petition should be granted or denied, he/she prepares a notice of the 
grant or denial of a petition for reconsideration, for issuance to the 
petitioner, and issues it to the petitioner. The Administrator may 
consolidate petitions relating to the same rule.

[35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988]



Sec.389.39  Direct final rulemaking procedures

    A direct final rule makes regulatory changes and states that those 
changes will take effect on a specified date unless FMCSA receives an 
adverse comment or notice of intent to file an adverse comment by the 
date specified in the direct final rule published in the Federal 
Register.
    (a) Types of actions appropriate for direct final rulemaking. Rules 
that the Administrator determines to be non-controversial and unlikely 
to result in adverse public comments may be published in the final rule 
section of the Federal Register as direct final rules. These include 
non-controversial rules that:
    (1) Make non-substantive clarifications or corrections to existing 
rules;
    (2) Incorporate by reference the latest or otherwise updated 
versions of technical or industry standards;

[[Page 357]]

    (3) Affect internal FMCSA procedures such as filing requirements and 
rules governing inspection and copying of documents;
    (4) Update existing forms; and
    (5) Make minor changes to rules regarding statistics and reporting 
requirements, such as a change in reporting period (for example, from 
quarterly to annually) or eliminating a type of data collection no 
longer necessary.
    (b) Adverse comment. An adverse comment is a comment that FMCSA 
judges to be critical of the rule, to suggest that the rule should not 
be adopted, or to suggest that a change should be made to the rule. 
Under the direct final rule process, FMCSA does not consider the 
following types of comments to be adverse:
    (1) Comments recommending another rule change, unless the commenter 
states that the direct final rule will be ineffective without the 
change;
    (2) Comments outside the scope of the rule and comments suggesting 
that the rule's policy or requirements should or should not be extended 
to other Agency programs outside the scope of the rule;
    (3) Comments in support of the rule; or
    (4) Comments requesting clarification.
    (c) Confirmation of effective date. FMCSA will publish a 
confirmation rule document in the Federal Register, if it has not 
received an adverse comment or notice of intent to file an adverse 
comment by the date specified in the direct final rule. The confirmation 
rule document tells the public the effective date of the rule.
    (d) Withdrawal of a direct final rule. (1) If FMCSA receives an 
adverse comment or a notice of intent to file an adverse comment within 
the comment period, it will publish a rule document in the Federal 
Register, before the effective date of the direct final rule, advising 
the public and withdrawing the direct final rule.
    (2) If FMCSA withdraws a direct final rule because of an adverse 
comment, the Agency may issue a notice of proposed rulemaking if it 
decides to pursue the rulemaking.

[75 FR 29916, May 28, 2010]



PART 390_FEDERAL MOTOR CARRIER SAFETY REGULATIONS; GENERAL--Table of Contents



             Subpart A_General Applicability and Definitions

Sec.
390.1 Purpose.
390.3 General applicability.
390.5 Definitions.
390.7 Rules of construction.

             Subpart B_General Requirements and Information

390.9 State and local laws, effect on.
390.11 Motor carrier to require observance of driver regulations.
390.13 Aiding or abetting violations.
390.15 Assistance in investigations and special studies.
390.16 [Reserved]
390.17 Additional equipment and accessories.
390.19 Motor carrier, hazardous material safety permit applicant/holder; 
          and intermodal equipment provider identification reports.Motor 
          carrier, hazardous material shipper, and intermodal equipment 
          provider identification reports.
390.21 Marking of self-propelled CMVs and intermodal equipment.
390.23 Relief from regulations.
390.25 Extension of relief from regulations--emergencies.
390.27 Locations of motor carrier safety service centers.
390.29 Location of records or documents.
390.31 Copies of records or documents.
390.33 Commercial motor vehicles used for purposes other than defined.
390.35 Certificates, reports, and records: Falsification, reproduction, 
          or alteration.
390.37 Violation and penalty.
390.39 Exemptions for ``covered farm vehicles.''

    Subpart C_Requirements and Information for Intermodal Equipment 
     Providers and for Motor Carriers Operating Intermodal Equipment

390.40 What responsibilities do intermodal equipment providers have 
          under the Federal Motor Carrier Safety Regulations (49 CFR 
          parts 350-399)?
390.42 What are the responsibilities of drivers and motor carriers 
          operating intermodal equipment?
390.44 What are the procedures to correct the safety record of a motor 
          carrier or an intermodal equipment provider?

[[Page 358]]

390.46 Are State and local laws and regulations on the inspection, 
          repair, and maintenance of intermodal equipment preempted by 
          the Federal Motor Carrier Safety Regulations?

       Subpart D_National Registry of Certified Medical Examiners

390.101 Scope.
390.103 Eligibility requirements for medical examiner certification.
390.105 Medical examiner training programs.
390.107 Medical examiner certification testing.
390.109 Issuance of the FMCSA medical examiner certification credential.
390.111 Requirements for continued listing on the National Registry of 
          Certified Medical Examiners.
390.113 Reasons for removal from the National Registry of Certified 
          Medical Examiners.
390.115 Procedure for removal from the National Registry of Certified 
          Medical Examiners.

                  Subpart E_Unified Registration System

390.201 USDOT Registration.
390.203 PRISM State registration/biennial updates.
390.205 Special requirements for registration.
390.207 Other governing regulations.
390.209 Pre-authorization safety audit.

    Authority: 49 U.S.C. 504, 508, 31132, 31133, 31136, 31144, 31151, 
31502; sec. 114, Pub. L. 103-311, 108 Stat. 1673, 1677-1678; sec. 212, 
217, 229, Pub. L. 106-159, 113 Stat. 1748, 1766, 1767; sec. 229, Pub. L. 
106-159 (as transferred by sec. 4114 and amended by secs. 4130-4132, 
Pub. L. 109-59, 119 Stat. 1144, 1726, 1743-1744); sec. 4136, Pub. L. 
109-59, 119 Stat. 114, 1745; sections 32101(d) and 34934, Pub. L. 112-
141, 126 Stat. 405, 778, 830; and 49 CFR 1.87.

    Effective Date Note: At 78 FR 52652, Aug. 23, 2013, the authority 
citation for part 390 was revised, effective Aug. 23, 2015. For the 
convenience of the user, the revised text is set forth as follows:
    Authority: 49 U.S.C. 508, 13301, 13902, 13908, 31132, 31133, 31136, 
31151, 31502, 31504; sec. 114, Pub. L. 103-311, 108 Stat. 1673, 1677; 
sec. 217, Pub. L. 106-159, 113 Stat. 1748, 1767; sec. 4136, Pub. L. 109-
59, 119 Stat. 1144, 1745; and 49 CFR 1.87.

    Source: 53 FR 18052, May 19, 1988, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 390 appear at 66 FR 
49873, Oct. 1, 2001.



             Subpart A_General Applicability and Definitions



Sec.390.1  Purpose.

    This part establishes general applicability, definitions, general 
requirements and information as they pertain to persons subject to this 
chapter.



Sec.390.3  General applicability.

    (a) The rules in subchapter B of this chapter are applicable to all 
employers, employees, and commercial motor vehicles, which transport 
property or passengers in interstate commerce.
    (b) The rules in part 383, Commercial Driver's License Standards; 
Requirements and Penalties, are applicable to every person who operates 
a commercial motor vehicle, as defined in Sec.383.5 of this 
subchapter, in interstate or intrastate commerce and to all employers of 
such persons.
    (c) The rules in part 387, Minimum Levels of Financial 
Responsibility for Motor Carriers, are applicable to motor carriers as 
provided in Sec.387.3 or Sec.387.27 of this subchapter.
    (d) Additional requirements. Nothing in subchapter B of this chapter 
shall be construed to prohibit an employer from requring and enforcing 
more stringent requirements relating to safety of operation and employee 
safety and health.
    (e) Knowledge of and compliance with the regulations. (1) Every 
employer shall be knowledgeable of and comply with all regulations 
contained in this subchapter which are applicable to that motor 
carrier's operations.
    (2) Every driver and employee shall be instructed regarding, and 
shall comply with, all applicable regulations contained in this 
subchapter.
    (3) All motor vehicle equipment and accessories required by this 
subchapter shall be maintained in compliance with all applicable 
performance and design criteria set forth in this subchapter.
    (f) Exceptions. Unless otherwise specifically provided, the rules in 
this subchapter do not apply to--
    (1) All school bus operations as defined in Sec.390.5, except for 
the provisions of Sec. Sec.391.15(e) and (f), 392.80, and 392.82 of 
this chapter.
    (2) Transportation performed by the Federal government, a State, or 
any political subdivision of a State, or an

[[Page 359]]

agency established under a compact between States that has been approved 
by the Congress of the United States;
    (3) The occasional transportation of personal property by 
individuals not for compensation nor in the furtherance of a commercial 
enterprise;
    (4) The transportation of human corpses or sick and injured persons;
    (5) The operation of fire trucks and rescue vehicles while involved 
in emergency and related operations;
    (6) The operation of commercial motor vehicles designed or used to 
transport between 9 and 15 passengers (including the driver), not for 
direct compensation, provided the vehicle does not otherwise meet the 
definition of a commercial motor vehicle, except that motor carriers and 
drivers operating such vehicles are required to comply with Sec. Sec.
390.15, 390.19, 390.21(a) and (b)(2), 391.15(e) and (f), 392.80 and 
392.82 of this chapter.
    (7) Either a driver of a commercial motor vehicle used primarily in 
the transportation of propane winter heating fuel or a driver of a motor 
vehicle used to respond to a pipeline emergency, if such regulations 
would prevent the driver from responding to an emergency condition 
requiring immediate response as defined in Sec.390.5.
    (g) Motor carriers that transport hazardous materials in intrastate 
commerce. The rules in the following provisions of subchapter B of this 
chapter apply to motor carriers that transport hazardous materials in 
intrastate commerce and to the motor vehicles that transport hazardous 
materials in intrastate commerce:
    (1) Part 385, subparts A and E, for carriers subject to the 
requirements of Sec.385.403 of this chapter.
    (2) Part 386, Rules of practice for motor carrier, broker, freight 
forwarder, and hazardous materials proceedings, of this chapter.
    (3) Part 387, Minimum Levels of Financial Responsibility for Motor 
Carriers, to the extent provided in Sec.387.3 of this chapter.
    (4) Section 390.19, Motor carrier identification report, and Sec.
390.21, Marking of CMVs, for carriers subject to the requirements of 
Sec.385.403 of this chapter. Intrastate motor carriers operating prior 
to January 1, 2005, are excepted from Sec.390.19(a)(1).
    (h) Intermodal equipment providers. On and after December 17, 2009, 
the rules in the following provisions of subchapter B of this chapter 
apply to intermodal equipment providers:
    (1) Subpart F, Intermodal Equipment Providers, of Part 385, Safety 
Fitness Procedures.
    (2) Part 386, Rules of Practice for Motor Carrier, Intermodal 
Equipment Provider, Broker, Freight Forwarder, and Hazardous Materials 
Proceedings.
    (3) Part 390, Federal Motor Carrier Safety Regulations; General, 
except Sec.390.15(b) concerning accident registers.
    (4) Part 393, Parts and Accessories Necessary for Safe Operation.
    (5) Part 396, Inspection, Repair, and Maintenance.

[53 FR 18052, May 19, 1988]

    Editorial Note: For Federal Register citations affecting Sec.
390.3, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and at www.fdsys.gov.

    Effective Date Note: At 78 FR 52652, Aug. 23, 2013, Sec.390.3 was 
revised, effective Aug. 23, 2015. For the convenience of the user, the 
revised text is set forth as follows:



Sec.390.3  General applicability.

    (a) The rules in subchapter B of this chapter are applicable to all 
employers, employees, and commercial motor vehicles that transport 
property or passengers in interstate commerce.
    (b) The rules in part 383 of this chapter, Commercial Driver's 
License Standards; Requirements and Penalties, are applicable to every 
person who operates a commercial motor vehicle, as defined in Sec.
383.5 of this subchapter, in interstate or intrastate commerce and to 
all employers of such persons.
    (c) The rules in part 387 of this chapter, Minimum Levels of 
Financial Responsibility for Motor Carriers, are applicable to motor 
carriers as provided in Sec.387.3 or Sec.387.27 of this chapter.
    (d) Additional requirements. Nothing in subchapter B of this chapter 
shall be construed to prohibit an employer from requiring and enforcing 
more stringent requirements relating to safety of operation and employee 
safety and health.
    (e) Knowledge of and compliance with the regulations. (1) Every 
employer shall be knowledgeable of and comply with all regulations 
contained in this subchapter that are

[[Page 360]]

applicable to that motor carrier's operations.
    (2) Every driver and employee involved in motor carrier operations 
shall be instructed regarding, and shall comply with, all applicable 
regulations contained in this subchapter.
    (3) All motor vehicle equipment and accessories required by this 
chapter shall be maintained in compliance with all applicable 
performance and design criteria set forth in this subchapter.
    (f) Exceptions. Unless otherwise specifically provided, the rules in 
this subchapter do not apply to--
    (1) All school bus operations as defined in Sec.390.5 except for 
the provisions of Sec. Sec.391.15(e) and 392.80;
    (2) Transportation performed by the Federal government, a State, or 
any political subdivision of a State, or an agency established under a 
compact between States that has been approved by the Congress of the 
United States;
    (3) The occasional transportation of personal property by 
individuals not for compensation and not in the furtherance of a 
commercial enterprise;
    (4) The transportation of human corpses or sick and injured persons;
    (5) The operation of fire trucks and rescue vehicles while involved 
in emergency and related operations;
    (6) The operation of commercial motor vehicles designed or used to 
transport between 9 and 15 passengers (including the driver), not for 
direct compensation, provided the vehicle does not otherwise meet the 
definition of a commercial motor vehicle, except for the texting 
provisions of Sec. Sec.391.15(e) and 392.80, and except that motor 
carriers operating such vehicles are required to comply with Sec. Sec.
390.15, 390.21(a) and (b)(2), 390.201 and 390.205.
    (7) Either a driver of a commercial motor vehicle used primarily in 
the transportation of propane winter heating fuel or a driver of a motor 
vehicle used to respond to a pipeline emergency, if such regulations 
would prevent the driver from responding to an emergency condition 
requiring immediate response as defined in Sec.390.5.
    (g) Motor carriers that transport hazardous materials in intrastate 
commerce. The rules in the following provisions of this subchapter apply 
to motor carriers that transport hazardous materials in intrastate 
commerce and to the motor vehicles that transport hazardous materials in 
intrastate commerce:
    (1) Part 385, subparts A and E, for carriers subject to the 
requirements of Sec.385.403 of this subchapter.
    (2) Part 386, Rules of Practice for Motor Carrier, Intermodal 
Equipment Provider, Broker, Freight Forwarder, and Hazardous Materials 
Proceedings, of this subchapter.
    (3) Part 387, Minimum Levels of Financial Responsibility for Motor 
Carriers, to the extent provided in Sec.387.3 of this subchapter.
    (4) Subpart E of this part, Unified Registration System, and Sec.
390.21, Marking of CMVs, for carriers subject to the requirements of 
Sec.385.403 of this subchapter. Intrastate motor carriers operating 
prior to January 1, 2005, are excepted from Sec.390.201.
    (h) Intermodal equipment providers. The rules in the following 
provisions of this subchapter apply to intermodal equipment providers:
    (1) Subpart F, Intermodal Equipment Providers, of Part 385, Safety 
Fitness Procedures.
    (2) Part 386, Rules of Practice for Motor Carrier, Intermodal 
Equipment Provider, Broker, Freight Forwarder, and Hazardous Materials 
Proceedings.
    (3) Part 390, Federal Motor Carrier Safety Regulations; General, 
except Sec.390.15(b) concerning accident registers.
    (4) Part 393, Parts and Accessories Necessary for Safe Operation.
    (5) Part 396, Inspection, Repair, and Maintenance.
    (i) Brokers. The rules in the following provisions of this 
subchapter apply to brokers that are required to register with the 
Agency pursuant to 49 U.S.C. chapter 139.
    (1) Part 371, Brokers of Property.
    (2) Part 386, Rules of Practice for Motor Carrier, Intermodal 
Equipment Provider, Broker, Freight Forwarder, and Hazardous Materials 
Proceedings.
    (3) Part 387, Minimum Levels of Financial Responsibility for Motor 
Carriers, to the extent provided in subpart C of that part.
    (4) Subpart E of this part, Unified Registration System.
    (j) Freight forwarders. The rules in the following provisions of 
this subchapter apply to freight forwarders that are required to 
register with the Agency pursuant to 49 U.S.C. chapter 139.
    (1) Part 386, Rules of Practice for Motor Carrier, Intermodal 
Equipment Provider, Broker, Freight Forwarder, and Hazardous Materials 
Proceedings.
    (2) Part 387, Minimum Levels of Financial Responsibility for Motor 
Carriers, to the extent provided in subpart D of that part.
    (3) Subpart E of this part, Unified Registration System.
    (k) Cargo tank facilities. The rules in subpart C of this part, 
Unified Registration System, apply to each cargo tank and cargo tank 
motor vehicle manufacturer, assembler, repairer, inspector, tester, and 
design certifying engineer that is subject to registration requirements 
under 49 CFR 107.502 and 49 U.S.C. 5108.

[[Page 361]]



Sec.390.5  Definitions.

    Unless specifically defined elsewhere, in this subchapter:
    Accident means--
    (1) Except as provided in paragraph (2) of this definition, an 
occurrence involving a commercial motor vehicle operating on a highway 
in interstate or intrastate commerce which results in:
    (i) A fatality;
    (ii) Bodily injury to a person who, as a result of the injury, 
immediately receives medical treatment away from the scene of the 
accident; or
    (iii) One or more motor vehicles incurring disabling damage as a 
result of the accident, requiring the motor vehicle(s) to be transported 
away from the scene by a tow truck or other motor vehicle.
    (2) The term accident does not include:
    (i) An occurrence involving only boarding and alighting from a 
stationary motor vehicle; or
    (ii) An occurrence involving only the loading or unloading of cargo.
    Alcohol concentration (AC) means the concentration of alcohol in a 
person's blood or breath. When expressed as a percentage it means grams 
of alcohol per 100 milliliters of blood or grams of alcohol per 210 
liters of breath.
    Bus means any motor vehicle designed, constructed, and/or used for 
the transportation of passengers, including taxicabs.
    Business district means the territory contiguous to and including a 
highway when within any 600 feet along such highway there are buildings 
in use for business or industrial purposes, including but not limited to 
hotels, banks, or office buildings which occupy at least 300 feet of 
frontage on one side or 300 feet collectively on both sides of the 
highway.
    Charter transportation of passengers means transportation, using a 
bus, of a group of persons who pursuant to a common purpose, under a 
single contract, at a fixed charge for the motor vehicle, have acquired 
the exclusive use of the motor vehicle to travel together under an 
itinerary either specified in advance or modified after having left the 
place of origin.
    Commercial motor vehicle means any self-propelled or towed motor 
vehicle used on a highway in interstate commerce to transport passengers 
or property when the vehicle--
    (1) Has a gross vehicle weight rating or gross combination weight 
rating, or gross vehicle weight or gross combination weight, of 4,536 kg 
(10,001 pounds) or more, whichever is greater; or
    (2) Is designed or used to transport more than 8 passengers 
(including the driver) for compensation; or
    (3) Is designed or used to transport more than 15 passengers, 
including the driver, and is not used to transport passengers for 
compensation; or
    (4) Is used in transporting material found by the Secretary of 
Transportation to be hazardous under 49 U.S.C. 5103 and transported in a 
quantity requiring placarding under regulations prescribed by the 
Secretary under 49 CFR, subtitle B, chapter I, subchapter C.
    Conviction means an unvacated adjudication of guilt, or a 
determination that a person has violated or failed to comply with the 
law in a court of original jurisdiction or by an authorized 
administrative tribunal, an unvacated forfeiture of bail or collateral 
deposited to secure the person's appearance in court, a plea of guilty 
or nolo contendere accepted by the court, the payment of a fine or court 
cost, or violation of a condition of release without bail, regardless of 
whether or not the penalty is rebated, suspended, or probated.
    Covered farm vehicle--
    (1) Means a straight truck or articulated vehicle--
    (i) Registered in a State with a license plate or other designation 
issued by the State of registration that allows law enforcement 
officials to identify it as a farm vehicle;
    (ii) Operated by the owner or operator of a farm or ranch, or an 
employee or family member of a an owner or operator of a farm or ranch;
    (iii) Used to transport agricultural commodities, livestock, 
machinery or supplies to or from a farm or ranch; and
    (iv) Not used in for-hire motor carrier operations; however, for-
hire motor carrier operations do not include the operation of a vehicle 
meeting the requirements of paragraphs (1)(i)

[[Page 362]]

through (iii) of this definition by a tenant pursuant to a crop share 
farm lease agreement to transport the landlord's portion of the crops 
under that agreement.
    (2) Meeting the requirements of paragraphs (1)(i) through (iv) of 
this definition:
    (i) With a gross vehicle weight or gross vehicle weight rating, 
whichever is greater, of 26,001 pounds or less may utilize the 
exemptions in Sec.390.39 anywhere in the United States; or
    (ii) With a gross vehicle weight or gross vehicle weight rating, 
whichever is greater, of more than 26,001 pounds may utilize the 
exemptions in Sec.390.39 anywhere in the State of registration or 
across State lines within 150 air miles of the farm or ranch with 
respect to which the vehicle is being operated.
    Direct assistance means transportation and other relief services 
provided by a motor carrier or its driver(s) incident to the immediate 
restoration of essential services (such as, electricity, medial care, 
sewer, water, telecommunications, and telecommunication transmissions) 
or essential supplies (such as, food and fuel). It does not include 
transportation related to long-term rehabilitation of damaged physical 
infrastructure or routine commercial deliveries after the initial threat 
to life and property has passed.
    Direct compensation means payment made to the motor carrier by the 
passengers or a person acting on behalf of the passengers for the 
transportation services provided, and not included in a total package 
charge or other assessment for highway transportation services.
    Disabling damage means damage which precludes departure of a motor 
vehicle from the scene of the accident in its usual manner in daylight 
after simple repairs.
    (1) Inclusions. Damage to motor vehicles that could have been 
driven, but would have been further damaged if so driven.
    (2) Exclusions. (i) Damage which can be remedied temporarily at the 
scene of the accident without special tools or parts.
    (ii) Tire disablement without other damage even if no spare tire is 
available.
    (iii) Headlamp or taillight damage.
    (iv) Damage to turn signals, horn, or windshield wipers which makes 
them inoperative.
    Driveaway-towaway operation means an operation in which an empty or 
unladen motor vehicle with one or more sets of wheels on the surface of 
the roadway is being transported:
    (1) Between vehicle manufacturer's facilities;
    (2) Between a vehicle manufacturer and a dealership or purchaser;
    (3) Between a dealership, or other entity selling or leasing the 
vehicle, and a purchaser or lessee;
    (4) To a motor carrier's terminal or repair facility for the repair 
of disabling damage (as defined in Sec.390.5) following a crash; or
    (5) To a motor carrier's terminal or repair facility for repairs 
associated with the failure of a vehicle component or system; or
    (6) By means of a saddle-mount or tow-bar.
    Driver means any person who operates any commercial motor vehicle.
    Driving a commercial motor vehicle while under the influence of 
alcohol means committing any one or more of the following acts in a CMV: 
Driving a CMV while the person's alcohol concentration is 0.04 or more; 
driving under the influence of alcohol, as prescribed by State law; or 
refusal to undergo such testing as is required by any State or 
jurisdiction in the enforcement of Table 1 to Sec.383.51 or Sec.
392.5(a)(2) of this subchapter.
    Electronic device includes, but is not limited to, a cellular 
telephone; personal digital assistant; pager; computer; or any other 
device used to input, write, send, receive, or read text.
    Emergency means any hurricane, tornado, storm (e.g. thunderstorm, 
snowstorm, icestorm, blizzard, sandstorm, etc.), high water, wind-driven 
water, tidal wave, tsunami, earthquake, volcanic eruption, mud slide, 
drought, forest fire, explosion, blackout or other occurrence, natural 
or man-made, which interrupts the delivery of essential services (such 
as, electricity, medical care, sewer, water, telecommunications, and 
telecommunication transmissions) or essential supplies (such as,

[[Page 363]]

food and fuel) or otherwise immediately threatens human life or public 
welfare, provided such hurricane, tornado, or other event results in:
    (1) A declaration of an emergency by the President of the United 
States, the Governor of a State, or their authorized representatives 
having authority to declare emergencies; by the FMCSA Field 
Administrator for the geographical area in which the occurrence happens; 
or by other Federal, State or local government officials having 
authority to declare emergencies, or
    (2) A request by a police officer for tow trucks to move wrecked or 
disabled motor vehicles.
    Emergency condition requiring immediate response means any condition 
that, if left unattended, is reasonably likely to result in immediate 
serious bodily harm, death, or substantial damage to property. In the 
case of transportation of propane winter heating fuel, such conditions 
shall include (but are not limited to) the detection of gas odor, the 
activation of carbon monoxide alarms, the detection of carbon monoxide 
poisoning, and any real or suspected damage to a propane gas system 
following a severe storm or flooding. An ``emergency condition requiring 
immediate response'' does not include requests to refill empty gas 
tanks. In the case of a pipeline emergency, such conditions include (but 
are not limited to) indication of an abnormal pressure event, leak, 
release or rupture.
    Emergency relief means an operation in which a motor carrier or 
driver of a commercial motor vehicle is providing direct assistance to 
supplement State and local efforts and capabilities to save lives or 
property or to protect public health and safety as a result of an 
emergency as defined in this section.
    Employee means any individual, other than an employer, who is 
employed by an employer and who in the course of his or her employment 
directly affects commercial motor vehicle safety. Such term includes a 
driver of a commercial motor vehicle (including an independent 
contractor while in the course of operating a commercial motor vehicle), 
a mechanic, and a freight handler. Such term does not include an 
employee of the United States, any State, any political subdivision of a 
State, or any agency established under a compact between States and 
approved by the Congress of the United States who is acting within the 
course of such employment.
    Employer means any person engaged in a business affecting interstate 
commerce who owns or leases a commercial motor vehicle in connection 
with that business, or assigns employees to operate it, but such terms 
does not include the United States, any State, any political subdivision 
of a State, or an agency established under a compact between States 
approved by the Congress of the United States.
    Exempt intracity zone means the geographic area of a municipality or 
the commercial zone of that municipality described in appendix F to 
subchapter B of this chapter. The term ``exempt intracity zone'' does 
not include any municipality or commercial zone in the State of Hawaii. 
For purposes of Sec.391.62, a driver may be considered to operate a 
commercial motor vehicle wholly within an exempt intracity zone 
notwithstanding any common control, management, or arrangement for a 
continuous carriage or shipment to or from a point without such zone.
    Exempt motor carrier means a person engaged in transportation exempt 
from economic regulation by the Federal Motor Carrier Safety 
Administration (FMCSA) under 49 U.S.C. 13506. ``Exempt motor carriers'' 
are subject to the safety regulations set forth in this subchapter.
    Farm vehicle driver means a person who drives only a commercial 
motor vehicle that is--
    (a) Controlled and operated by a farmer as a private motor carrier 
of property;
    (b) Being used to transport either--
    (1) Agricultural products, or
    (2) Farm machinery, farm supplies, or both, to or from a farm;
    (c) Not being used in the operation of a for-hire motor carrier;
    (d) Not carrying hazardous materials of a type or quantity that 
requires the commercial motor vehicle to be placarded in accordance with 
Sec.177.823 of this subtitle; and

[[Page 364]]

    (e) Being used within 150 air-miles of the farmer's farm.
    Farmer means any person who operates a farm or is directly involved 
in the cultivation of land, crops, or livestock which--
    (a) Are owned by that person; or
    (b) Are under the direct control of that person.
    Fatality means any injury which results in the death of a person at 
the time of the motor vehicle accident or within 30 days of the 
accident.
    Federal Motor Carrier Safety Administrator means the chief executive 
of the Federal Motor Carrier Safety Administration, an agency within the 
Department of Transportation.
    For-hire motor carrier means a person engaged in the transportation 
of goods or passengers for compensation.
    Gross combination weight rating (GCWR) means the value specified by 
the manufacturer as the loaded weight of a combination (articulated) 
motor vehicle. In the absence of a value specified by the manufacturer, 
GCWR will be determined by adding the GVWR of the power unit and the 
total weight of the towed unit and any load thereon.
    Gross vehicle weight rating (GVWR) means the value specified by the 
manufacturer as the loaded weight of a single motor vehicle.
    Hazardous material means a substance or material which has been 
determined by the Secretary of Transportation to be capable of posing an 
unreasonable risk to health, safety, and property when transported in 
commerce, and which has been so designated.
    Hazardous substance means a material, and its mixtures or solutions, 
that is identified in the appendix to Sec.172.101, List of Hazardous 
Substances and Reportable Quantities, of this title when offered for 
transportation in one package, or in one transport motor vehicle if not 
packaged, and when the quantity of the material therein equals or 
exceeds the reportable quantity (RQ). This definition does not apply to 
petroleum products that are lubricants or fuels, or to mixtures or 
solutions of hazardous substances if in a concentration less than that 
shown in the table in Sec.171.8 of this title, based on the reportable 
quantity (RQ) specified for the materials listed in the appendix to 
Sec.172.101.
    Hazardous waste means any material that is subject to the hazardous 
waste manifest requirements of the EPA specified in 40 CFR part 262 or 
would be subject to these requirements absent an interim authorization 
to a State under 40 CFR part 123, subpart F.
    Highway means any road, street, or way, whether on public or private 
property, open to public travel. ``Open to public travel'' means that 
the road section is available, except during scheduled periods, extreme 
weather or emergency conditions, passable by four-wheel standard 
passenger cars, and open to the general public for use without 
restrictive gates, prohibitive signs, or regulation other than 
restrictions based on size, weight, or class of registration. Toll 
plazas of public toll roads are not considered restrictive gates.
    Interchange means the act of providing intermodal equipment to a 
motor carrier pursuant to an intermodal equipment interchange agreement 
for the purpose of transporting the equipment for loading or unloading 
by any person or repositioning the equipment for the benefit of the 
equipment provider, but it does not include the leasing of equipment to 
a motor carrier for primary use in the motor carrier's freight hauling 
operations.
    Intermodal equipment means trailing equipment that is used in the 
intermodal transportation of containers over public highways in 
interstate commerce, including trailers and chassis.
    Intermodal equipment interchange agreement means the Uniform 
Intermodal Interchange and Facilities Access Agreement (UIIFA) or any 
other written document executed by an intermodal equipment provider or 
its agent and a motor carrier or its agent, the primary purpose of which 
is to establish the responsibilities and liabilities of both parties 
with respect to the interchange of the intermodal equipment.
    Intermodal equipment provider means any person that interchanges 
intermodal equipment with a motor carrier pursuant to a written 
interchange

[[Page 365]]

agreement or has a contractual responsibility for the maintenance of the 
intermodal equipment.
    Interstate commerce means trade, traffic, or transportation in the 
United States--
    (1) Between a place in a State and a place outside of such State 
(including a place outside of the United States);
    (2) Between two places in a State through another State or a place 
outside of the United States; or
    (3) Between two places in a State as part of trade, traffic, or 
transportation originating or terminating outside the State or the 
United States.
    Intrastate commerce means any trade, traffic, or transportation in 
any State which is not described in the term ``interstate commerce.''
    Medical examiner means the following:
    (1) For medical examinations conducted before May 21, 2014, a person 
who is licensed, certified, and/or registered, in accordance with 
applicable State laws and regulations, to perform physical examinations. 
The term includes but is not limited to, doctors of medicine, doctors of 
osteopathy, physician assistants, advanced practice nurses, and doctors 
of chiropractic.
    (2) For medical examinations conducted on and after May 21, 2014, an 
individual certified by FMCSA and listed on the National Registry of 
Certified Medical Examiners in accordance with subpart D of this part.
    Medical variance means a driver has received one of the following 
from FMCSA that allows the driver to be issued a medical certificate:
    (1) An exemption letter permitting operation of a commercial motor 
vehicle pursuant to part 381, subpart C, of this chapter or Sec.391.64 
of this chapter;
    (2) A skill performance evaluation certificate permitting operation 
of a commercial motor vehicle pursuant to Sec.391.49 of this chapter.
    Mobile telephone means a mobile communication device that falls 
under or uses any commercial mobile radio service, as defined in 
regulations of the Federal Communications Commission, 47 CFR 20.3. It 
does not include two-way or Citizens Band Radio services.
    Motor carrier means a for-hire motor carrier or a private motor 
carrier. The term includes a motor carrier's agents, officers and 
representatives as well as employees responsible for hiring, 
supervising, training, assigning, or dispatching of drivers and 
employees concerned with the installation, inspection, and maintenance 
of motor vehicle equipment and/or accessories. For purposes of 
subchapter B, this definition includes the terms employer, and exempt 
motor carrier.
    Motor vehicle means any vehicle, machine, tractor, trailer, or 
semitrailer propelled or drawn by mechanical power and used upon the 
highways in the transportation of passengers or property, or any 
combination thereof determined by the Federal Motor Carrier Safety 
Administration, but does not include any vehicle, locomotive, or car 
operated exclusively on a rail or rails, or a trolley bus operated by 
electric power derived from a fixed overhead wire, furnishing local 
passenger transportation similar to street-railway service.
    Motor vehicle record means the report of the driving status and 
history of a driver generated from the driver record, provided to users, 
such as, drivers or employers, and subject to the provisions of the 
Driver Privacy Protection Act, 18 U.S.C. 2721-2725.
    Multiple-employer driver means a driver, who in any period of 7 
consecutive days, is employed or used as a driver by more than one motor 
carrier.
    Operating authority means the registration required by 49 U.S.C. 
13902, 49 CFR part 365, 49 CFR part 368, and 49 CFR 392.9a.
    Operator--See driver.
    Other terms--Any other term used in this subchapter is used in its 
commonly accepted meaning, except where such other term has been defined 
elsewhere in this subchapter. In that event, the definition therein 
given shall apply.
    Out-of-service order means a declaration by an authorized 
enforcement officer of a Federal, State, Canadian, Mexican, or local 
jurisdiction that a driver, a commercial motor vehicle, or a motor 
carrier operation is out of service pursuant to 49 CFR 386.72, 392.5, 
392.9a, 395.13, or 396.9, or compatible laws, or the North American 
Standard Out-of-Service Criteria.

[[Page 366]]

    Person means any individual, partnership, association, corporation, 
business trust, or any other organized group of individuals.
    Previous employer means any DOT regulated person who employed the 
driver in the preceding 3 years, including any possible current 
employer.
    Principal place of business means the single location designated by 
the motor carrier, normally its headquarters, for purposes of 
identification under this subchapter. The motor carrier must make 
records required by parts 382, 387, 390, 391, 395, 396, and 397 of this 
subchapter available for inspection at this location within 48 hours 
(Saturdays, Sundays, and Federal holidays excluded) after a request has 
been made by a special agent or authorized representative of the Federal 
Motor Carrier Safety Administration.
    Private motor carrier means a person who provides transportation of 
property or passengers, by commercial motor vehicle, and is not a for-
hire motor carrier.
    Private motor carrier of passengers (business) means a private motor 
carrier engaged in the interstate transportation of passengers which is 
provided in the furtherance of a commercial enterprise and is not 
available to the public at large.
    Private motor carrier of passengers (nonbusiness) means private 
motor carrier involved in the interstate transportation of passengers 
that does not otherwise meet the definition of a private motor carrier 
of passengers (business).
    Radar detector means any device or mechanism to detect the emission 
of radio microwaves, laser beams or any other future speed measurement 
technology employed by enforcement personnel to measure the speed of 
commercial motor vehicles upon public roads and highways for enforcement 
purposes. Excluded from this definition are radar detection devices that 
meet both of the following requirements:
    (1) Transported outside the driver's compartment of the commercial 
motor vehicle. For this purpose, the driver's compartment of a 
passenger-carrying CMV shall include all space designed to accommodate 
both the driver and the passengers; and
    (2) Completely inaccessible to, inoperable by, and imperceptible to 
the driver while operating the commercial motor vehicle.
    Regional Director of Motor Carriers means the Field Administrator, 
Federal Motor Carrier Safety Administration, for a given geographical 
area of the United States.
    Residential district means the territory adjacent to and including a 
highway which is not a business district and for a distance of 300 feet 
or more along the highway is primarily improved with residences.
    School bus means a passenger motor vehicle which is designed or used 
to carry more than 10 passengers in addition to the driver, and which 
the Secretary determines is likely to be significantly used for the 
purpose of transporting preprimary, primary, or secondary school 
students to such schools from home or from such schools to home.
    School bus operation means the use of a school bus to transport only 
school children and/or school personnel from home to school and from 
school to home.
    Secretary means the Secretary of Transportation.
    Single-employer driver means a driver who, in any period of 7 
consecutive days, is employed or used as a driver solely by a single 
motor carrier. This term includes a driver who operates a commercial 
motor vehicle on an intermittent, casual, or occasional basis.
    Special agent See appendix B to subchapter B--Special agents.
    State means a State of the United States and the District of 
Columbia and includes a political subdivision of a State.
    Texting means manually entering alphanumeric text into, or reading 
text from, an electronic device.
    (1) This action includes, but is not limited to, short message 
service, emailing, instant messaging, a command or request to access a 
World Wide Web page, pressing more than a single button to initiate or 
terminate a voice communication using a mobile telephone, or engaging in 
any other form of electronic text retrieval or entry, for present or 
future communication.
    (2) Texting does not include:

[[Page 367]]

    (i) Inputting, selecting, or reading information on a global 
positioning system or navigation system; or
    (ii) Pressing a single button to initiate or terminate a voice 
communication using a mobile telephone; or
    (iii) Using a device capable of performing multiple functions (e.g., 
fleet management systems, dispatching devices, smart phones, citizens 
band radios, music players, etc.) for a purpose that is not otherwise 
prohibited in this part.
    Trailer includes:
    (a) Full trailer means any motor vehicle other than a pole trailer 
which is designed to be drawn by another motor vehicle and so 
constructed that no part of its weight, except for the towing device, 
rests upon the self-propelled towing motor vehicle. A semitrailer 
equipped with an auxiliary front axle (converter dolly) shall be 
considered a full trailer.
    (b) Pole trailer means any motor vehicle which is designed to be 
drawn by another motor vehicle and attached to the towing motor vehicle 
by means of a ``reach'' or ``pole,'' or by being ``boomed'' or otherwise 
secured to the towing motor vehicle, for transporting long or 
irregularly shaped loads such as poles, pipes, or structural members, 
which generally are capable of sustaining themselves as beams between 
the supporting connections.
    (c) Semitrailer means any motor vehicle, other than a pole trailer, 
which is designed to be drawn by another motor vehicle and is 
constructed so that some part of its weight rests upon the self-
propelled towing motor vehicle.
    Truck means any self-propelled commercial motor vehicle except a 
truck tractor, designed and/or used for the transportation of property.
    Truck tractor means a self-propelled commercial motor vehicle 
designed and/or used primarily for drawing other vehicles.
    Use a hand-held mobile telephone means:
    (1) Using at least one hand to hold a mobile telephone to conduct a 
voice communication;
    (2) Dialing or answering a mobile telephone by pressing more than a 
single button, or
    (3) Reaching for a mobile telephone in a manner that requires a 
driver to maneuver so that he or she is no longer in a seated driving 
position, restrained by a seat belt that is installed in accordance with 
49 CFR 393.93 and adjusted in accordance with the vehicle manufacturer's 
instructions.
    United States means the 50 States and the District of Columbia.

[53 FR 18052, May 19, 1988]

    Editorial Note: For Federal Register citations affecting Sec.
390.5, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and at www.fdsys.gov.

    Effective Date Note: At 78 FR 52653, Aug. 23, 2013, Sec.390.5 was 
amended by revising the definition of ``Exempt motor carrier'', 
effective Aug. 23, 2015. For the convenience of the user, the revised 
text is set forth as follows:



Sec.390.5  Definitions.

                                * * * * *

    Exempt motor carrier means a person engaged in transportation exempt 
from economic regulation by the Federal Motor Carrier Safety 
Administration (FMCSA) under 49 U.S.C. chapter 135 but subject to the 
safety regulations set forth in this subchapter.

                                * * * * *



Sec.390.7  Rules of construction.

    (a) In part 325 of subchapter A and in this subchapter, unless the 
context requires otherwise:
    (1) Words imparting the singular include the plural;
    (2) Words imparting the plural include the singular;
    (3) Words imparting the present tense include the future tense.
    (b) In this subchapter the word--
    (1) Officer includes any person authorized by law to perform the 
duties of the office;
    (2) Writing includes printing and typewriting;
    (3) Shall is used in an imperative sense;
    (4) Must is used in an imperative sense;
    (5) Should is used in a recommendatory sense;
    (6) May is used in a permissive sense; and

[[Page 368]]

    (7) Includes is used as a word of inclusion, not limitation.

[53 FR 18052, May 19, 1988, as amended at 60 FR 38744, July 28, 1995]



             Subpart B_General Requirements and Information



Sec.390.9  State and local laws, effect on.

    Except as otherwise specifically indicated, subchapter B of this 
chapter is not intended to preclude States or subdivisions thereof from 
establishing or enforcing State or local laws relating to safety, the 
compliance with which would not prevent full compliance with these 
regulations by the person subject thereto.



Sec.390.11  Motor carrier to require observance of driver regulations.

    Whenever in part 325 of subchapter A or in this subchapter a duty is 
prescribed for a driver or a prohibition is imposed upon the driver, it 
shall be the duty of the motor carrier to require observance of such 
duty or prohibition. If the motor carrier is a driver, the driver shall 
likewise be bound.



Sec.390.13  Aiding or abetting violations.

    No person shall aid, abet, encourage, or require a motor carrier or 
its employees to violate the rules of this chapter.



Sec.390.15  Assistance in investigations and special studies.

    (a) Each motor carrier and intermodal equipment provider must do the 
following:
    (1) Make all records and information pertaining to an accident 
available to an authorized representative or special agent of the 
Federal Motor Carrier Safety Administration, an authorized State or 
local enforcement agency representative, or authorized third party 
representative within such time as the request or investigation may 
specify.
    (2) Give an authorized representative all reasonable assistance in 
the investigation of any accident, including providing a full, true, and 
correct response to any question of the inquiry.
    (b) For accidents that occur after April 29, 2003, motor carriers 
must maintain an accident register for three years after the date of 
each accident. For accidents that occurred on or prior to April 29, 
2003, motor carriers must maintain an accident register for a period of 
one year after the date of each accident. Information placed in the 
accident register must contain at least the following:
    (1) A list of accidents as defined at Sec.390.5 of this chapter 
containing for each accident:
    (i) Date of accident.
    (ii) City or town, or most near, where the accident occurred and the 
State where the accident occurred.
    (iii) Driver Name.
    (iv) Number of injuries.
    (v) Number of fatalities.
    (vi) Whether hazardous materials, other than fuel spilled from the 
fuel tanks of motor vehicle involved in the accident, were released.
    (2) Copies of all accident reports required by State or other 
governmental entities or insurers.

(Approved by the Office of Management and Budget under control number 
2126-0009)

[69 FR 16719, Mar. 30, 2004, as amended at 73 FR 76821, Dec. 17, 2008]



Sec.390.16      [Reserved]



Sec.390.17  Additional equipment and accessories.

    Nothing in this subchapter shall be construed to prohibit the use of 
additional equipment and accessories, not inconsistent with or 
prohibited by this subchapter, provided such equipment and accessories 
do not decrease the safety of operation of the commercial motor vehicles 
on which they are used.

[53 FR 18052, May 19, 1988, as amended at 60 FR 38744, July 28, 1995. 
Redesignated at 65 FR 35296, June 2, 2000]



Sec.390.19  Motor carrier, hazardous material shipper, and intermodal
equipment provider identification reports.

    (a) Applicability. Each motor carrier and intermodal equipment 
provider must file Form MCS-150, Form MCS-150B or Form MCS-150C with 
FMCSA as follows:

[[Page 369]]

    (1) A U.S.-, Canada-, Mexico-, or non-North America-domiciled motor 
carrier conducting operations in interstate commerce must file a Motor 
Carrier Identification Report, Form MCS-150.
    (2) A motor carrier conducting operations in intrastate commerce and 
requiring a Safety Permit under 49 CFR part 385, subpart E of this 
chapter must file the Combined Motor Carrier Identification Report and 
HM Permit Application, Form MCS-150B.
    (3) Each intermodal equipment provider that offers intermodal 
equipment for transportation in interstate commerce must file an 
Intermodal Equipment Provider Identification Report, Form MCS-150C.
    (b) Filing schedule. Each motor carrier or intermodal equipment 
provider must file the appropriate form under paragraph (a) of this 
section at the following times:
    (1) Before it begins operations; and
    (2) Every 24 months, according to the following schedule:

------------------------------------------------------------------------
         USDOT number ending in              Must file by last day of
------------------------------------------------------------------------
1......................................  January.
2......................................  February.
3......................................  March.
4......................................  April.
5......................................  May.
6......................................  June.
7......................................  July.
8......................................  August.
9......................................  September.
0......................................  October.
------------------------------------------------------------------------

    (3) If the next-to-last digit of its USDOT Number is odd, the motor 
carrier or intermodal equipment provider shall file its update in every 
odd-numbered calendar year. If the next-to-last digit of the USDOT 
Number is even, the motor carrier or intermodal equipment provider shall 
file its update in every even-numbered calendar year.
    (c) Availability of forms. The forms described under paragraph (a) 
of this section and complete instructions are available from the FMCSA 
Web site at http://www.fmcsa.dot.gov (Keyword ``MCS-150,'' or ``MCS-
150B,'' or ``MCS-150C''); from all FMCSA Service Centers and Division 
offices nationwide; or by calling 1-800-832-5660.
    (d) Where to file. The required form under paragraph (a) of this 
section must be filed with FMCSA Office of Information Management. The 
form may be filed electronically according to the instructions at the 
Agency's Web site, or it may be sent to Federal Motor Carrier Safety 
Administration, Office of Information Management, MC-RIO, 1200 New 
Jersey Avenue, SE., Washington, DC 20590.
    (e) Special instructions for for-hire motor carriers. A for-hire 
motor carrier should submit the Form MCS-150, or Form MCS-150B, along 
with its application for operating authority (Form OP-1, OP-1(MX), OP-
1(NNA) or OP-2), to the appropriate address referenced on that form, or 
may submit it electronically or by mail separately to the address 
mentioned in paragraph (d) of this section.
    (f) Only the legal name or a single trade name of the motor carrier 
or intermodal equipment provider may be used on the forms under 
paragraph (a) of this section (Form MCS-150, MCS-150B, or MCS-150C).
    (g) A motor carrier or intermodal equipment provider that fails to 
file the form required under paragraph (a) of this section, or furnishes 
misleading information or makes false statements upon the form, is 
subject to the penalties prescribed in 49 U.S.C. 521(b)(2)(B).
    (h)(1) Upon receipt and processing of the form described in 
paragraph (a) of this section, FMCSA will issue the motor carrier or 
intermodal equipment provider an identification number (USDOT Number).
    (2) The following applicants must additionally pass a pre-
authorization safety audit as described below before being issued a 
USDOT Number:
    (i) A Mexico-domiciled motor carrier seeking to provide 
transportation of property or passengers in interstate commerce between 
Mexico and points in the United States beyond the municipalities and 
commercial zones along the United States-Mexico international border 
must pass the pre-authorization safety audit under Sec.365.507 of this 
subchapter. The Agency will not issue a USDOT Number until expiration of 
the protest period provided in Sec.365.115 of this subchapter or--if a 
protest is received--after FMCSA denies or rejects the protest.

[[Page 370]]

    (ii) A non-North America-domiciled motor carrier seeking to provide 
transportation of property or passengers in interstate commerce within 
the United States must pass the pre-authorization safety audit under 
Sec.385.607(c) of this subchapter. The Agency will not issue a USDOT 
Number until expiration of the protest period provided in Sec.365.115 
of this subchapter or--if a protest is received--after FMCSA denies or 
rejects the protest.
    (3) The motor carrier must display the number on each self-propelled 
CMV, as defined in Sec.390.5, along with the additional information 
required by Sec.390.21.
    (4) The intermodal equipment provider must identify each unit of 
interchanged intermodal equipment by its assigned USDOT number.
    (i) A motor carrier that registers its vehicles in a State that 
participates in the Performance and Registration Information Systems 
Management (PRISM) program (authorized under section 4004 of the 
Transportation Equity Act for the 21st Century [(Public Law 105-178, 112 
Stat. 107]) is exempt from the requirements of this section, provided it 
files all the required information with the appropriate State office.

[73 FR 76821, Dec. 17, 2008]

    Effective Date Notes: 1. At 78 FR 52653, Aug. 23, 2013, Sec.390.19 
was amended by adding paragraph (b)(4), effective Nov. 1, 2013. For the 
convenience of the user, the added text is set forth as follows:



Sec.390.19  Motor carrier, hazardous material shipper, and intermodal 
          equipment provider identification reports.

                                * * * * *

    (b) * * *
    (4) A person that fails to complete biennial updates to the 
information pursuant to paragraph (b)(2) of this section is subject to 
the penalties prescribed in 49 U.S.C. 521(b)(2)(B) or 49 U.S.C. 
14901(a), as appropriate, and deactivation of its USDOT Number.

                                * * * * *

    2. At 78 FR 52653, Aug. 23, 2013, Sec.390.19 was revised, 
effective Aug. 23, 2015. For the convenience of the user, the revised 
text is set forth as follows:



Sec.390.19  Motor carrier identification reports for certain Mexico-
          domiciled motor carriers.

    (a) Applicability. A Mexico-domiciled motor carrier requesting 
authority to provide transportation of property or passengers in 
interstate commerce between Mexico and points in the United States 
beyond the municipalities and commercial zones along the United States-
Mexico international border must file Form MCS-150 with FMCSA as 
follows:
    (b) Filing schedule. Each motor carrier must file the appropriate 
form under paragraph (a) of this section at the following times:
    (1) Before it begins operations; and
    (2) Every 24 months, according to the following schedule:

------------------------------------------------------------------------
          USDOT Number  ending in               Must file by last day
------------------------------------------------------------------------
1.........................................  January.
2.........................................  February.
3.........................................  March.
4.........................................  April.
5.........................................  May.
6.........................................  June.
7.........................................  July.
8.........................................  August.
9.........................................  September.
0.........................................  October.
------------------------------------------------------------------------

    (3) If the next-to-last digit of its USDOT Number is odd, the motor 
carrier shall file its update in every odd-numbered calendar year. If 
the next-to-last digit of the USDOT Number is even, the motor carrier 
shall file its update in every even-numbered calendar year.
    (4) A person that fails to complete biennial updates to the 
information pursuant to paragraph (b)(2) of this section is subject to 
the penalties prescribed in 49 U.S.C. 521(b)(2)(B) or 49 U.S.C. 
14901(a), as appropriate, and deactivation of its USDOT Number.
    (c) Availability of forms. The Form MCS-150 and complete 
instructions are available from the FMCSA Web site at http://
www.fmcsa.dot.gov (Keyword ``MCS-150''); from all FMCSA Service Centers 
and Division offices nationwide; or by calling 1-800-832-5660.
    (d) Where to file. The Form MCS-150 must be filed with the FMCSA 
Office of Registration and Safety Information. The form may be filed 
electronically according to the instructions at the Agency's Web site, 
or it may be sent to Federal Motor Carrier Safety Administration, Office 
of Registration and Safety Information, MC-RS 1200 New Jersey Avenue 
SE., Washington, DC 20590.
    (e) Special instructions. A motor carrier should submit the Form 
MCS-150 along with its application for operating authority (OP-1(MX)), 
to the appropriate address referenced

[[Page 371]]

on that form, or may submit it electronically or by mail separately to 
the address mentioned in paragraph (d) of this section.
    (f) Only the legal name or a single trade name of the motor carrier 
may be used on the Form MCS-150.
    (g)(1) A motor carrier that fails to file the Form MCS-150 or 
furnishes misleading information or makes false statements upon the 
form, is subject to the penalties prescribed in 49 U.S.C. 521(b)(2)(B).
    (2) A motor carrier that fails to update the Form MCS-150 as 
required in paragraph (b) will have its USDOT Number deactivated and 
will be prohibited from conducting transportation.
    (h)(1) Upon receipt and processing of the form described in 
paragraph (a) of this section, FMCSA will issue the motor carrier or 
intermodal equipment provider an identification number (USDOT Number).
    (2) A Mexico-domiciled motor carrier seeking to provide 
transportation of property or passengers in interstate commerce between 
Mexico and points in the United States beyond the municipalities and 
commercial zones along the United States-Mexico international border 
must pass the pre-authorization safety audit under Sec.365.507 of this 
subchapter. The Agency will not issue a USDOT Number until expiration of 
the protest period provided in Sec.365.115 of this chapter or--if a 
protest is received--after FMCSA denies or rejects the protest.
    (3) The motor carrier must display the USDOT Number on each self-
propelled CMV, as defined in Sec.390.5, along with the additional 
information required by Sec.390.21.



Sec.390.21  Marking of self-propelled CMVs and intermodal equipment.

    (a) General. Every self-propelled CMV subject to subchapter B of 
this chapter must be marked as specified in paragraphs (b), (c), and (d) 
of this section, and each unit of intermodal equipment interchanged or 
offered for interchange to a motor carrier by an intermodal equipment 
provider subject to subchapter B of this chapter must be marked as 
specified in paragraph (g) of this section.
    (b) Nature of marking. The marking must display the following 
information:
    (1) The legal name or a single trade name of the motor carrier 
operating the self-propelled CMV, as listed on the motor carrier 
identification report (Form MCS-150) and submitted in accordance with 
Sec.390.19.
    (2) The identification number issued by FMCSA to the motor carrier 
or intermodal equipment provider, preceded by the letters ``USDOT.''
    (3) If the name of any person other than the operating carrier 
appears on the CMV, the name of the operating carrier must be followed 
by the information required by paragraphs (b)(1), and (2) of this 
section, and be preceded by the words ``operated by.''
    (4) Other identifying information may be displayed on the vehicle if 
it is not inconsistent with the information required by this paragraph.
    (c) Size, shape, location, and color of marking. The marking must--
    (1) Appear on both sides of the self-propelled CMV;
    (2) Be in letters that contrast sharply in color with the background 
on which the letters are placed;
    (3) Be readily legible, during daylight hours, from a distance of 50 
feet (15.24 meters) while the CMV is stationary; and
    (4) Be kept and maintained in a manner that retains the legibility 
required by paragraph (c)(3) of this section.
    (d) Construction and durability. The marking may be painted on the 
CMV or may consist of a removable device, if that device meets the 
identification and legibility requirements of paragraph (c) of this 
section, and such marking must be maintained as required by paragraph 
(c)(4) of this section.
    (e) Rented CMVs. A motor carrier operating a self-propelled CMV 
under a rental agreement having a term not in excess of 30 calendar days 
meets the requirements of this section if:
    (1) The CMV is marked in accordance with the provisions of 
paragraphs (b) through (d) of this section; or
    (2) The CMV is marked as set forth in paragraph (e)(2)(i) through 
(iv) of this section:
    (i) The legal name or a single trade name of the lessor is displayed 
in accordance with paragraphs (c) and (d) of this section.
    (ii) The lessor's identification number preceded by the letters 
``USDOT'' is displayed in accordance with paragraphs (c) and (d) of this 
section; and
    (iii) The rental agreement entered into by the lessor and the 
renting motor carrier conspicuously contains the following information:

[[Page 372]]

    (A) The name and complete physical address of the principal place of 
business of the renting motor carrier;
    (B) The identification number issued the renting motor carrier by 
the FMCSA, preceded by the letters ``USDOT,'' if the motor carrier has 
been issued such a number. In lieu of the identification number required 
in this paragraph, the following may be shown in the rental agreement:
    (1) Information which indicates whether the motor carrier is engaged 
in ``interstate'' or ``intrastate'' commerce; and
    (2) Information which indicates whether the renting motor carrier is 
transporting hazardous materials in the rented CMV;
    (C) The sentence: ``This lessor cooperates with all Federal, State, 
and local law enforcement officials nationwide to provide the identity 
of customers who operate this rental CMV''; and
    (iv) The rental agreement entered into by the lessor and the renting 
motor carrier is carried on the rental CMV during the full term of the 
rental agreement. See the leasing regulations at 49 CFR part 376 for 
information that should be included in all leasing documents.
    (f) Driveaway services. In driveaway services, a removable device 
may be affixed on both sides or at the rear of a single driven vehicle. 
In a combination driveaway operation, the device may be affixed on both 
sides of any one unit or at the rear of the last unit. The removable 
device must display the legal name or a single trade name of the motor 
carrier and the motor carrier's USDOT number.
    (g) Intermodal equipment. (1) The requirements for marking 
intermodal equipment apply to each intermodal equipment provider, as 
defined in Sec.390.5, that interchanges or offers for interchange 
intermodal equipment to a motor carrier.
    (2) Each unit of intermodal equipment interchanged or offered for 
interchange to a motor carrier by an intermodal equipment provider 
subject to subchapter B of this chapter must identify the intermodal 
equipment provider.
    (3) The intermodal equipment provider must be identified by its 
legal name or a single trade name and the identification number issued 
by FMCSA, preceded by the letters ``USDOT.''
    (4) The intermodal equipment must be identified as follows, using 
any one of the following methods:
    (i) The identification marking must appear on the curb side of the 
item of equipment. It must be in letters that contrast sharply in color 
with the background on which the letters are placed. The letters must be 
readily legible, during daylight hours, from a distance of 50 feet 
(15.24 meters) while the CMV is stationary; and be kept and maintained 
in a manner that retains this legibility; or
    (ii) The identification marking must appear on a label placed upon 
the curb side of the item of equipment. The label must be readily 
visible and legible to an inspection official during daylight hours when 
the vehicle is stationary. The label must be a color that contrasts 
sharply with the background on which it is placed, and the letters must 
also contrast sharply in color with the background of the label. The 
label must be kept and maintained in a manner that retains this 
legibility; or
    (iii) The USDOT number of the intermodal equipment provider must 
appear on the interchange agreement so that it is clearly identifiable 
to an inspection official. The interchange agreement must include 
additional information to identify the specific item of intermodal 
equipment (such as the Vehicle Identification Number (VIN) and 4-
character Standard Carrier Alpha Code (SCAC) code and 6-digit unique 
identifying number); or
    (iv) The identification marking must be shown on a document placed 
in a weathertight compartment affixed to the frame of the item of 
intermodal equipment. The color of the letters used in the document must 
contrast sharply in color with the background of the document. The 
document must include additional information to identify the specific 
item of intermodal equipment (such as the VIN and 4-character SCAC code 
and 6-digit unique identifying number).

[[Page 373]]

    (v) The USDOT number of the intermodal equipment provider is 
maintained in a database that is available via real-time internet and 
telephonic access. The database must:
    (A) Identify the name and USDOT number of the intermodal equipment 
provider responsible for the intermodal equipment, in response to an 
inquiry that includes:
    (i) SCAC plus trailing digits, or
    (ii) License plate number and State of license, or
    (iii) VIN of the item of intermodal equipment.
    (B) Offer read-only access for inquiries on individual items of 
intermodal equipment, without requiring advance user registration, a 
password, or a usage fee.

[65 FR 35296, June 2, 2000, as amended at 73 FR 76821, Dec. 17, 2008; 74 
FR 68708, Dec. 29, 2009; 77 FR 59827, Oct. 1, 2012; 78 FR 58482, Sept. 
24, 2013]

    Effective Date Note: At 78 FR 52653, Aug. 23, 2013, Sec.390.21 was 
amended by revising paragraph (b)(1), effective Aug. 23, 2015. For the 
convenience of the user, the revised text is set forth as follows:



Sec.390.21  Marking of self-propelled CMVs and intermodal equipment.

                                * * * * *

    (b) * * *
    (1) The legal name or a single trade name of the motor carrier 
operating the self-propelled CMV, as listed on the Form MCSA-1 or the 
motor carrier identification report (Form MCS-150) and submitted in 
accordance with Sec.390.201 or Sec.390.19, as appropriate.

                                * * * * *



Sec.390.23  Relief from regulations.

    (a) Parts 390 through 399 of this chapter shall not apply to any 
motor carrier or driver operating a commercial motor vehicle to provide 
emergency relief during an emergency, subject to the following time 
limits:
    (1) Regional emergencies. (i) The exemption provided by paragraph 
(a)(1) of this section is effective only when:
    (A) An emergency has been declared by the President of the United 
States, the Governor of a State, or their authorized representatives 
having authority to declare emergencies; or
    (B) The FMCSA Field Administrator has declared that a regional 
emergency exists which justifies an exemption from parts 390 through 399 
of this chapter.
    (ii) Except as provided in Sec.390.25, this exemption shall not 
exceed the duration of the motor carrier's or driver's direct assistance 
in providing emergency relief, or 30 days from the date of the initial 
declaration of the emergency or the exemption from the regulations by 
the FMCSA Field Administrator, whichever is less.
    (2) Local emergencies. (i) The exemption provided by paragraph 
(a)(2) of this section is effective only when:
    (A) An emergency has been declared by a Federal, State or local 
government official having authority to declare an emergency; or
    (B) The FMCSA Field Administrator has declared that a local 
emergency exists which justifies an exemption from parts 390 through 399 
of this chapter.
    (ii) This exemption shall not exceed the duration of the motor 
carrier's or driver's direct assistance in providing emergency relief, 
or 5 days from the date of the initial declaration of the emergency or 
the exemption from the regulations by the FMCSA Field Administrator, 
whichever is less.
    (3) Tow trucks responding to emergencies. (i) The exemption provided 
by paragraph (a)(3) of this section is effective only when a request has 
been made by a Federal, State or local police officer for tow trucks to 
move wrecked or disabled motor vehicles.
    (ii) This exemption shall not exceed the length of the motor 
carrier's or driver's direct assistance in providing emergency relief, 
or 24 hours from the time of the initial request for assistance by the 
Federal, State or local police officer, whichever is less.
    (b) Upon termination of direct assistance to the regional or local 
emergency relief effort, the motor carrier or driver is subject to the 
requirements of parts 390 through 399 of this chapter, with the 
following exception: A driver may return empty to the motor carrier's 
terminal or the driver's normal work reporting location without 
complying with parts 390 through 399 of this chapter. However, a driver 
who informs the motor carrier that he or she

[[Page 374]]

needs immediate rest must be permitted at least 10 consecutive hours off 
duty before the driver is required to return to such terminal or 
location. Having returned to the terminal or other location, the driver 
must be relieved of all duty and responsibilities. Direct assistance 
terminates when a driver or commercial motor vehicle is used in 
interstate commerce to transport cargo not destined for the emergency 
relief effort, or when the motor carrier dispatches such driver or 
commercial motor vehicle to another location to begin operations in 
commerce.
    (c) When the driver has been relieved of all duty and 
responsibilities upon termination of direct assistance to a regional or 
local emergency relief effort, no motor carrier shall permit or require 
any driver used by it to drive nor shall any such driver drive in 
commerce until the driver has met the requirements of Sec. Sec.
395.3(a) and (c) and 395.5(a) of this chapter.

[57 FR 33647, July 30, 1992, as amended at 60 FR 38744, July 28, 1995; 
68 FR 22514, Apr. 28, 2003; 70 FR 50070, Aug. 25, 2005; 76 FR 81186, 
Dec. 27, 2011]



Sec.390.25  Extension of relief from regulations--emergencies.

    The FMCSA Field Administrator may extend the 30-day time period of 
the exemption contained in Sec.390.23(a)(1), but not the 5-day time 
period contained in Sec.390.23(a)(2) or the 24-hour period contained 
in Sec.390.23(a)(3). Any motor carrier or driver seeking to extend the 
30-day limit shall obtain approval from the FMCSA Field Administrator in 
the region in which the motor carrier's principal place of business is 
located before the expiration of the 30-day period. The motor carrier or 
driver shall give full details of the additional relief requested. The 
FMCSA Field Administrator shall determine if such relief is necessary 
taking into account both the severity of the ongoing emergency and the 
nature of the relief services to be provided by the carrier or driver. 
If the FMCSA Field Administrator approves an extension of the exemption, 
he or she shall establish a new time limit and place on the motor 
carrier or driver any other restrictions deemed necessary.

[57 FR 33647, July 30, 1992]



Sec.390.27  Locations of motor carrier safety service centers.

------------------------------------------------------------------------
         Service center           Territory included  Location of office
------------------------------------------------------------------------
Eastern.........................  CT, DC, DE, MA,     802 Cromwell Park
                                   MD, ME, NJ, NH,     Drive, Suite N,
                                   NY, PA, PR, RI,     Glen Burnie, MD
                                   VA, VT, Virgin      21061.
                                   Islands, WV.
Midwestern......................  IA, IL, IN, KS,     4749 Lincoln Mall
                                   MI, MO, MN NE.,     Drive, Suite
                                   OH, WI.             300A, Matteson,
                                                       IL 60443.
Southern........................  AL, AR, FL, GA,     1800 Century
                                   KY, LA, MS, NC,     Boulevard, Suite
                                   OK, SC, TN.         1700, Atlanta, GA
                                                       30345-3220.
Western.........................  American Samoa,     Golden Hills
                                   AK, AZ, CA, CO,     Office Centre,
                                   Guam, HI, ID,       12600 West Colfax
                                   Mariana Islands,    Avenue, Suite B-
                                   MT, ND, NM, NV,     300, Lakewood, CO
                                   OR, SD, TX, UT,     80215.
                                   WA, WY.
------------------------------------------------------------------------
Note 1: Canadian carriers, for information regarding proper service
  center, contact an FMCSA division (State) office in AK, ME, MI, MT,
  NY, ND, VT, or WA.
Note 2: Mexican carriers are handled through the four southern border
  divisions and the Western Service Center. For information regarding
  the proper service center, contact an FMCSA division (State) office in
  AZ, CA, NM, or TX.


[77 FR 59827, Oct. 1, 2012]



Sec.390.29  Location of records or documents.

    (a) A motor carrier with multiple offices or terminals may maintain 
the records and documents required by this subchapter at its principal 
place of business, a regional office, or driver work-reporting location 
unless otherwise specified in this subchapter.
    (b) All records and documents required by this subchapter which are 
maintained at a regional office or driver work-reporting location shall 
be made available for inspection upon request by a special agent or 
authorized representative of the Federal Motor Carrier Safety 
Administration at the motor carrier's principal place of business or 
other location specified by the agent or representative within 48 hours 
after a request is made. Saturdays,

[[Page 375]]

Sundays, and Federal holidays are excluded from the computation of the 
48-hour period of time.

[63 FR 33276, June 18, 1998]



Sec.390.31  Copies of records or documents.

    (a) All records and documents required to be maintained under this 
subchapter must be preserved in their original form for the periods 
specified, unless the records and documents are suitably photographed 
and the microfilm is retained in lieu of the original record for the 
required retention period.
    (b) To be acceptable in lieu of original records, photographic 
copies of records must meet the following minimum requirements:
    (1) Photographic copies shall be no less readily accessible than the 
original record or document as normally filed or preserved would be and 
suitable means or facilities shall be available to locate, identify, 
read, and reproduce such photographic copies.
    (2) Any significant characteristic, feature or other attribute of 
the original record or document, which photography in black and white 
will not preserve, shall be clearly indicated before the photograph is 
made.
    (3) The reverse side of printed forms need not be copied if nothing 
has been added to the printed matter common to all such forms, but an 
identified specimen of each form shall be on the film for reference.
    (4) Film used for photographing copies shall be of permanent record-
type meeting in all respects the minimum specifications of the National 
Bureau of Standards, and all processes recommended by the manufacturer 
shall be observed to protect it from deterioration or accidental 
destruction.
    (5) Each roll of film shall include a microfilm of a certificate or 
certificates stating that the photographs are direct or facsimile 
reproductions of the original records. Such certificate(s) shall be 
executed by a person or persons having personal knowledge of the 
material covered thereby.
    (c) All records and documents required to be maintained under this 
subchapter may be destroyed after they have been suitably photographed 
for preservation.
    (d) Exception. All records except those requiring a signature may be 
maintained through the use of computer technology provided the motor 
carrier can produce, upon demand, a computer printout of the required 
data.



Sec.390.33  Commercial motor vehicles used for purposes other than defined.

    Whenever a commercial motor vehicle of one type is used to perform 
the functions normally performed by a commercial motor vehicle of 
another type, the requirements of this subchapter and part 325 of 
subchapter A shall apply to the commercial motor vehicle and to its 
operation in the same manner as though the commercial motor vehicle were 
actually a commercial motor vehicle of the latter type. Example: If a 
commercial motor vehicle other than a bus is used to perform the 
functions normally performed by a bus, the regulations pertaining to 
buses and to the transportation of passengers shall apply to that 
commercial motor vehicle.

[53 FR 18052, May 19, 1988, as amended at 60 FR 38744, July 28, 1995]



Sec.390.35  Certificates, reports, and records: Falsification,
reproduction, or alteration.

    No motor carrier, its agents, officers, representatives, or 
employees shall make or cause to make--
    (a) A fraudulent or intentionally false statement on any 
application, certificate, report, or record required by part 325 of 
subchapter A or this subchapter;
    (b) A fraudulent or intentionally false entry on any application, 
certificate, report, or record required to be used, completed, or 
retained, to comply with any requirement of this subchapter or part 325 
of subchapter A; or
    (c) A reproduction, for fraudulent purposes, of any application, 
certificate, report, or record required by this subchapter or part 325 
of subchapter A.



Sec.390.37  Violation and penalty.

    Any person who violates the rules set forth in this subchapter or 
part 325 of

[[Page 376]]

subchapter A may be subject to civil or criminal penalties.



Sec.390.39  Exemptions for ``covered farm vehicles.''

    (a) Federal requirements. A covered farm vehicle, as defined in 
Sec.390.5, including the individual operating that vehicle, is exempt 
from the following:
    (1) Any requirement relating to commercial driver's licenses in 49 
CFR Part 383 or controlled substances and alcohol use and testing in 49 
CFR Part 382;
    (2) Any requirement in 49 CFR Part 391, Subpart E, Physical 
Qualifications and Examinations.
    (3) Any requirement in 49 CFR Part 395, Hours of Service of Drivers.
    (4) Any requirement in 49 CFR Part 396, Inspection, Repair, and 
Maintenance.
    (b) State requirements--(1) In general. Federal transportation 
funding to a State may not be terminated, limited, or otherwise 
interfered with as a result of the State exempting a covered farm 
vehicle, including the individual operating that vehicle, from any State 
requirement relating to the operation of that vehicle.
    (2) Exception.--Paragraph (b)(1) of this section does not apply with 
respect to a covered farm vehicle transporting hazardous materials that 
require a placard.
    (c) Other exemptions and exceptions. The exemptions in paragraphs 
(a) and (b) of this section are in addition to, not in place of, the 
agricultural exemptions and exceptions in Sec. Sec.383.3(d)(1), 
383.3(e), 383.3(f), 391.2(a), 391.2(b), 391.2(c), 391.67, 395.1(e)(1), 
395.1(e)(2), 395.1(h), 395.1(i), and 395.1(k) of this chapter. Motor 
carriers and drivers may utilize any combination of these exemptions and 
exceptions, providing they comply fully with each separate exemption and 
exception.

[78 FR 16194, Mar. 14, 2013]



    Subpart C_Requirements and Information for Intermodal Equipment 
     Providers and for Motor Carriers Operating Intermodal Equipment

    Source: 73 FR 76822, Dec. 17, 2008, unless otherwise noted.



Sec.390.40  What responsibilities do intermodal equipment providers
have under the Federal Motor Carrier Safety Regulations 
(49 CFR parts 350-399)?

    An intermodal equipment provider must--
    (a) Identify its operations to the FMCSA by filing the Form MCS-150C 
required by Sec.390.19.
    (b) Mark its intermodal equipment with the USDOT number as required 
by Sec.390.21 before tendering the equipment to a motor carrier.
    (c) Systematically inspect, repair, and maintain, or cause to be 
systematically inspected, repaired, and maintained, in a manner 
consistent with Sec.396.3(a)(1), as applicable, all intermodal 
equipment intended for interchange with a motor carrier.
    (d) Provide intermodal equipment intended for interchange that is in 
safe and proper operating condition.
    (e) Maintain a system of driver vehicle inspection reports submitted 
to the intermodal equipment provider as required by Sec.396.11 of this 
chapter.
    (f) Maintain a system of inspection, repair, and maintenance records 
as required by Sec.396.3(b)(3) of this chapter for equipment intended 
for interchange with a motor carrier.
    (g) Periodically inspect equipment intended for interchange, as 
required under Sec.396.17 of this chapter.
    (h) At facilities at which the intermodal equipment provider makes 
intermodal equipment available for interchange, have procedures in 
place, and provide sufficient space, for drivers to perform a pre-trip 
inspection of tendered intermodal equipment.
    (i) At facilities at which the intermodal equipment provider makes 
intermodal equipment available for interchange, develop and implement 
procedures to repair any equipment damage, defects, or deficiencies 
identified as part of a pre-trip inspection, or replace the equipment, 
prior to the driver's departure. The repairs or replacement must be made 
after being notified by a driver of such damage, defects, or 
deficiencies.
    (j) Refrain from placing intermodal equipment in service on the 
public highways if that equipment has been

[[Page 377]]

found to pose an imminent hazard, as defined in Sec.386.72(b)(1) of 
this chapter.

[73 FR 76822, Dec. 17, 2008, as amended at 74 FR 68708, Dec. 29, 2009; 
78 FR 58483, Sept. 24, 2013]

    Editorial Note: At 78 FR 58483, Sept. 24, 2013, Sec.390.40 was 
amended; however, a portion of the amendment could not be incorporated 
due to inaccurate amendatory instruction.

    Effective Date Note: At 78 FR 52654, Aug. 23, 2013, Sec.390.40 was 
amended by revising paragraph (a), effective Aug. 23, 2015. For the 
convenience of the user, the revised text is set forth as follows:



Sec.390.40  What responsibilities do intermodal equipment providers 
          have under the Federal Motor Carrier Safety Regulations (49 
          CFR parts 350-399)?

                                * * * * *

    (a) Identify its operations to the FMCSA by filing the Form MCSA-1 
required by Sec.390.201.

                                * * * * *



Sec.390.42  What are the responsibilities of drivers and motor carriers
operating intermodal equipment?

    (a) Before operating intermodal equipment over the road, the driver 
accepting the equipment must inspect the equipment components listed in 
Sec.392.7(b) of this subchapter and be satisfied they are in good 
working order.
    (b) A driver or motor carrier transporting intermodal equipment must 
report to the intermodal equipment provider, or its designated agent, 
any known damage, defects, or deficiencies in the intermodal equipment 
at the time the equipment is returned to the provider or the provider's 
designated agent. The report must include, at a minimum, the items in 
Sec.396.11(b)(2) of this chapter.

[73 FR 76822, Dec. 17, 2008, as amended at 77 FR 34852, June 12, 2012; 
77 FR 59828, Oct. 1, 2012]



Sec.390.44  What are the procedures to correct the safety record of a
motor carrier or an intermodal equipment provider?

    (a) An intermodal equipment provider or its agent may electronically 
file questions or concerns at http://dataqs.fmcsa.dot.gov about Federal 
and State data that reference the provider. This includes safety 
violations alleging that the components, parts, or accessories of 
intermodal chassis or trailers listed in Sec.392.7(b) of this chapter 
were not in good working order when inspected at roadside. An intermodal 
equipment provider should not be held responsible for such violations 
because a motor carrier indicated pursuant to Sec.392.7(b) that these 
components, parts, or accessories had no safety defects at the time of 
the pre-trip inspection.
    (b) A motor carrier or its agent may electronically file questions 
or concerns at http://dataqs.fmcsa.dot.gov about Federal and State data 
that reference the motor carrier. This includes safety violations 
alleging that any components, parts, or accessories of intermodal 
chassis or trailers, except those listed in Sec.392.7(b) of this 
chapter, were not in good working order when inspected at roadside. Such 
violations will not be used by FMCSA in making a safety fitness 
determination of a motor carrier (unless there is evidence that the 
driver or motor carrier caused or substantially contributed to the 
violations) because the driver could not readily detect these violations 
during a pre-trip inspection performed in accordance with Sec.
392.7(b).
    (c) An intermodal equipment provider, or its agent, may request 
FMCSA to investigate a motor carrier believed to be in noncompliance 
with responsibilities under 49 U.S.C. 31151 or the implementing 
regulations in this subchapter regarding interchange of intermodal 
equipment by contacting the appropriate FMCSA Field Office.
    (d) A motor carrier or its agent may request FMCSA to investigate an 
intermodal equipment provider believed to be in noncompliance with 
responsibilities under 49 U.S.C. 31151 or the implementing regulations 
in this subchapter regarding interchange of intermodal equipment by 
contacting the appropriate FMCSA Field Office.



Sec.390.46  Are State and local laws and regulations on the inspection,
repair, and maintenance of intermodal equipment preempted by the
Federal Motor Carrier Safety Regulations?

    (a) General. As provided by 49 U.S.C. 31151(d), a law, regulation, 
order, or

[[Page 378]]

other requirement of a State, a political subdivision of a State, or a 
tribal organization relating to the inspection, repair, and maintenance 
of intermodal equipment is preempted if such law, regulation, order, or 
other requirement exceeds or is inconsistent with a requirement imposed 
by the Federal Motor Carrier Safety Regulations.
    (b) Pre-existing State requirements--(1) In general. Pursuant to 49 
U.S.C. 31151(e)(1), unless otherwise provided in paragraph (b)(2) of 
this section, a State requirement for the periodic inspection of 
intermodal chassis by intermodal equipment providers that was in effect 
on January 1, 2005, shall remain in effect only until June 17, 2009.
    (2) Nonpreemption determinations--(i) In general. Pursuant to 49 
U.S.C. 31151(e)(2), and notwithstanding paragraph (a) of this section, a 
State requirement described in paragraph (b)(1) of this section is not 
preempted if the Administrator determines that the State requirement is 
as effective as the FMCSA final rule and does not unduly burden 
interstate commerce.
    (ii) Application required. Paragraph (b)(2)(i) of this section 
applies to a State requirement only if the State applies to the 
Administrator for a determination with respect to the requirement before 
the effective date of the final rule (June 17, 2009). The Administrator 
will make a determination with respect to any such application within 6 
months after the date on which the Administrator receives the 
application.
    (iii) Amended State requirements. If a State amends a regulation for 
which it previously received a nonpreemption determination from the 
Administrator under paragraph (b)(2)(i) of this section, it must apply 
for a determination of nonpreemption for the amended regulation. Any 
amendment to a State requirement not preempted under this subsection 
because of a determination by the Administrator may not take effect 
unless it is submitted to the Agency before the effective date of the 
amendment, and the Administrator determines that the amendment would not 
cause the State requirement to be less effective than the FMCSA final 
rule on ``Requirements for Intermodal Equipment Providers and Motor 
Carriers and Drivers Operating Intermodal Equipment'' and would not 
unduly burden interstate commerce.



       Subpart D_National Registry of Certified Medical Examiners

    Source: 77 FR 24127, Apr. 20, 2012, unless otherwise noted.



Sec.390.101  Scope.

    The rules in this subpart establish the minimum qualifications for 
FMCSA certification of a medical examiner and for listing the examiner 
on FMCSA's National Registry of Certified Medical Examiners. The 
National Registry of Certified Medical Examiners Program is designed to 
improve highway safety and operator health by requiring that medical 
examiners be trained and certified to determine effectively whether an 
operator meets FMCSA physical qualification standards under part 391 of 
this chapter. One component of the National Registry Program is the 
registry itself, which is a national database of names and contact 
information for medical examiners who are certified by FMCSA to perform 
medical examinations of operators.



Sec.390.103  Eligibility requirements for medical examiner certification.

    (a) To receive medical examiner certification from FMCSA a person 
must:
    (1) Be licensed, certified, or registered in accordance with 
applicable State laws and regulations to perform physical examinations. 
The applicant must be an advanced practice nurse, doctor of 
chiropractic, doctor of medicine, doctor of osteopathy, physician 
assistant, or other medical professional authorized by applicable State 
laws and regulations to perform physical examinations.
    (2) Complete a training program that meets the requirements of Sec.
390.105.
    (3) Pass the medical examiner certification test provided by FMCSA 
and administered by a testing organization that meets the requirements 
of Sec.390.107 and that has electronically forwarded to FMCSA the 
applicant's completed test and application information no more than 
three years after completion of the training program required by

[[Page 379]]

paragraph (a)(2) of this section. An applicant must not take the test 
more than once every 30 days.
    (b) If a person has medical examiner certification from FMCSA, then 
to renew such certification the medical examiner must remain qualified 
under paragraph (a)(1) of this section and complete additional testing 
and training as required by Sec.390.111(a)(5).



Sec.390.105  Medical examiner training programs.

    An applicant for medical examiner certification must complete a 
training program that:
    (a) Is conducted by a training provider that:
    (1) Is accredited by a nationally recognized medical profession 
accrediting organization to provide continuing education units; and
    (2) Meets the following administrative requirements:
    (i) Provides training participants with proof of participation.
    (ii) Provides FMCSA point of contact information to training 
participants.
    (b) Provides training to medical examiners on the following topics:
    (1) Background, rationale, mission, and goals of the FMCSA medical 
examiner's role in reducing crashes, injuries, and fatalities involving 
commercial motor vehicles.
    (2) Familiarization with the responsibilities and work environment 
of commercial motor vehicle operation.
    (3) Identification of the operator and obtaining, reviewing, and 
documenting operator medical history, including prescription and over-
the-counter medications.
    (4) Performing, reviewing, and documenting the operator's medical 
examination.
    (5) Performing, obtaining, and documenting additional diagnostic 
tests or medical opinion from a medical specialist or treating 
physician.
    (6) Informing and educating the operator about medications and non-
disqualifying medical conditions that require remedial care.
    (7) Determining operator certification outcome and period for which 
certification should be valid.
    (8) FMCSA reporting and documentation requirements.
    Guidance on the core curriculum specifications for use by training 
providers is available from FMCSA.



Sec.390.107  Medical examiner certification testing.

    An applicant for medical examiner certification or recertification 
must apply, in accordance with the minimum specifications for 
application elements established by FMCSA, to a testing organization 
that meets the following criteria:
    (a) The testing organization has documented policies and procedures 
that:
    (1) Use secure protocols to access, process, store, and transmit all 
test items, test forms, test data, and candidate information and ensure 
access by authorized personnel only.
    (2) Ensure testing environments are reasonably comfortable and have 
minimal distractions.
    (3) Prevent to the greatest extent practicable the opportunity for a 
test taker to attain a passing score by fraudulent means.
    (4) Ensure that test center staff who interact with and proctor 
examinees or provide technical support have completed formal training, 
demonstrate competency, and are monitored periodically for quality 
assurance in testing procedures.
    (5) Accommodate testing of individuals with disabilities or 
impairments to minimize the effect of the disabilities or impairments 
while maintaining the security of the test and data.
    (b) Testing organizations that offer testing of examinees not at 
locations that are operated and staffed by the organizations but by 
means of remote, computer-based systems must, in addition to the 
requirements of paragraph (a) of this section, ensure that such systems:
    (1) Provide a means to authenticate the identity of the person 
taking the test.
    (2) Provide a means for the testing organization to monitor the 
activity of the person taking the test.
    (3) Do not allow the person taking the test to reproduce or record 
the contents of the test by any means.
    (c) The testing organization has submitted its documented policies 
and procedures as defined in paragraph (a)

[[Page 380]]

of this section and, if applicable, paragraph (b) of this section to 
FMCSA and agreed to future reviews by FMCSA to ensure compliance with 
the criteria listed in this section.
    (d) The testing organization administers only the currently 
authorized version of the medical examiner certification test developed 
and furnished by FMCSA.

[77 FR 24127, Apr. 20, 2012, as amended at 78 FR 58483, Sept. 24, 2013]



Sec.390.109  Issuance of the FMCSA medical examiner certification credential.

    Upon compliance with the requirements of Sec.390.103(a) or (b), 
FMCSA will issue to a medical examiner applicant an FMCSA medical 
examiner certification credential with a unique National Registry Number 
and will add the medical examiner's name to the National Registry of 
Certified Medical Examiners. The certification credential will expire 10 
years after the date of its issuance.



Sec.390.111  Requirements for continued listing on the National
Registry of Certified Medical Examiners.

    (a) To continue to be listed on the National Registry of Certified 
Medical Examiners, each medical examiner must:
    (1) Continue to meet the requirements of this subpart and the 
applicable requirements of part 391 of this chapter.
    (2) Report to FMCSA any changes in the application information 
submitted under Sec.390.103(a)(3) within 30 days of the change.
    (3) Continue to be licensed, certified, or registered, and 
authorized to perform physical examinations, in accordance with the 
applicable laws and regulations of each State in which the medical 
examiner performs examinations.
    (4) Maintain documentation of State licensure, registration, or 
certification to perform physical examinations for each State in which 
the examiner performs examinations and maintain documentation of and 
completion of all training required by this section and Sec.390.105. 
The medical examiner must make this documentation available to an 
authorized representative of FMCSA or an authorized representative of 
Federal, State, or local government. The medical examiner must provide 
this documentation within 48 hours of the request for investigations and 
within 10 days of the request for regular audits of eligibility.
    (5) Maintain medical examiner certification by completing training 
and testing according to the following schedule:
    (i) No sooner than 4 years and no later than 5 years after the date 
of issuance of the medical examiner certification credential, complete 
periodic training as specified by FMCSA.
    (ii) No sooner than 9 years and no later than 10 years after the 
date of issuance of the medical examiner certification credential:
    (A) Complete periodic training as specified by FMCSA; and
    (B) Pass the test required by Sec.390.103(a)(3).
    (b) FMCSA will issue a new medical examiner certification credential 
valid for 10 years to a medical examiner who complies with paragraphs 
(a)(1) through (4) of this section and who successfully completes the 
training and testing as required by paragraphs (a)(5)(i) and (ii) of 
this section.



Sec.390.113  Reasons for removal from the National Registry of
Certified Medical Examiners.

    FMCSA may remove a medical examiner from the National Registry of 
Certified Medical Examiners when a medical examiner fails to meet or 
maintain the qualifications established by this subpart, the 
requirements of other regulations applicable to the medical examiner, or 
otherwise does not meet the requirements of 49 U.S.C. 31149. The reasons 
for removal may include, but are not limited to:
    (a) The medical examiner fails to comply with the requirements for 
continued listing on the National Registry of Certified Medical 
Examiners, as described in Sec.390.111.
    (b) FMCSA finds that there are errors, omissions, or other 
indications of improper certification by the medical examiner of an 
operator in either the completed Medical Examination Reports or the 
medical examiner's certificates.

[[Page 381]]

    (c) The FMCSA determines the medical examiner issued a medical 
examiner's certificate to an operator of a commercial motor vehicle who 
failed to meet the applicable standards at the time of the examination.
    (d) The medical examiner fails to comply with the examination 
requirements in Sec.391.43 of this chapter.
    (e) The medical examiner falsely claims to have completed training 
in physical and medical examination standards as required by this 
subpart.



Sec.390.115  Procedure for removal from the National Registry of
Certified Medical Examiners.

    (a) Voluntary removal. To be voluntarily removed from the National 
Registry of Certified Medical Examiners, a medical examiner must submit 
a request to the FMCSA Director, Office of Carrier, Driver and Vehicle 
Safety Standards. Except as provided in paragraph (b) of this section, 
the Director, Office of Carrier, Driver and Vehicle Safety Standards 
will accept the request and the removal will become effective 
immediately. On and after the date of issuance of a notice of proposed 
removal from the National Registry of Certified Medical Examiners, as 
described in paragraph (b) of this section, however, the Director, 
Office of Carrier, Driver and Vehicle Safety Standards will not approve 
the medical examiner's request for voluntary removal from the National 
Registry of Certified Medical Examiners.
    (b) Notice of proposed removal. Except as provided by paragraphs (a) 
and (e) of this section, FMCSA initiates the process for removal of a 
medical examiner from the National Registry of Certified Medical 
Examiners by issuing a written notice of proposed removal to the medical 
examiner, stating the reasons that removal is proposed under Sec.
390.113 and any corrective actions necessary for the medical examiner to 
remain listed on the National Registry of Certified Medical Examiners.
    (c) Response to notice of proposed removal and corrective action. A 
medical examiner who has received a notice of proposed removal from the 
National Registry of Certified Medical Examiners must submit any written 
response to the Director, Office of Carrier, Driver and Vehicle Safety 
Standards no later than 30 days after the date of issuance of the notice 
of proposed removal. The response must indicate either that the medical 
examiner believes FMCSA has relied on erroneous reasons, in whole or in 
part, in proposing removal from the National Registry of Certified 
Medical Examiners, as described in paragraph (c)(1) of this section, or 
that the medical examiner will comply and take any corrective action 
specified in the notice of proposed removal, as described in paragraph 
(c)(2) of this section.
    (1) Opposing a notice of proposed removal. If the medical examiner 
believes FMCSA has relied on an erroneous reason, in whole or in part, 
in proposing removal from the National Registry of Certified Medical 
Examiners, the medical examiner must explain the basis for his or her 
belief that FMCSA relied on an erroneous reason in proposing the 
removal. The Director, Office of Carrier, Driver and Vehicle Safety 
Standards will review the explanation.
    (i) If the Director, Office of Carrier, Driver and Vehicle Safety 
Standards finds FMCSA has wholly relied on an erroneous reason for 
proposing removal from the National Registry of Certified Medical 
Examiners, the Director, Office of Carrier, Driver and Vehicle Safety 
Standards will withdraw the notice of proposed removal and notify the 
medical examiner in writing of the determination. If the Director, 
Office of Carrier, Driver and Vehicle Safety Standards finds FMCSA has 
partly relied on an erroneous reason for proposing removal from the 
National Registry of Certified Medical Examiners, the Director, Office 
of Carrier, Driver and Vehicle Safety Standards will modify the notice 
of proposed removal and notify the medical examiner in writing of the 
determination. No later than 60 days after the date the Director, Office 
of Carrier, Driver and Vehicle Safety Standards modifies a notice of 
proposed removal, the medical examiner must comply with this subpart and 
correct any deficiencies identified in the modified notice of proposed 
removal as described in paragraph (c)(2) of this section.
    (ii) If the Director, Office of Carrier, Driver and Vehicle Safety 
Standards

[[Page 382]]

finds FMCSA has not relied on an erroneous reason in proposing removal, 
the Director, Office of Carrier, Driver and Vehicle Safety Standards 
will affirm the notice of proposed removal and notify the medical 
examiner in writing of the determination. No later than 60 days after 
the date the Director, Office of Carrier, Driver and Vehicle Safety 
Standards affirms the notice of proposed removal, the medical examiner 
must comply with this subpart and correct the deficiencies identified in 
the notice of proposed removal as described in paragraph (c)(2) of this 
section.
    (iii) If the medical examiner does not submit a written response 
within 30 days of the date of issuance of a notice of proposed removal, 
the removal becomes effective and the medical examiner is immediately 
removed from the National Registry of Certified Medical Examiners.
    (2) Compliance and corrective action. (i) The medical examiner must 
comply with this subpart and complete the corrective actions specified 
in the notice of proposed removal no later than 60 days after either the 
date of issuance of the notice of proposed removal or the date the 
Director, Office of Carrier, Driver and Vehicle Safety Standards affirms 
or modifies the notice of proposed removal, whichever is later. The 
medical examiner must provide documentation of compliance and completion 
of the corrective actions to the Director, Office of Carrier, Driver and 
Vehicle Safety Standards. The Director, Office of Carrier, Driver and 
Vehicle Safety Standards may conduct any investigations and request any 
documentation necessary to verify that the medical examiner has complied 
with this subpart and completed the required corrective action(s). The 
Director, Office of Carrier, Driver and Vehicle Safety Standards will 
notify the medical examiner in writing whether he or she has met the 
requirements to continue to be listed on the National Registry of 
Certified Medical Examiners.
    (ii) If the medical examiner fails to complete the proposed 
corrective action(s) within the 60-day period, the removal becomes 
effective and the medical examiner is immediately removed from the 
National Registry of Certified Medical Examiners. The Director, Office 
of Carrier, Driver and Vehicle Safety Standards will notify the person 
in writing that he or she has been removed from the National Registry of 
Certified Medical Examiners.
    (3) At any time before a notice of proposed removal from the 
National Registry of Certified Medical Examiners becomes final, the 
recipient of the notice of proposed removal and the Director, Office of 
Carrier, Driver and Vehicle Safety Standards may resolve the matter by 
mutual agreement.
    (d) Request for administrative review. If a person has been removed 
from the National Registry of Certified Medical Examiners under 
paragraph (c)(1)(iii), (c)(2)(ii), or (e) of this section, that person 
may request an administrative review no later than 30 days after the 
date the removal becomes effective. The request must be submitted in 
writing to the FMCSA Associate Administrator for Policy and Program 
Development. The request must explain the error(s) committed in removing 
the medical examiner from the National Registry of Certified Medical 
Examiners, and include a list of all factual, legal, and procedural 
issues in dispute, and any supporting information or documents.
    (1) Additional procedures for administrative review. The Associate 
Administrator may ask the person to submit additional data or attend a 
conference to discuss the removal. If the person does not provide the 
information requested, or does not attend the scheduled conference, the 
Associate Administrator may dismiss the request for administrative 
review.
    (2) Decision on administrative review. The Associate Administrator 
will complete the administrative review and notify the person in writing 
of the decision. The decision constitutes final Agency action. If the 
Associate Administrator decides the removal was not valid, FMCSA will 
reinstate the person and reissue a certification credential to expire on 
the expiration date of the certificate that was invalidated under 
paragraph (g) of this section. The reinstated medical examiner must:

[[Page 383]]

    (i) Continue to meet the requirements of this subpart and the 
applicable requirements of part 391 of this chapter.
    (ii) Report to FMCSA any changes in the application information 
submitted under Sec.390.103(a)(3) within 30 days of the reinstatement.
    (iii) Be licensed, certified, or registered in accordance with 
applicable State laws and regulations to perform physical examinations.
    (iv) Maintain documentation of State licensure, registration, or 
certification to perform physical examinations for each State in which 
the examiner performs examinations maintain documentation of completion 
of all training required by Sec.390.105 and Sec.390.111. The medical 
examiner must also make this documentation available to an authorized 
representative of FMCSA or an authorized representative of Federal, 
State, or local government. The medical examiner must provide this 
documentation within 48 hours of the request for investigations and 
within 10 days of the request for regular audits of eligibility.
    (v) Complete periodic training as required by the Director, Office 
of Carrier, Driver and Vehicle Safety Standards.
    (e) Emergency removal. In cases of either willfulness or in which 
public health, interest, or safety requires, the provisions of paragraph 
(b) of this section are not applicable and the Director, Office of 
Carrier, Driver and Vehicle Safety Standards may immediately remove a 
medical examiner from the National Registry of Certified Medical 
Examiners and invalidate the certification credential issued under Sec.
390.109. A person who has been removed under the provisions of this 
paragraph may request an administrative review of that decision as 
described under paragraph (d) of this section.
    (f) Reinstatement on the National Registry of Certified Medical 
Examiners. No sooner than 30 days after the date of removal from the 
National Registry of Certified Medical Examiners, a person who has been 
voluntarily or involuntarily removed may apply to the Director, Office 
of Carrier, Driver and Vehicle Safety Standards to be reinstated. The 
person must:
    (1) Continue to meet the requirements of this subpart and the 
applicable requirements of part 391 of this chapter.
    (2) Report to FMCSA any changes in the application information 
submitted under Sec.390.103(a)(3).
    (3) Be licensed, certified, or registered in accordance with 
applicable State laws and regulations to perform physical examinations.
    (4) Maintain documentation of State licensure, registration, or 
certification to perform physical examinations for each State in which 
the person performs examinations and maintains documentation of 
completion of all training required by Sec. Sec.390.105 and 390.111. 
The medical examiner must also make this documentation available to an 
authorized representative of FMCSA or an authorized representative of 
Federal, State, or local government. The person must provide this 
documentation within 48 hours of the request for investigations and 
within 10 days of the request for regular audits of eligibility.
    (5) Complete training and testing as required by the Director, 
Office of Carrier, Driver and Vehicle Safety Standards.
    (6) In the case of a person who has been involuntarily removed, 
provide documentation showing completion of any corrective actions 
required in the notice of proposed removal.
    (g) Effect of final decision by FMCSA. If a person is removed from 
the National Registry of Certified Medical Examiners under paragraph (c) 
or (e) of this section, the certification credential issued under Sec.
390.109 is no longer valid. However, the removed person's information 
remains publicly available for 3 years, with an indication that the 
person is no longer listed on the National Registry of Certified Medical 
Examiners as of the date of removal.



                  Subpart E_Unified Registration System

    Effective Date Note: At 78 FR 52654, Aug. 23, 2013, subpart E was 
added, effective Aug. 23, 2015.

[[Page 384]]



Sec.390.201  USDOT Registration.

    (a) Purpose. This section establishes who must register with FMCSA 
under the Unified Registration System, the filing schedule, and general 
information pertaining to persons subject to the Unified Registration 
System registration requirements.
    (b) Applicability. (1) Except as provided in paragraph (g) of this 
section, each motor carrier (including a private motor carrier, an 
exempt for-hire motor carrier, a non-exempt for-hire motor carrier, and 
a motor carrier of passengers that participates in a through ticketing 
arrangement with one or more interstate for-hire motor carriers of 
passengers), intermodal equipment provider, broker and freight forwarder 
subject to the requirements of this subchapter must file Form MCSA-1 
with FMCSA to:
    (i) Identify its operations with the Federal Motor Carrier Safety 
Administration for safety oversight, as authorized under 49 U.S.C. 
31144, as applicable;
    (ii) Obtain operating authority required under 49 U.S.C. chapter 
139, as applicable; and
    (iii) Obtain a hazardous materials safety permit as required under 
49 U.S.C. 5109, as applicable.
    (2) A cargo tank and cargo tank motor vehicle manufacturer, 
assembler, repairer, inspector, tester, and design certifying engineer 
that is subject to registration requirements under 49 CFR 107.502 and 49 
U.S.C. 5108 must satisfy those requirements by electronically filing 
Form MCSA-1 with FMCSA.
    (c) General (1)(i) A person that fails to file Form MCSA-1 pursuant 
to paragraph (d)(1) of this section is subject to the penalties 
prescribed in 49 U.S.C. 521(b)(2)(B) or 49 U.S.C. 14901(a), as 
appropriate.
    (ii) A person that fails to complete biennial updates to the 
information pursuant to paragraph (d)(2) of this section is subject to 
the penalties prescribed in 49 U.S.C. 521(b)(2)(B) or 49 U.S.C. 
14901(a), as appropriate, and deactivation of its USDOT Number.
    (iii) A person that furnishes misleading information or makes false 
statements upon Form MCSA-1 is subject to the penalties prescribed in 49 
U.S.C. 521(b)(2)(B), 49 U.S.C. 14901(a) or 49 U.S.C. 14907, as 
appropriate.
    (2) Upon receipt and processing of Form MCSA-1, FMCSA will issue the 
applicant an inactive identification number (USDOT Number). FMCSA will 
activate the USDOT Number after completion of applicable administrative 
filings pursuant to Sec.390.205(a), unless the applicant is subject to 
Sec.390.205(b). An applicant may not begin operations nor mark a 
commercial motor vehicle with the USDOT Number until after the date of 
the Agency's written notice that the USDOT Number has been activated.
    (3) The motor carrier must display a valid USDOT Number on each 
self-propelled CMV, as defined in Sec.390.5, along with the additional 
information required by Sec.390.21.
    (d) Filing schedule. Each person listed under Sec.390.201(b) must 
electronically file Form MCSA-1 at the following times:
    (1) Before it begins operations; and
    (2) Every 24 months as prescribed in paragraph (d)(3) of this 
section.
    (3) (i) Persons assigned a USDOT Number must file an updated Form 
MCSA-1 every 24 months, according to the following schedule:

------------------------------------------------------------------------
          USDOT Number  ending in             Must file by last day of
------------------------------------------------------------------------
1.........................................  January.
2.........................................  February.
3.........................................  March.
4.........................................  April.
5.........................................  May.
6.........................................  June.
7.........................................  July.
8.........................................  August.
9.........................................  September.
0.........................................  October.
------------------------------------------------------------------------

    (ii) If the next-to-last digit of its USDOT Number is odd, the 
person must file its update in every odd-numbered calendar year. If the 
next-to-last digit of the USDOT Number is even, the person must file its 
update in every even-numbered calendar year.
    (4) When there is a change in legal name, form of business, or 
address. A registered entity must notify the Agency of a change in legal 
name, form of business, or address within 30 days of the change by 
filing an updated Form MCSA-1 reflecting the revised information. 
Notification of a change in legal name, form of business, or address 
does

[[Page 385]]

not relieve a registered entity from the requirement to file an updated 
Form MCSA-1 every 24 months in accordance with paragraph (d)(3) of this 
section.
    (5) When there is a transfer of operating authority. (i) Both a 
person who obtains operating authority through a transfer, as defined in 
part 365, subpart D of this subchapter (transferee), and the person 
transferring its operating authority (transferor), must each notify the 
Agency of the transfer within 30 days of consummation of the transfer by 
filing:
    (A) An updated Form MCSA-1, for the transferor, and for the 
transferee, if the transferee had an existing USDOT Number at the time 
of the transfer; or
    (B) A new Form MCSA-1, if the transferee did not have an existing 
USDOT Number at the time of the transfer.
    (C) A copy of the operating authority that is being transferred.
    (ii) Notification of a transfer of operating authority does not 
relieve a registered entity from the requirement to file an updated Form 
MCSA-1 every 24 months in accordance with paragraph (d)(3) of this 
section.
    (e) Availability of form. Form MCSA-1 is an electronic application 
and is available, including complete instructions, from the FMCSA Web 
site at http://www.fmcsa.dot.gov (Keyword ``MCSA-1'').
    (f) Where to file. Persons subject to the registration requirements 
under this subpart must electronically file Form MCSA-1 on the FMCSA Web 
site at http://www.fmcsa.dot.gov.
    (g) Exception. The rules in this subpart do not govern the 
application by a Mexico-domiciled motor carrier to provide 
transportation of property or passengers in interstate commerce between 
Mexico and points in the United States beyond the municipalities and 
commercial zones along the United States-Mexico international border. 
The applicable procedures governing transportation by Mexico-domiciled 
motor carriers are provided in Sec.390.19.



Sec.390.203  PRISM State registration/biennial updates.

    (a) A motor carrier that registers its vehicles in a State that 
participates in the Performance and Registration Information Systems 
Management (PRISM) program (authorized under section 4004 of the 
Transportation Equity Act for the 21st Century [Pub. L. 105-178, 112 
Stat. 107]) alternatively may satisfy the requirements set forth in 
Sec.390.201 by electronically filing all the required USDOT 
registration and biennial update information with the State according to 
its policies and procedures, provided the State has integrated the USDOT 
registration/update capability into its vehicle registration program.
    (b) If the State procedures do not allow a motor carrier to file the 
Form MCSA-1 or to submit updates within the period specified in Sec.
390.201(d)(2), a motor carrier must complete such filings directly with 
FMCSA.
    (c) A for-hire motor carrier, unless providing transportation exempt 
from the commercial registration requirements of 49 U.S.C. chapter 139, 
must obtain operating authority as prescribed under Sec.390.201(b) and 
part 365 of this subchapter before operating in interstate commerce.



Sec.390.205  Special requirements for registration.

    (a)(1) General. A person applying to operate as a motor carrier, 
broker, or freight forwarder under this subpart must make the additional 
filings described in paragraphs (a)(2) and (a)(3) of this section as a 
condition for registration under this subpart within 90 days of the date 
on which the application is filed:
    (2) Evidence of financial responsibility. (i) A person that 
registers to conduct operations in interstate commerce as a for-hire 
motor carrier, a broker, or a freight forwarder must file evidence of 
financial responsibility as required under part 387, subparts C and D of 
this subchapter.
    (ii) A person that registers to transport hazardous materials as 
defined in 49 CFR 171.8 (or any quantity of a material listed as a 
select agent or toxin in 42 CFR part 73) in interstate commerce must 
file evidence of financial responsibility as required under part 387, 
subpart C of this subchapter.

[[Page 386]]

    (3) Designation of agent for service of process. All motor carriers 
(both private and for-hire), brokers and freight forwarders required to 
register under this subpart must designate an agent for service of 
process (a person upon whom court or Agency process may be served) 
following the rules in part 366 of this subchapter:
    (b) If an application is subject to a protest period, the Agency 
will not activate a USDOT Number until expiration of the protest period 
provided in Sec.365.115 of this subchapter or--if a protest is 
received--after FMCSA denies or rejects the protest, as applicable.



Sec.390.207  Other governing regulations.

    (a) Motor carriers. (1) A motor carrier granted registration under 
this part must successfully complete the applicable New Entrant Safety 
Assurance Program as described in paragraphs (a)(1)(i) through 
(a)(1)(iii) of this section as a condition for permanent registration:
    (i) A U.S.- or Canada-domiciled motor carrier is subject to the new 
entrant safety assurance program under part 385, subpart D, of this 
subchapter.
    (ii) A Mexico-domiciled motor carrier is subject to the safety 
monitoring program under part 385, subpart B of this subchapter.
    (iii) A Non-North America-domiciled motor carrier is subject to the 
safety monitoring program under part 385, subpart I of this subchapter.
    (2) Only the legal name or a single trade name of the motor carrier 
may be used on the Form MCSA-1.
    (b) Brokers, freight forwarders and non-exempt for-hire motor 
carriers. (1) A broker or freight forwarder must obtain operating 
authority pursuant to part 365 of this chapter as a condition for 
obtaining USDOT Registration.
    (2) A motor carrier registering to engage in transportation that is 
not exempt from economic regulation by FMCSA must obtain operating 
authority pursuant to part 365 of this subchapter as a condition for 
obtaining USDOT Registration.
    (c) Intermodal equipment providers. An intermodal equipment provider 
is subject to the requirements of subpart D of this part.
    (1) Only the legal name or a single trade name of the intermodal 
equipment provider may be used on the Form MCSA-1.
    (2) The intermodal equipment provider must identify each unit of 
interchanged intermodal equipment by its assigned USDOT Number.
    (d) Hazardous materials safety permit applicants. A person who 
applies for a hazardous materials safety permit is subject to the 
requirements of part 385, subpart E, of this subchapter.
    (e) Cargo tank facilities. A cargo tank facility is subject to the 
requirements of 49 CFR part 107, subpart F, 49 CFR part 172, subpart H, 
and 49 CFR part 180.



Sec.390.209  Pre-authorization safety audit.

    A non-North America-domiciled motor carrier seeking to provide 
transportation of property or passengers in interstate commerce within 
the United States must pass the pre-authorization safety audit under 
Sec.385.607(c) of this subchapter as a condition for receiving 
registration under this part.



  



PART 391_QUALIFICATIONS OF DRIVERS AND LONGER COMBINATION VEHICLE
(LCV) DRIVER INSTRUCTORS--Table of Contents



                            Subpart A_General

Sec.
391.1 Scope of the rules in this part; additional qualifications; duties 
          of carrier-drivers.
391.2 General exceptions.

         Subpart B_Qualification and Disqualification of Drivers

391.11 General qualifications of drivers.
391.13 Responsibilities of drivers.
391.15 Disqualification of drivers.

                   Subpart C_Background and Character

391.21 Application for employment.
391.23 Investigation and inquiries.
391.25 Annual inquiry and review of driving record.
391.27 Record of violations.

                             Subpart D_Tests

391.31 Road test.

[[Page 387]]

391.33 Equivalent of road test.

           Subpart E_Physical Qualifications and Examinations

391.41 Physical qualifications for drivers.
391.42 Schedule for use of medical examiners listed on the National 
          Registry of Certified Medical Examiners.
391.43 Medical examination; certificate of physical examination.
391.45 Persons who must be medically examined and certified.
391.47 Resolution of conflicts of medical evaluation.
391.49 Alternative physical qualification standards for the loss or 
          impairment of limbs.

                       Subpart F_Files and Records

391.51 General requirements for driver qualification files.
391.53 Driver investigation history file
391.55 LCV Driver-Instructor qualification files.

                      Subpart G_Limited Exemptions

391.61 Drivers who were regularly employed before January 1, 1971.
391.62 Limited exemptions for intra-city zone drivers.
391.63 Multiple-employer drivers.
391.64 Grandfathering for certain drivers participating in vision and 
          diabetes waiver study programs.
391.65 Drivers furnished by other motor carriers.
391.67 Farm vehicle drivers of articulated commercial motor vehicles.
391.68 Private motor carrier of passengers (nonbusiness).
391.69 Private motor carrier of passengers (business).
391.71 [Reserved]

    Authority: 49 U.S.C. 504, 508, 31133, 31136, and 31502; sec. 4007(b) 
of Pub. L. 102-240, 105 Stat. 1914, 2152; sec. 114 of Pub. L. 103-311, 
108 Stat. 1673, 1677; sec. 215 of Pub. L. 106-159, 113 Stat. 1748, 1767; 
sec. 32934 of Pub. L. 112-141, 126 Stat. 405, 830; and 49 CFR 1.87.

    Source: 35 FR 6460, Apr. 22, 1970, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 391 appear at 66 FR 
49873, Oct. 1, 2001.



                            Subpart A_General



Sec.391.1  Scope of the rules in this part; additional qualifications;
duties of carrier-drivers.

    (a) The rules in this part establish minimum qualifications for 
persons who drive commercial motor vehicles as, for, or on behalf of 
motor carriers. The rules in this part also establish minimum duties of 
motor carriers with respect to the qualifications of their drivers.
    (b) A motor carrier who employs himself/herself as a driver must 
comply with both the rules in this part that apply to motor carriers and 
the rules in this part that apply to drivers.

[35 FR 6460, Apr. 22, 1970, as amended at 53 FR 18057, May 19, 1988; 60 
FR 38744, July 28, 1995]



Sec.391.2  General exceptions.

    (a) Farm custom operation. The rules in this part, except for Sec.
391.15(e) and (f), do not apply to a driver who drives a commercial 
motor vehicle controlled and operated by a person engaged in custom-
harvesting operations, if the commercial motor vehicle is used to--
    (1) Transport farm machinery, supplies, or both, to or from a farm 
for custom-harvesting operations on a farm; or
    (2) Transport custom-harvested crops to storage or market.
    (b) Apiarian industries. The rules in this part, except for Sec.
391.15(e) and (f), do not apply to a driver who is operating a 
commercial motor vehicle controlled and operated by a beekeeper engaged 
in the seasonal transportation of bees.
    (c) Certain farm vehicle drivers. The rules in this part, except for 
Sec.391.15(e) and (f), do not apply to a farm vehicle driver except a 
farm vehicle driver who drives an articulated (combination) commercial 
motor vehicle, as defined in Sec.390.5 of this chapter. For limited 
exemptions for farm vehicle drivers of articulated commercial motor 
vehicles, see Sec.391.67.
    (d) Covered farm vehicles. The rules in part 391, Subpart E--
Physical Qualifications and Examinations--do not apply to drivers of 
``covered farm vehicles,'' as defined in 49 CFR 390.5.

[76 FR 75487, Dec. 2, 2011, as amended at 78 FR 16195, Mar. 14, 2013; 78 
FR 58483, Sept. 24, 2013]

[[Page 388]]



         Subpart B_Qualification and Disqualification of Drivers



Sec.391.11  General qualifications of drivers.

    (a) A person shall not drive a commercial motor vehicle unless he/
she is qualified to drive a commercial motor vehicle. Except as provided 
in Sec.391.63, a motor carrier shall not require or permit a person to 
drive a commercial motor vehicle unless that person is qualified to 
drive a commercial motor vehicle.
    (b) Except as provided in subpart G of this part, a person is 
qualified to drive a motor vehicle if he/she--
    (1) Is at least 21 years old;
    (2) Can read and speak the English language sufficiently to converse 
with the general public, to understand highway traffic signs and signals 
in the English language, to respond to official inquiries, and to make 
entries on reports and records;
    (3) Can, by reason of experience, training, or both, safely operate 
the type of commercial motor vehicle he/she drives;
    (4) Is physically qualified to drive a commercial motor vehicle in 
accordance with subpart E--Physical Qualifications and Examinations of 
this part;
    (5) Has a currently valid commercial motor vehicle operator's 
license issued only by one State or jurisdiction;
    (6) Has prepared and furnished the motor carrier that employs him/
her with the list of violations or the certificate as required by Sec.
391.27;
    (7) Is not disqualified to drive a commercial motor vehicle under 
the rules in Sec.391.15; and
    (8) Has successfully completed a driver's road test and has been 
issued a certificate of driver's road test in accordance with Sec.
391.31, or has presented an operator's license or a certificate of road 
test which the motor carrier that employs him/her has accepted as 
equivalent to a road test in accordance with Sec.391.33.

[35 FR 6460, Apr. 22, 1970, as amended at 35 FR 17420, Nov. 13, 1970; 35 
FR 19181, Dec. 18, 1970; 36 FR 222, Jan. 7, 1971, 36 FR 24220, Dec. 22, 
1971; 45 FR 46424, July 10, 1980; 52 FR 20589, June 1, 1987; 59 FR 
60323, Nov. 23, 1994; 60 FR 38744, 38745, July 28, 1995; 63 FR 33276, 
June 18, 1998]



Sec.391.13  Responsibilities of drivers.

    In order to comply with the requirements of Sec. Sec.392.9(a) and 
393.9 of this subchapter, a motor carrier shall not require or permit a 
person to drive a commercial motor vehicle unless the person--
    (a) Can, by reason of experience, training, or both, determine 
whether the cargo he/she transports (including baggage in a passenger-
carrying commercial motor vehicle) has been properly located, 
distributed, and secured in or on the commercial motor vehicle he/she 
drives;
    (b) Is familiar with methods and procedures for securing cargo in or 
on the commercial motor vehicle he/she drives.

[63 FR 33277, June 18, 1998]



Sec.391.15  Disqualification of drivers.

    (a) General. A driver who is disqualified shall not drive a 
commercial motor vehicle. A motor carrier shall not require or permit a 
driver who is disqualified to drive a commercial motor vehicle.
    (b) Disqualification for loss of driving privileges. (1) A driver is 
disqualified for the duration of the driver's loss of his/her privilege 
to operate a commercial motor vehicle on public highways, either 
temporarily or permanently, by reason of the revocation, suspension, 
withdrawal, or denial of an operator's license, permit, or privilege, 
until that operator's license, permit, or privilege is restored by the 
authority that revoked, suspended, withdrew, or denied it.
    (2) A driver who receives a notice that his/her license, permit, or 
privilege to operate a commercial motor vehicle has been revoked, 
suspended, or withdrawn shall notify the motor carrier that employs him/
her of the contents of the notice before the end of the

[[Page 389]]

business day following the day the driver received it.
    (c) Disqualification for criminal and other offenses--(1) General 
rule. A driver who is convicted of (or forfeits bond or collateral upon 
a charge of) a disqualifying offense specified in paragraph (c)(2) of 
this section is disqualified for the period of time specified in 
paragraph (c)(3) of this section, if--
    (i) The offense was committed during on-duty time as defined in 
Sec.395.2 of this part or as otherwise specified; and
    (ii) The driver is employed by a motor carrier or is engaged in 
activities that are in furtherance of a commercial enterprise in 
interstate, intrastate, or foreign commerce.
    (2) Disqualifying offenses. The following offenses are disqualifying 
offenses:
    (i) Driving a commercial motor vehicle while under the influence of 
alcohol. This shall include:
    (A) Driving a commercial motor vehicle while the person's alcohol 
concentration is 0.04 percent or more;
    (B) Driving under the influence of alcohol, as prescribed by State 
law; or
    (C) Refusal to undergo such testing as is required by any State or 
jurisdiction in the enforcement of Sec.391.15(c)(2)(i) (A) or (B), or 
Sec.392.5(a)(2).
    (ii) Driving a commercial motor vehicle under the influence of a 21 
CFR 1308.11 Schedule I identified controlled substance, an amphetamine, 
a narcotic drug, a formulation of an amphetamine, or a derivative of a 
narcotic drug;
    (iii) Transportation, possession, or unlawful use of a 21 CFR 
1308.11 Schedule I identified controlled substance, amphetamines, 
narcotic drugs, formulations of an amphetamine, or derivatives of 
narcotic drugs while the driver is on duty, as the term on-duty time is 
defined in Sec.395.2 of this subchapter;
    (iv) Leaving the scene of an accident while operating a commercial 
motor vehicle; or
    (v) A felony involving the use of a commercial motor vehicle.
    (3) Duration of disqualification--(i) First offenders. A driver is 
disqualified for 1 year after the date of conviction or forfeiture of 
bond or collateral if, during the 3 years preceding that date, the 
driver was not convicted of, or did not forfeit bond or collateral upon 
a charge of an offense that would disqualify the driver under the rules 
of this section. Exemption. The period of disqualification is 6 months 
if the conviction or forfeiture of bond or collateral soley concerned 
the transportation or possession of substances named in paragraph 
(c)(2)(iii) of this section.
    (ii) Subsequent offenders. A driver is disqualified for 3 years 
after the date of his/her conviction or forfeiture of bond or collateral 
if, during the 3 years preceding that date, he/she was convicted of, or 
forfeited bond or collateral upon a charge of, an offense that would 
disqualify him/her under the rules in this section.
    (d) Disqualification for violation of out-of-service orders--(1) 
General rule. A driver who is convicted of violating an out-of-service 
order is disqualified for the period of time specified in paragraph 
(d)(2) of this section.
    (2) Duration of disqualification for violation of out-of-service 
orders--(i) First violation. A driver is disqualified for not less than 
90 days nor more than one year if the driver is convicted of a first 
violation of an out-of-service order.
    (ii) Second violation. A driver is disqualified for not less than 
one year nor more than five years if, during any 10-year period, the 
driver is convicted of two violations of out-of-service orders in 
separate incidents.
    (iii) Third or subsequent violation. A driver is disqualified for 
not less than three years nor more than five years if, during any 10-
year period, the driver is convicted of three or more violations of out-
of-service orders in separate incidents.
    (iv) Special rule for hazardous materials and passenger offenses. A 
driver is disqualified for a period of not less than 180 days nor more 
than two years if the driver is convicted of a first violation of an 
out-of-service order while transporting hazardous materials required to 
be placarded under the Hazardous Materials Transportation Act (49 U.S.C. 
5101 et seq.), or while operating commercial motor vehicles designed to 
transport more than 15 passengers, including the driver. A driver is 
disqualified for a period of not less than three years nor more than 
five years if, during any 10-year period, the driver is

[[Page 390]]

convicted of any subsequent violations of out-of-service orders, in 
separate incidents, while transporting hazardous materials required to 
be placarded under the Hazardous Materials Transportation Act, or while 
operating commercial motor vehicles designed to transport more than 15 
passengers, including the driver.
    (e) Disqualification for violation of prohibition of texting while 
driving a commercial motor vehicle--
    (1) General rule. A driver who is convicted of violating the 
prohibition of texting in Sec.392.80(a) of this chapter is 
disqualified for the period of time specified in paragraph (e)(2) of 
this section.
    (2) Duration. Disqualification for violation of prohibition of 
texting while driving a commercial motor vehicle--
    (i) Second violation. A driver is disqualified for 60 days if the 
driver is convicted of two violations of Sec.392.80(a) of this chapter 
in separate incidents during any 3-year period.
    (ii) Third or subsequent violation. A driver is disqualified for 120 
days if the driver is convicted of three or more violations of Sec.
392.80(a) of this chapter in separate incidents during any 3-year 
period.
    (f) Disqualification for violation of a restriction on using a hand-
held mobile telephone while driving a commercial motor vehicle--
    (1) General rule. A driver who is convicted of violating the 
restriction on using a hand-held mobile telephone in Sec.392.82(a) of 
this chapter is disqualified from driving a commercial motor vehicle for 
the period of time specified in paragraph (f)(2) of this section.
    (2) Duration. Disqualification for violation of a restriction on 
using a hand-held mobile telephone while driving a commercial motor 
vehicle--
    (i) Second violation. A driver is disqualified for 60 days if the 
driver is convicted of two violations of Sec.392.82(a) of this chapter 
in separate incidents committed during any 3-year period.
    (ii) Third or subsequent violation. A driver is disqualified for 120 
days if the driver is convicted of three or more violations of Sec.
392.82(a) of this chapter in separate incidents committed during any 3-
year period.

[37 FR 24902, Nov. 23, 1972, as amended at 49 FR 44215, Nov. 5, 1984; 51 
FR 8200, Mar. 10, 1986; 53 FR 18057, May 19, 1988; 53 FR 39051, Oct. 4, 
1988; 54 FR 40788, Oct. 3, 1989; 59 FR 26028, May 18, 1994; 60 FR 38744, 
38745, July 28, 1995; 62 FR 37152, July 11, 1997; 63 FR 33277, June 18, 
1998; 75 FR 59136, Sept. 27, 2010; 76 FR 75487, Dec. 2, 2011; 77 FR 
1891, Jan. 12, 2012; 78 FR 58483, Sept. 24, 2013]



                   Subpart C_Background and Character



Sec.391.21  Application for employment.

    (a) Except as provided in subpart G of this part, a person shall not 
drive a commercial motor vehicle unless he/she has completed and 
furnished the motor carrier that employs him/her with an application for 
employment that meets the requirements of paragraph (b) of this section.
    (b) The application for employment shall be made on a form furnished 
by the motor carrier. Each application form must be completed by the 
applicant, must be signed by him/her, and must contain the following 
information:
    (1) The name and address of the employing motor carrier;
    (2) The applicant's name, address, date of birth, and social 
security number;
    (3) The addresses at which the applicant has resided during the 3 
years preceding the date on which the application is submitted;
    (4) The date on which the application is submitted;
    (5) The issuing State, number, and expiration date of each unexpired 
commercial motor vehicle operator's license or permit that has been 
issued to the applicant;
    (6) The nature and extent of the applicant's experience in the 
operation of motor vehicles, including the type of equipment (such as 
buses, trucks, truck tractors, semitrailers, full trailers, and pole 
trailers) which he/she has operated;
    (7) A list of all motor vehicle accidents in which the applicant was 
involved during the 3 years preceding the date the application is 
submitted, specifying the date and nature of each

[[Page 391]]

accident and any fatalities or personal injuries it caused;
    (8) A list of all violations of motor vehicle laws or ordinances 
(other than violations involving only parking) of which the applicant 
was convicted or forfeited bond or collateral during the 3 years 
preceding the date the application is submitted;
    (9) A statement setting forth in detail the facts and circumstances 
of any denial, revocation, or suspension of any license, permit, or 
privilege to operate a motor vehicle that has been issued to the 
applicant, or a statement that no such denial, revocation, or suspension 
has occurred;
    (10)(i) A list of the names and addresses of the applicant's 
employers during the 3 years preceding the date the application is 
submitted,
    (ii) The dates he or she was employed by that employer,
    (iii) The reason for leaving the employ of that employer,
    (iv) After October 29, 2004, whether the (A) Applicant was subject 
to the FMCSRs while employed by that previous employer,
    (B) Job was designated as a safety sensitive function in any DOT 
regulated mode subject to alcohol and controlled substances testing 
requirements as required by 49 CFR part 40;
    (11) For those drivers applying to operate a commercial motor 
vehicle as defined by part 383 of this subchapter, a list of the names 
and addresses of the applicant's employers during the 7-year period 
preceding the 3 years contained in paragraph (b)(10) of this section for 
which the applicant was an operator of a commercial motor vehicle, 
together with the dates of employment and the reasons for leaving such 
employment; and
    (12) The following certification and signature line, which must 
appear at the end of the application form and be signed by the 
applicant:

    This certifies that this application was completed by me, and that 
all entries on it and information in it are true and complete to the 
best of my knowledge.
________________________________________________________________________
                                                                  (Date)
________________________________________________________________________
                                                 (Applicant's signature)

    (c) A motor carrier may require an applicant to provide information 
in addition to the information required by paragraph (b) of this section 
on the application form.
    (d) Before an application is submitted, the motor carrier must 
inform the applicant that the information he/she provides in accordance 
with paragraph (b)(10) of this section may be used, and the applicant's 
previous employers will be contacted, for the purpose of investigating 
the applicant's safety performance history information as required by 
paragraphs (d) and (e) of Sec.391.23. The prospective employer must 
also notify the driver in writing of his/her due process rights as 
specified in Sec.391.23(i) regarding information received as a result 
of these investigations.

[35 FR 6460, Apr. 22, 1970, as amended at 35 FR 17420, Nov. 13, 1970; 52 
FR 20589, June 1, 1987; 60 FR 38744, July 28, 1995; 69 FR 16719, Mar. 
30, 2004]



Sec.391.23  Investigation and inquiries.

    (a) Except as provided in subpart G of this part, each motor carrier 
shall make the following investigations and inquiries with respect to 
each driver it employs, other than a person who has been a regularly 
employed driver of the motor carrier for a continuous period which began 
before January 1, 1971:
    (1) An inquiry to each State where the driver held or holds a motor 
vehicle operator's license or permit during the preceding 3 years to 
obtain that driver's motor vehicle record.
    (2) An investigation of the driver's safety performance history with 
Department of Transportation regulated employers during the preceding 
three years.
    (b) A copy of the motor vehicle record(s) obtained in response to 
the inquiry or inquiries to each State required by paragraph (a)(1) of 
this section must be placed in the driver qualification file within 30 
days of the date the driver's employment begins and be retained in 
compliance with Sec.391.51. If no motor vehicle record is received 
from the State or States required to submit this response, the motor 
carrier must document a good faith effort to obtain such information, 
and certify that no record exists for that driver in

[[Page 392]]

that State or States. The inquiry to the State driver licensing agency 
or agencies must be made in the form and manner each agency prescribes.
    (c)(1) Replies to the investigations of the driver's safety 
performance history required by paragraph (a)(2) of this section, or 
documentation of good faith efforts to obtain the investigation data, 
must be placed in the driver investigation history file, after October 
29, 2004, within 30 days of the date the driver's employment begins. Any 
period of time required to exercise the driver's due process rights to 
review the information received, request a previous employer to correct 
or include a rebuttal, is separate and apart from this 30-day 
requirement to document investigation of the driver safety performance 
history data.
    (2) The investigation may consist of personal interviews, telephone 
interviews, letters, or any other method for investigating that the 
carrier deems appropriate. Each motor carrier must make a written record 
with respect to each previous employer contacted, or good faith efforts 
to do so. The record must include the previous employer's name and 
address, the date the previous employer was contacted, or the attempts 
made, and the information received about the driver from the previous 
employer. Failures to contact a previous employer, or of them to provide 
the required safety performance history information, must be documented. 
The record must be maintained pursuant to Sec.391.53.
    (3) Prospective employers should report failures of previous 
employers to respond to an investigation to the FMCSA following 
procedures specified at Sec.386.12 of this chapter and keep a copy of 
such reports in the Driver Investigation file as part of documenting a 
good faith effort to obtain the required information.
    (4) Exception. For drivers with no previous employment experience 
working for a DOT regulated employer during the preceding three years, 
documentation that no investigation was possible must be placed in the 
driver history investigation file, after October 29, 2004, within the 
required 30 days of the date the driver's employment begins.
    (d) The prospective motor carrier must investigate, at a minimum, 
the information listed in this paragraph from all previous employers of 
the applicant that employed the driver to operate a CMV within the 
previous three years. The investigation request must contain specific 
contact information on where the previous motor carrier employers should 
send the information requested.
    (1) General driver identification and employment verification 
information.
    (2) The data elements as specified in Sec.390.15(b)(1) of this 
chapter for accidents involving the driver that occurred in the three-
year period preceding the date of the employment application.
    (i) Any accidents as defined by Sec.390.5 of this chapter.
    (ii) Any accidents the previous employer may wish to provide that 
are retained pursuant to Sec.390.15(b)(2), or pursuant to the 
employer's internal policies for retaining more detailed minor accident 
information.
    (e) In addition to the investigations required by paragraph (d) of 
this section, the prospective motor carrier employers must investigate 
the information listed below in this paragraph from all previous DOT 
regulated employers that employed the driver within the previous three 
years from the date of the employment application, in a safety-sensitive 
function that required alcohol and controlled substance testing 
specified by 49 CFR part 40.
    (1) Whether, within the previous three years, the driver had 
violated the alcohol and controlled substances prohibitions under 
subpart B of part 382 of this chapter, or 49 CFR part 40.
    (2) Whether the driver failed to undertake or complete a 
rehabilitation program prescribed by a substance abuse professional 
(SAP) pursuant to Sec.382.605 of this chapter, or 49 CFR part 40, 
subpart O. If the previous employer does not know this information 
(e.g., an employer that terminated an employee who tested positive on a 
drug test), the prospective motor carrier must obtain documentation of 
the driver's successful completion of the SAP's referral directly from 
the driver.

[[Page 393]]

    (3) For a driver who had successfully completed a SAP's 
rehabilitation referral, and remained in the employ of the referring 
employer, information on whether the driver had the following testing 
violations subsequent to completion of a Sec.382.605 or 49 CFR part 
40, subpart O referral:
    (i) Alcohol tests with a result of 0.04 or higher alcohol 
concentration;
    (ii) Verified positive drug tests;
    (iii) Refusals to be tested (including verified adulterated or 
substituted drug test results).
    (f) A prospective motor carrier employer must provide to the 
previous employer the driver's written consent meeting the requirements 
of Sec.40.321(b) for the release of the information in paragraph (e) 
of this section. If the driver refuses to provide this written consent, 
the prospective motor carrier employer must not permit the driver to 
operate a commercial motor vehicle for that motor carrier.
    (g) After October 29, 2004, previous employers must:
    (1) Respond to each request for the DOT defined information in 
paragraphs (d) and (e) of this section within 30 days after the request 
is received. If there is no safety performance history information to 
report for that driver, previous motor carrier employers are nonetheless 
required to send a response confirming the non-existence of any such 
data, including the driver identification information and dates of 
employment.
    (2) Take all precautions reasonably necessary to ensure the accuracy 
of the records.
    (3) Provide specific contact information in case a driver chooses to 
contact the previous employer regarding correction or rebuttal of the 
data.
    (4) Keep a record of each request and the response for one year, 
including the date, the party to whom it was released, and a summary 
identifying what was provided.
    (5) Exception. Until May 1, 2006, carriers need only provide 
information for accidents that occurred after April 29, 2003.
    (h) The release of information under this section may take any form 
that reasonably ensures confidentiality, including letter, facsimile, or 
e-mail. The previous employer and its agents and insurers must take all 
precautions reasonably necessary to protect the driver safety 
performance history records from disclosure to any person not directly 
involved in forwarding the records, except the previous employer's 
insurer, except that the previous employer may not provide any alcohol 
or controlled substances information to the previous employer's insurer.
    (i)(1) The prospective employer must expressly notify drivers with 
Department of Transportation regulated employment during the preceding 
three years--via the application form or other written document prior to 
any hiring decision--that he or she has the following rights regarding 
the investigative information that will be provided to the prospective 
employer pursuant to paragraphs (d) and (e) of this section:
    (i) The right to review information provided by previous employers;
    (ii) The right to have errors in the information corrected by the 
previous employer and for that previous employer to re-send the 
corrected information to the prospective employer;
    (iii) The right to have a rebuttal statement attached to the alleged 
erroneous information, if the previous employer and the driver cannot 
agree on the accuracy of the information.
    (2) Drivers who have previous Department of Transportation regulated 
employment history in the preceding three years, and wish to review 
previous employer-provided investigative information must submit a 
written request to the prospective employer, which may be done at any 
time, including when applying, or as late as 30 days after being 
employed or being notified of denial of employment. The prospective 
employer must provide this information to the applicant within five (5) 
business days of receiving the written request. If the prospective 
employer has not yet received the requested information from the 
previous employer(s), then the five-business days deadline will begin 
when the prospective employer receives the requested safety performance 
history information. If the driver has not arranged to pick up or 
receive the requested records within thirty (30) days of the

[[Page 394]]

prospective employer making them available, the prospective motor 
carrier may consider the driver to have waived his/her request to review 
the records.
    (j)(1) Drivers wishing to request correction of erroneous 
information in records received pursuant to paragraph (i) of this 
section must send the request for the correction to the previous 
employer that provided the records to the prospective employer.
    (2) After October 29, 2004, the previous employer must either 
correct and forward the information to the prospective motor carrier 
employer, or notify the driver within 15 days of receiving a driver's 
request to correct the data that it does not agree to correct the data. 
If the previous employer corrects and forwards the data as requested, 
that employer must also retain the corrected information as part of the 
driver's safety performance history record and provide it to subsequent 
prospective employers when requests for this information are received. 
If the previous employer corrects the data and forwards it to the 
prospective motor carrier employer, there is no need to notify the 
driver.
    (3) Drivers wishing to rebut information in records received 
pursuant to paragraph (i) of this section must send the rebuttal to the 
previous employer with instructions to include the rebuttal in that 
driver's safety performance history.
    (4) After October 29, 2004, within five business days of receiving a 
rebuttal from a driver, the previous employer must:
    (i) Forward a copy of the rebuttal to the prospective motor carrier 
employer;
    (ii) Append the rebuttal to the driver's information in the 
carrier's appropriate file, to be included as part of the response for 
any subsequent investigating prospective employers for the duration of 
the three-year data retention requirement.
    (5) The driver may submit a rebuttal initially without a request for 
correction, or subsequent to a request for correction.
    (6) The driver may report failures of previous employers to correct 
information or include the driver's rebuttal as part of the safety 
performance information, to the FMCSA following procedures specified at 
Sec.386.12.
    (k)(1) The prospective motor carrier employer must use the 
information described in paragraphs (d) and (e) of this section only as 
part of deciding whether to hire the driver.
    (2) The prospective motor carrier employer, its agents and insurers 
must take all precautions reasonably necessary to protect the records 
from disclosure to any person not directly involved in deciding whether 
to hire the driver. The prospective motor carrier employer may not 
provide any alcohol or controlled substances information to the 
prospective motor carrier employer's insurer.
    (l)(1) No action or proceeding for defamation, invasion of privacy, 
or interference with a contract that is based on the furnishing or use 
of information in accordance with this section may be brought against--
    (i) A motor carrier investigating the information, described in 
paragraphs (d) and (e) of this section, of an individual under 
consideration for employment as a commercial motor vehicle driver,
    (ii) A person who has provided such information; or
    (iii) The agents or insurers of a person described in paragraph 
(l)(1)(i) or (ii) of this section, except insurers are not granted a 
limitation on liability for any alcohol and controlled substance 
information.
    (2) The protections in paragraph (l)(1) of this section do not apply 
to persons who knowingly furnish false information, or who are not in 
compliance with the procedures specified for these investigations.
    (m)(1) The motor carrier must obtain an original or copy of the 
medical examiner's certificate issued in accordance with Sec.391.43, 
and any medical variance on which the certification is based, and, 
beginning on or after May 21, 2014, verify the driver was certified by a 
medical examiner listed on the National Registry of Certified Medical 
Examiners as of the date of issuance of the medical examiner's 
certificate, and place the records in the driver qualification file, 
before allowing the driver to operate a CMV.

[[Page 395]]

    (2) Exception. For drivers required to have a commercial driver's 
license under part 383 of this chapter:
    (i) Beginning January 30, 2014, using the CDLIS motor vehicle record 
obtained from the current licensing State, the motor carrier must verify 
and document in the driver qualification file the following information 
before allowing the driver to operate a CMV:
    (A) The type of operation the driver self-certified that he or she 
will perform in accordance with Sec. Sec.383.71(a)(1)(ii) and 
383.71(g) of this chapter.
    (B) Beginning on or after May 21, 2014, that the driver was 
certified by a medical examiner listed on the National Registry of 
Certified Medical Examiners as of the date of medical examiner's 
certificate issuance.
    (C) Exception. If the driver provided the motor carrier with a copy 
of the current medical examiner's certificate that was submitted to the 
State in accordance with Sec.383.73(a)(5) of this chapter, the motor 
carrier may use a copy of that medical examiner's certificate as proof 
of the driver's medical certification for up to 15 days after the date 
it was issued.
    (ii) Until January 30, 2014, if a driver operating in non-excepted, 
interstate commerce has no medical certification status information on 
the CDLIS MVR obtained from the current State driver licensing agency, 
the employing motor carrier may accept a medical examiner's certificate 
issued to that driver, and place a copy of it in the driver 
qualification file before allowing the driver to operate a CMV in 
interstate commerce.

(Approved by the Office of Management and Budget under control number 
2126-0004)

[35 FR 6460, Apr. 22, 1970, as amended at 35 FR 17420, Nov. 13, 1970; 69 
FR 16720, Mar. 30, 2004; 72 FR 55703, Oct. 1, 2007; 73 FR 73126, Dec. 1, 
2008; 75 FR 28502, May 21, 2010; 76 FR 70663, Nov. 15, 2011; 77 FR 
24130, Apr. 20, 2012]



Sec.391.25  Annual inquiry and review of driving record.

    (a) Except as provided in subpart G of this part, each motor carrier 
shall, at least once every 12 months, make an inquiry to obtain the 
motor vehicle record of each driver it employs, covering at least the 
preceding 12 months, to the appropriate agency of every State in which 
the driver held a commercial motor vehicle operator's license or permit 
during the time period.
    (b) Except as provided in subpart G of this part, each motor carrier 
shall, at least once every 12 months, review the motor vehicle record of 
each driver it employs to determine whether that driver meets minimum 
requirements for safe driving or is disqualified to drive a commercial 
motor vehicle pursuant to Sec.391.15.
    (1) The motor carrier must consider any evidence that the driver has 
violated any applicable Federal Motor Carrier Safety Regulations in this 
subchapter or Hazardous Materials Regulations (49 CFR chapter I, 
subchapter C).
    (2) The motor carrier must consider the driver's accident record and 
any evidence that the driver has violated laws governing the operation 
of motor vehicles, and must give great weight to violations, such as 
speeding, reckless driving, and operating while under the influence of 
alcohol or drugs, that indicate that the driver has exhibited a 
disregard for the safety of the public.
    (c) Recordkeeping. (1) A copy of the motor vehicle record required 
by paragraph (a) of this section shall be maintained in the driver's 
qualification file.
    (2) A note, including the name of the person who performed the 
review of the driving record required by paragraph (b) of this section 
and the date of such review, shall be maintained in the driver's 
qualification file.

[63 FR 33277, June 18, 1998, as amended at 73 FR 73127, Dec. 1, 2008]



Sec.391.27  Record of violations.

    (a) Except as provided in subpart G of this part, each motor carrier 
shall, at least once every 12 months, require each driver it employs to 
prepare and furnish it with a list of all violations of motor vehicle 
traffic laws and ordinances (other than violations involving only 
parking) of which the driver has been convicted or on account of which 
he/she has forfeited bond or collateral during the preceding 12 months.
    (b) Each driver shall furnish the list required in accordance with 
paragraph (a) of this section. If the driver has not

[[Page 396]]

been convicted of, or forfeited bond or collateral on account of, any 
violation which must be listed, he/she shall so certify.
    (c) The form of the driver's list or certification shall be 
prescribed by the motor carrier. The following form may be used to 
comply with this section:

                         Driver's Certification

    I certify that the following is a true and complete list of traffic 
violations (other than parking violations) for which I have been 
convicted or forfeited bond or collateral during the past 12 months.

Date of conviction Offense
Location Type of motor vehicle operated

    If no violations are listed above, I certify that I have not been 
convicted or forfeited bond or collateral on account of any violation 
required to be listed during the past 12 months.

(Date of certification) (Driver's signature)

                         (Motor carrier's name)

                        (Motor carrier's address)

(Reviewed by: Signature) (Title)

    (d) The motor carrier shall retain the list or certificate required 
by this section, or a copy of it, in its files as part of the driver's 
qualification file.
    (e) Drivers who have provided information required by Sec.383.31 
of this subchapter need not repeat that information in the annual list 
of violations required by this section.

[35 FR 6460, Apr. 22, 1970, as amended at 35 FR 17420, Nov. 13, 1970; 52 
FR 20589, June 1, 1987; 60 FR 38745, July 28, 1995]



                             Subpart D_Tests



Sec.391.31  Road test.

    (a) Except as provided in subpart G, a person shall not drive a 
commercial motor vehicle unless he/she has first successfully completed 
a road test and has been issued a certificate of driver's road test in 
accordance with this section.
    (b) The road test shall be given by the motor carrier or a person 
designated by it. However, a driver who is a motor carrier must be given 
the test by a person other than himself/herself. The test shall be given 
by a person who is competent to evaluate and determine whether the 
person who takes the test has demonstrated that he/she is capable of 
operating the commercial motor vehicle, and associated equipment, that 
the motor carrier intends to assign him/her.
    (c) The road test must be of sufficient duration to enable the 
person who gives it to evaluate the skill of the person who takes it at 
handling the commercial motor vehicle, and associated equipment, that 
the motor carriers intends to assign to him/her. As a minimum, the 
person who takes the test must be tested, while operating the type of 
commercial motor vehicle the motor carrier intends to assign him/her, on 
his/her skill at performing each of the following operations:
    (1) The pretrip inspection required by Sec.392.7 of this 
subchapter;
    (2) Coupling and uncoupling of combination units, if the equipment 
he/she may drive includes combination units;
    (3) Placing the commercial motor vehicle in operation;
    (4) Use of the commercial motor vehicle's controls and emergency 
equipment;
    (5) Operating the commercial motor vehicle in traffic and while 
passing other motor vehicles;
    (6) Turning the commercial motor vehicle;
    (7) Braking, and slowing the commercial motor vehicle by means other 
than braking; and
    (8) Backing and parking the commercial motor vehicle.
    (d) The motor carrier shall provide a road test form on which the 
person who gives the test shall rate the performance of the person who 
takes it at each operation or activity which is a part of the test. 
After he/she completes the form, the person who gave the test shall sign 
it.
    (e) If the road test is successfully completed, the person who gave 
it shall complete a certificate of driver's road test in substantially 
the form prescribed in paragraph (f) of this section.
    (f) The form for the certificate of driver's road test is 
substantially as follows:

                       Certification of Road Test

Driver's name___________________________________________________________
Social Security No______________________________________________________
Operator's or Chauffeur's License No____________________________________
State___________________________________________________________________

[[Page 397]]

Type of power unit ------------ Type of trailer(s)______________________
If passenger carrier, type of bus ------------__________________________
    This is to certify that the above-named driver was given a road test 
under my supervision on ------------, 20----, consisting of 
approximately ------ miles of driving.
    It is my considered opinion that this driver possesses sufficient 
driving skill to operate safely the type of commercial motor vehicle 
listed above.

                                                 (Signature of examiner)

                                                                 (Title)

                                  (Organization and address of examiner)

    (g) A copy of the certificate required by paragraph (e) of this 
section shall be given to the person who was examined. The motor carrier 
shall retain in the driver qualification file of the person who was 
examined--
    (1) The original of the signed road test form required by paragraph 
(d) of this section; and
    (2) The original, or a copy of, the certificate required by 
paragraph (e) of this section.

[35 FR 6460, Apr. 22, 1970, as amended at 36 FR 223, Jan. 7, 1971; 59 FR 
8752, Feb. 23, 1994; 60 FR 38744, July 28, 1995]



Sec.391.33  Equivalent of road test.

    (a) In place of, and as equivalent to, the road test required by 
Sec.391.31, a person who seeks to drive a commercial motor vehicle may 
present, and a motor carrier may accept--
    (1) A valid Commercial Driver's License as defined in Sec.383.5 of 
this subchapter, but not including double/triple trailer or tank vehicle 
endorsements, which has been issued to him/her to operate specific 
categories of commercial motor vehicles and which, under the laws of 
that State, licenses him/her after successful completion of a road test 
in a commercial motor vehicle of the type the motor carrier intends to 
assign to him/her; or
    (2) A copy of a valid certificate of driver's road test issued to 
him/her pursuant to Sec.391.31 within the preceding 3 years.
    (b) If a driver presents, and a motor carrier accepts, a license or 
certificate as equivalent to the road test, the motor carrier shall 
retain a legible copy of the license or certificate in its files as part 
of the driver's qualification file.
    (c) A motor carrier may require any person who presents a license or 
certificate as equivalent to the road test to take a road test or any 
other test of his/her driving skill as a condition to his/her employment 
as a driver.

[35 FR 6460, Apr. 22, 1970, as amended at 60 FR 38744, July 28, 1995; 63 
FR 33277, June 18, 1998]



           Subpart E_Physical Qualifications and Examinations



Sec.391.41  Physical qualifications for drivers.

    (a)(1)(i) A person subject to this part must not operate a 
commercial motor vehicle unless he or she is medically certified as 
physically qualified to do so, and, except as provided in paragraph 
(a)(2) of this section, when on-duty has on his or her person the 
original, or a copy, of a current medical examiner's certificate that he 
or she is physically qualified to drive a commercial motor vehicle. 
NOTE: Effective December 29, 1991, the FMCSA Administrator determined 
that the new Licencia Federal de Conductor issued by the United Mexican 
States is recognized as proof of medical fitness to drive a CMV. The 
United States and Canada entered into a Reciprocity Agreement, effective 
March 30, 1999, recognizing that a Canadian commercial driver's license 
is proof of medical fitness to drive a CMV. Therefore, Canadian and 
Mexican CMV drivers are not required to have in their possession a 
medical examiner's certificate if the driver has been issued, and 
possesses, a valid commercial driver license issued by the United 
Mexican States, or a Canadian Province or Territory and whose license 
and medical status, including any waiver or exemption, can be 
electronically verified. Drivers from any of the countries who have 
received a medical authorization that deviates from the mutually 
accepted compatible medical standards of the resident country are not 
qualified to drive a CMV in the other countries. For example, Canadian 
drivers who do not meet the medical fitness provisions of the Canadian 
National Safety Code for Motor Carriers, but are issued a waiver by one 
of the Canadian Provinces or Territories, are not qualified to drive a 
CMV

[[Page 398]]

in the United States. In addition, U.S. drivers who received a medical 
variance from FMCSA are not qualified to drive a CMV in Canada.
    (ii) A person who qualifies for the medical examiner's certificate 
by virtue of having obtained a medical variance from FMCSA, in the form 
of an exemption letter or a skill performance evaluation certificate, 
must have on his or her person a copy of the variance documentation when 
on-duty.
    (2) CDL exception. (i) Beginning January 30, 2014, a driver required 
to have a commercial driver's license under part 383 of this chapter, 
and who submitted a current medical examiner's certificate to the State 
in accordance with Sec.383.71(h) of this chapter documenting that he 
or she meets the physical qualification requirements of this part, no 
longer needs to carry on his or her person the medical examiner's 
certificate specified at Sec.391.43(h), or a copy for more than 15 
days after the date it was issued as valid proof of medical 
certification.
    (ii) A CDL holder required by Sec.383.71(h) to obtain a medical 
examiner's certificate, who obtained such by virtue of having obtained a 
medical variance from FMCSA, must continue to have in his or her 
possession the original or copy of that medical variance documentation 
at all times when on-duty.
    (3) A person is physically qualified to drive a commercial motor 
vehicle if:
    (i) That person meets the physical qualification standards in 
paragraph (b) of this section and has complied with the medical 
examination requirements in Sec.391.43; or
    (ii) That person obtained from FMCSA a medical variance from the 
physical qualification standards in paragraph (b) of this section and 
has complied with the medical examination requirement in Sec.391.43.
    (b) A person is physically qualified to drive a commercial motor 
vehicle if that person--
    (1) Has no loss of a foot, a leg, a hand, or an arm, or has been 
granted a skill performance evaluation certificate pursuant to Sec.
391.49;
    (2) Has no impairment of:
    (i) A hand or finger which interferes with prehension or power 
grasping; or
    (ii) An arm, foot, or leg which interferes with the ability to 
perform normal tasks associated with operating a commercial motor 
vehicle; or any other significant limb defect or limitation which 
interferes with the ability to perform normal tasks associated with 
operating a commercial motor vehicle; or has been granted a skill 
performance evaluation certificate pursuant to Sec.391.49.
    (3) Has no established medical history or clinical diagnosis of 
diabetes mellitus currently requiring insulin for control;
    (4) Has no current clinical diagnosis of myocardial infarction, 
angina pectoris, coronary insufficiency, thrombosis, or any other 
cardiovascular disease of a variety known to be accompanied by syncope, 
dyspnea, collapse, or congestive cardiac failure.
    (5) Has no established medical history or clinical diagnosis of a 
respiratory dysfunction likely to interfere with his/her ability to 
control and drive a commercial motor vehicle safely;
    (6) Has no current clinical diagnosis of high blood pressure likely 
to interfere with his/her ability to operate a commercial motor vehicle 
safely;
    (7) Has no established medical history or clinical diagnosis of 
rheumatic, arthritic, orthopedic, muscular, neuromuscular, or vascular 
disease which interferes with his/her ability to control and operate a 
commercial motor vehicle safely;
    (8) Has no established medical history or clinical diagnosis of 
epilepsy or any other condition which is likely to cause loss of 
consciousness or any loss of ability to control a commercial motor 
vehicle;
    (9) Has no mental, nervous, organic, or functional disease or 
psychiatric disorder likely to interfere with his/her ability to drive a 
commercial motor vehicle safely;
    (10) Has distant visual acuity of at least 20/40 (Snellen) in each 
eye without corrective lenses or visual acuity separately corrected to 
20/40 (Snellen) or better with corrective lenses, distant binocular 
acuity of at least 20/40 (Snellen) in both eyes with or without 
corrective lenses, field of vision of at least 70[deg] in the horizontal 
Meridian in

[[Page 399]]

each eye, and the ability to recognize the colors of traffic signals and 
devices showing standard red, green, and amber;
    (11) First perceives a forced whispered voice in the better ear at 
not less than 5 feet with or without the use of a hearing aid or, if 
tested by use of an audiometric device, does not have an average hearing 
loss in the better ear greater than 40 decibels at 500 Hz, 1,000 Hz, and 
2,000 Hz with or without a hearing aid when the audiometric device is 
calibrated to American National Standard (formerly ASA Standard) Z24.5--
1951.
    (12)(i) Does not use any drug or substance identified in 21 CFR 
1308.11 Schedule I, an amphetamine, a narcotic, or other habit-forming 
drug.
    (ii) Does not use any non-Schedule I drug or substance that is 
identified in the other Schedules in 21 part 1308 except when the use is 
prescribed by a licensed medical practitioner, as defined in Sec.
382.107, who is familiar with the driver's medical history and has 
advised the driver that the substance will not adversely affect the 
driver's ability to safely operate a commercial motor vehicle.
    (13) Has no current clinical diagnosis of alcoholism.

[35 FR 6460, Apr. 22, 1970, as amended at 35 FR 17420, Nov. 13, 1970; 36 
FR 223, Jan. 7, 1971; 36 FR 12857, July 8, 1971; 43 FR 56900, Dec. 5, 
1978; 55 FR 3554, Feb. 1, 1990; 60 FR 38744, July 28, 1995; 62 FR 37152, 
July 11, 1997; 65 FR 59369, Oct. 5, 2000; 67 FR 61824, Oct. 2, 2002; 73 
FR 73127, Dec. 1, 2008, 75 FR 28502, May 21, 2010; 76 FR 70663, Nov. 15, 
2011; 77 FR 4483, Jan. 30, 2012]



Sec.391.42  Schedule for use of medical examiners listed on the 
National Registry of Certified Medical Examiners.

    On and after May 21, 2014, each medical examination required under 
this subpart must be conducted by a medical examiner who is listed on 
the National Registry of Certified Medical Examiners.

[77 FR 24130, Apr. 20, 2012]



Sec.391.43  Medical examination; certificate of physical examination.

    (a) Except as provided by paragraph (b) of this section and as 
provided by Sec.391.42, the medical examination must be performed by a 
medical examiner listed on the National Registry of Certified Medical 
Examiners under subpart D of part 390 of this chapter.
    (b) A licensed optometrist may perform so much of the medical 
examination as pertains to visual acuity, field of vision, and the 
ability to recognize colors as specified in paragraph (10) of Sec.
391.41(b).
    (c) Medical examiners shall:
    (1) Be knowledgeable of the specific physical and mental demands 
associated with operating a commercial motor vehicle and the 
requirements of this subpart, including the medical advisory criteria 
prepared by the FMCSA as guidelines to aid the medical examiner in 
making the qualification determination; and
    (2) Be proficient in the use of and use the medical protocols 
necessary to adequately perform the medical examination required by this 
section.
    (d) Any driver authorized to operate a commercial motor vehicle 
within an exempt intracity zone pursuant to Sec.391.62 of this part 
shall furnish the examining medical examiner with a copy of the medical 
findings that led to the issuance of the first certificate of medical 
examination which allowed the driver to operate a commercial motor 
vehicle wholly within an exempt intracity zone.
    (e) Any driver operating under a limited exemption authorized by 
Sec.391.64 shall furnish the medical examiner with a copy of the 
annual medical findings of the endocrinologist, ophthalmologist or 
optometrist, as required under that section. If the medical examiner 
finds the driver qualified under the limited exemption in Sec.391.64, 
such fact shall be noted on the Medical Examiner's Certificate.
    (f) The medical examination shall be performed, and its results 
shall be recorded, substantially in accordance with the following 
instructions and examination form. Existing forms may be used until 
current printed supplies are depleted or until September 30, 2004, 
whichever occurs first.

     Instructions for Performing and Recording Physical Examinations

    The medical examiner must be familiar with 49 CFR 391.41, Physical 
qualifications

[[Page 400]]

for drivers, and should review these instructions before performing the 
physical examination. Answer each question ``yes'' or ``no'' and record 
numerical readings where indicated on the physical examination form.
    The medical examiner must be aware of the rigorous physical, mental, 
and emotional demands placed on the driver of a commercial motor 
vehicle. In the interest of public safety, the medical examiner is 
required to certify that the driver does not have any physical, mental, 
or organic condition that might affect the driver's ability to operate a 
commercial motor vehicle safely.
    General information. The purpose of this history and physical 
examination is to detect the presence of physical, mental, or organic 
conditions of such a character and extent as to affect the driver's 
ability to operate a commercial motor vehicle safely. The examination 
should be conducted carefully and should at least include all of the 
information requested in the following form. History of certain 
conditions may be cause for rejection. Indicate the need for further 
testing and/or require evaluation by a specialist. Conditions may be 
recorded which do not, because of their character or degree, indicate 
that certification of physical fitness should be denied. However, these 
conditions should be discussed with the driver and he/she should be 
advised to take the necessary steps to insure correction, particularly 
of those conditions which, if neglected, might affect the driver's 
ability to drive safely.
    General appearance and development. Note marked overweight. Note any 
postural defect, perceptible limp, tremor, or other conditions that 
might be caused by alcoholism, thyroid intoxication or other illnesses.
    Head-eyes. When other than the Snellen chart is used, the results of 
such test must be expressed in values comparable to the standard Snellen 
test. If the driver wears corrective lenses for driving, these should be 
worn while driver's visual acuity is being tested. If contact lenses are 
worn, there should be sufficient evidence of good tolerance of and 
adaptation to their use. Indicate the driver's need to wear corrective 
lenses to meet the vision standard on the Medical Examiner's Certificate 
by checking the box, ``Qualified only when wearing corrective lenses.'' 
In recording distance vision use 20 feet as normal. Report all vision as 
a fraction with 20 as the numerator and the smallest type read at 20 
feet as the denominator. Monocular drivers are not qualified to operate 
commercial motor vehicles in interstate commerce.
    Ears. Note evidence of any ear disease, symptoms of aural vertigo, 
or Meniere's Syndrome. When recording hearing, record distance from 
patient at which a forced whispered voice can first be heard. For the 
whispered voice test, the individual should be stationed at least 5 feet 
from the examiner with the ear being tested turned toward the examiner. 
The other ear is covered. Using the breath which remains after a normal 
expiration, the examiner whispers words or random numbers such as 66, 
18, 23, etc. The examiner should not use only sibilants (s-sounding test 
materials). The opposite ear should be tested in the same manner. If the 
individual fails the whispered voice test, the audiometric test should 
be administered. For the audiometric test, record decibel loss at 500 
Hz, 1,000 Hz, and 2,000 Hz. Average the decibel loss at 500 Hz, 1,000 Hz 
and 2,000 Hz and record as described on the form. If the individual 
fails the audiometric test and the whispered voice test has not been 
administered, the whispered voice test should be performed to determine 
if the standard applicable to that test can be met.
    Throat. Note any irremediable deformities likely to interfere with 
breathing or swallowing.
    Heart. Note murmurs and arrhythmias, and any history of an enlarged 
heart, congestive heart failure, or cardiovascular disease that is 
accompanied by syncope, dyspnea, or collapse. Indicate onset date, 
diagnosis, medication, and any current limitation. An electrocardiogram 
is required when findings so indicate.
    Blood pressure (BP). If a driver has hypertension and/or is being 
medicated for hypertension, he or she should be recertified more 
frequently. An individual diagnosed with Stage 1 hypertension (BP is 
140/90-159/99) may be certified for one year. At recertification, an 
individual with a BP equal to or less than 140/90 may be certified for 
one year; however, if his or her BP is greater than 140/90 but less than 
160/100, a one-time certificate for 3 months can be issued. An 
individual diagnosed with Stage 2 (BP is 160/100-179/109) should be 
treated and a one-time certificate for 3-month certification can be 
issued. Once the driver has reduced his or her BP to equal to or less 
than 140/90, he or she may be recertified annually thereafter. An 
individual diagnosed with Stage 3 hypertension (BP equal to or greater 
than 180/110) should not be certified until his or her BP is reduced to 
140/90 or less, and may be recertified every 6 months.
    Lungs. Note abnormal chest wall expansion, respiratory rate, breath 
sounds including wheezes or alveolar rales, impaired respiratory 
function, dyspnea, or cyanosis. Abnormal finds on physical exam may 
require further testing such as pulmonary tests and/or x-ray of chest.
    Abdomen and Viscera. Note enlarged liver, enlarged spleen, abnormal 
masses, bruits, hernia, and significant abdominal wall muscle weakness 
and tenderness. If the diagnosis suggests that the condition might 
interfere with the control and safe operation of a commercial motor 
vehicle, further testing and evaluation is required.

[[Page 401]]

    Genital-urinary and rectal examination. A urinalysis is required. 
Protein, blood or sugar in the urine may be an indication for further 
testing to rule out any underlying medical problems. Note hernias. A 
condition causing discomfort should be evaluated to determine the extent 
to which the condition might interfere with the control and safe 
operation of a commercial motor vehicle.
    Neurological. Note impaired equilibrium, coordination, or speech 
pattern; paresthesia; asymmetric deep tendon reflexes; sensory or 
positional abnormalities; abnormal patellar and Babinski's reflexes; 
ataxia. Abnormal neurological responses may be an indication for further 
testing to rule out an underlying medical condition. Any neurological 
condition should be evaluated for the nature and severity of the 
condition, the degree of limitation present, the likelihood of 
progressive limitation, and the potential for sudden incapacitation. In 
instances where the medical examiner has determined that more frequent 
monitoring of a condition is appropriate, a certificate for a shorter 
period should be issued.
    Spine, musculoskeletal. Previous surgery, deformities, limitation of 
motion, and tenderness should be noted. Findings may indicate additional 
testing and evaluation should be conducted.
    Extremities. Carefully examine upper and lower extremities and note 
any loss or impairment of leg, foot, toe, arm, hand, or finger. Note any 
deformities, atrophy, paralysis, partial paralysis, clubbing, edema, or 
hypotonia. If a hand or finger deformity exists, determine whether 
prehension and power grasp are sufficient to enable the driver to 
maintain steering wheel grip and to control other vehicle equipment 
during routine and emergency driving operations. If a foot or leg 
deformity exists, determine whether sufficient mobility and strength 
exist to enable the driver to operate pedals properly. In the case of 
any loss or impairment to an extremity which may interfere with the 
driver's ability to operate a commercial motor vehicle safely, the 
medical examiner should state on the medical certificate ``medically 
unqualified unless accompanied by a Skill Performance Evaluation 
Certificate.'' The driver must then apply to the Field Service Center of 
the FMCSA, for the State in which the driver has legal residence, for a 
Skill Performance Evaluation Certificate under Sec.391.49.
    Laboratory and other testing. Other test(s) may be indicated based 
upon the medical history or findings of the physical examination.
    Diabetes. If insulin is necessary to control a diabetic driver's 
condition, the driver is not qualified to operate a commercial motor 
vehicle in interstate commerce. If mild diabetes is present and it is 
controlled by use of an oral hypoglycemic drug and/or diet and exercise, 
it should not be considered disqualifying. However, the driver must 
remain under adequate medical supervision.
    Upon completion of the examination, the medical examiner must date 
and sign the form, provide his/her full name, office address and 
telephone number. The completed medical examination form shall be 
retained on file at the office of the medical examiner.

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[GRAPHIC] [TIFF OMITTED] TR22FE12.000


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[GRAPHIC] [TIFF OMITTED] TR22FE12.001


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[GRAPHIC] [TIFF OMITTED] TR22FE12.002


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[GRAPHIC] [TIFF OMITTED] TR22FE12.003


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[GRAPHIC] [TIFF OMITTED] TR22FE12.004


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[GRAPHIC] [TIFF OMITTED] TR22FE12.005


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[GRAPHIC] [TIFF OMITTED] TR22FE12.006


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[GRAPHIC] [TIFF OMITTED] TR22FE12.007

    (g) Upon completion of the medical examination required by this 
subpart:
    (1) The medical examiner must date and sign the Medical Examination 
Report and provide his or her full name, office address, and telephone 
number on the Report.

[[Page 410]]

    (2) If the medical examiner finds that the person examined is 
physically qualified to operate a commercial motor vehicle in accordance 
with Sec.391.41(b), he or she must complete a certificate in the form 
prescribed in paragraph (h) of this section and furnish the original to 
the person who was examined. The examiner must provide a copy to a 
prospective or current employing motor carrier who requests it.
    (3) Once every calendar month, beginning May 21, 2014, the medical 
examiner must electronically transmit to the Director, Office of 
Carrier, Driver and Vehicle Safety Standards, via a secure FMCSA-
designated Web site, a completed Form MCSA-5850, Medical Examiner 
Submission of CMV Driver Medical Examination Results. The Form must 
include all information specified for each medical examination conducted 
during the previous month for any driver who is required to be examined 
by a medical examiner listed on the National Registry of Certified 
Medical Examiners.
    (h) The medical examiner's certificate shall be substantially in 
accordance with the following form.

[[Page 411]]

[GRAPHIC] [TIFF OMITTED] TR20AP12.000

    (i) Each original (paper or electronic) completed Medical 
Examination Report and a copy or electronic version of each medical 
examiner's certificate must be retained on file at the office of the 
medical examiner for at least 3 years from the date of examination. The 
medical examiner must make all records and information in these files 
available to an authorized representative of FMCSA or an authorized 
Federal, State, or local enforcement agency representative, within 48 
hours after the request is made.

[[Page 412]]


[35 FR 6460, Apr. 22, 1970]

    Editorial Note: For Federal Register citations affecting Sec.
391.43, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and at www.fdsys.gov.



Sec.391.45  Persons who must be medically examined and certified.

    Except as provided in Sec.391.67, the following persons must be 
medically examined and certified in accordance with Sec.391.43 as 
physically qualified to operate a commercial motor vehicle:
    (a) Any person who has not been medically examined and certified as 
physically qualified to operate a commercial motor vehicle;
    (b)(1) Any driver who has not been medically examined and certified 
as qualified to operate a commercial motor vehicle during the preceding 
24 months; or
    (2) Any driver authorized to operate a commercial motor vehicle only 
with an exempt intracity zone pursuant to Sec.391.62, or only by 
operation of the exemption in Sec.391.64, if such driver has not been 
medically examined and certified as qualified to drive in such zone 
during the preceding 12 months; and
    (c) Any driver whose ability to perform his/her normal duties has 
been impaired by a physical or mental injury or disease.

[35 FR 6460, Apr. 22, 1970, as amended at 36 FR 223, Jan. 7, 1971; 54 FR 
12202, Mar. 24, 1989; 61 FR 13347, Mar. 26, 1996]



Sec.391.47  Resolution of conflicts of medical evaluation.

    (a) Applications. Applications for determination of a driver's 
medical qualifications under standards in this part will only be 
accepted if they conform to the requirements of this section.
    (b) Content. Applications will be accepted for consideration only if 
the following conditions are met.
    (1) The application must contain the name and address of the driver, 
motor carrier, and all physicians involved in the proceeding.
    (2) The applicant must submit proof that there is a disagreement 
between the physician for the driver and the physician for the motor 
carrier concerning the driver's qualifications.
    (3) The applicant must submit a copy of an opinion and report 
including results of all tests of an impartial medical specialist in the 
field in which the medical conflict arose. The specialist should be one 
agreed to by the motor carrier and the driver.
    (i) In cases where the driver refuses to agree on a specialist and 
the applicant is the motor carrier, the applicant must submit a 
statement of his/her agreement to submit the matter to an impartial 
medical specialist in the field, proof that he/she has requested the 
driver to submit to the medical specialist, and the response, if any, of 
the driver to his/her request.
    (ii) In cases where the motor carrier refuses to agree on a medical 
specialist, the driver must submit an opinion and test results of an 
impartial medical specialist, proof that he/she has requested the motor 
carrier to agree to submit the matter to the medical specialist and the 
response, if any, of the motor carrier to his/her request.
    (4) The applicant must include a statement explaining in detail why 
the decision of the medical specialist identified in paragraph (b)(3) of 
this section, is unacceptable.
    (5) The applicant must submit proof that the medical specialist 
mentioned in paragraph (b)(3) of this section was provided, prior to 
his/her determination, the medical history of the driver and an agreed-
upon statement of the work the driver performs.
    (6) The applicant must submit the medical history and statement of 
work provided to the medical specialist under paragraph (b)(5) of this 
section.
    (7) The applicant must submit all medical records and statements of 
the physicians who have given opinions on the driver's qualifications.
    (8) The applicant must submit a description and a copy of all 
written and documentary evidence upon which the party making application 
relies in the form set out in 49 CFR 386.37.
    (9) The application must be accompanied by a statement of the driver 
that he/she intends to drive in interstate commerce not subject to the

[[Page 413]]

commercial zone exemption or a statement of the carrier that he/she has 
used or intends to use the driver for such work.
    (10) The applicant must submit three copies of the application and 
all records.
    (c) Information. The Director, Office of Carrier, Driver and Vehicle 
Safety Standards (MC-PS) may request further information from the 
applicant if he/she determines that a decision cannot be made on the 
evidence submitted. If the applicant fails to submit the information 
requested, the Director may refuse to issue a determination.
    (d)(1) Action. Upon receiving a satisfactory application the 
Director, Office of Carrier, Driver and Vehicle Safety Standards (MC-PS) 
shall notify the parties (the driver, motor carrier, or any other 
interested party) that the application has been accepted and that a 
determination will be made. A copy of all evidence received shall be 
attached to the notice.
    (2) Reply. Any party may submit a reply to the notification within 
15 days after service. Such reply must be accompanied by all evidence 
the party wants the Director,Office of Carrier, Driver and Vehicle 
Safety Standards (MC-PS) to consider in making his/her determination. 
Evidence submitted should include all medical records and test results 
upon which the party relies.
    (3) Parties. A party for the purposes of this section includes the 
motor carrier and the driver, or anyone else submitting an application.
    (e) Petitions to review, burden of proof. The driver or motor 
carrier may petition to review the Director's determination. Such 
petition must be submitted in accordance with Sec.386.13(a) of this 
chapter. The burden of proof in such a proceeding is on the petitioner.
    (f) Status of driver. Once an application is submitted to the 
Director, Office of Carrier, Driver and Vehicle Safety Standards (MC-
PS), the driver shall be deemed disqualified until such time as the 
Director, Office of Carrier, Driver and Vehicle Safety Standards (MC-PS) 
makes a determination, or until the Director, Office of Carrier, Driver 
and Vehicle Safety Standards (MC-PS) orders otherwise.

(49 U.S.C. 304, 322; 18 U.S.C. 831-835; Pub. L. 93-633, 88 Stat. 8156 
(49 U.S.C. 1801, et seq.); 49 CFR 1.48, 301.60)

[42 FR 18081, Apr. 5, 1977, as amended at 42 FR 53966, Oct. 4, 1977; 60 
FR 38746, July 28, 1995; 78 FR 58483, Sept. 24, 2013]



Sec.391.49  Alternative physical qualification standards for the loss 
or impairment of limbs.

    (a) A person who is not physically qualified to drive under Sec.
391.41(b)(1) or (b)(2) and who is otherwise qualified to drive a 
commercial motor vehicle, may drive a commercial motor vehicle, if the 
Division Administrator, FMCSA, has granted a Skill Performance 
Evaluation (SPE) Certificate to that person.
    (b) SPE certificate--(1) Application. A letter of application for an 
SPE certificate may be submitted jointly by the person (driver 
applicant) who seeks an SPE certificate and by the motor carrier that 
will employ the driver applicant, if the application is accepted.
    (2) Application address. The application must be addressed to the 
applicable field service center, FMCSA, for the State in which the co-
applicant motor carrier's principal place of business is located. The 
address of each, and the States serviced, are listed in Sec.390.27 of 
this chapter.
    (3) Exception. A letter of application for an SPE certificate may be 
submitted unilaterally by a driver applicant. The application must be 
addressed to the field service center, FMCSA, for the State in which the 
driver has legal residence. The driver applicant must comply with all 
the requirements of paragraph (c) of this section except those in 
(c)(1)(i) and (iii). The driver applicant shall respond to the 
requirements of paragraphs (c)(2)(i) to (v) of this section, if the 
information is known.
    (c) A letter of application for an SPE certificate shall contain:
    (1) Identification of the applicant(s):
    (i) Name and complete address of the motor carrier coapplicant;
    (ii) Name and complete address of the driver applicant;
    (iii) The U.S. DOT Motor Carrier Identification Number, if known; 
and

[[Page 414]]

    (iv) A description of the driver applicant's limb impairment for 
which SPE certificate is requested.
    (2) Description of the type of operation the driver will be employed 
to perform:
    (i) State(s) in which the driver will operate for the motor carrier 
coapplicant (if more than 10 States, designate general geographic area 
only);
    (ii) Average period of time the driver will be driving and/or on 
duty, per day;
    (iii) Type of commodities or cargo to be transported;
    (iv) Type of driver operation (i.e., sleeper team, relay, owner 
operator, etc.); and
    (v) Number of years experience operating the type of commercial 
motor vehicle(s) requested in the letter of application and total years 
of experience operating all types of commercial motor vehicles.
    (3) Description of the commercial motor vehicle(s) the driver 
applicant intends to drive:
    (i) Truck, truck tractor, or bus make, model, and year (if known);
    (ii) Drive train;
    (A) Transmission type (automatic or manual--if manual, designate 
number of forward speeds);
    (B) Auxiliary transmission (if any) and number of forward speeds; 
and
    (C) Rear axle (designate single speed, 2 speed, or 3 speed).
    (iii) Type of brake system;
    (iv) Steering, manual or power assisted;
    (v) Description of type of trailer(s) (i.e., van, flatbed, cargo 
tank, drop frame, lowboy, or pole);
    (vi) Number of semitrailers or full trailers to be towed at one 
time;
    (vii) For commercial motor vehicles designed to transport 
passengers, indicate the seating capacity of commercial motor vehicle; 
and
    (viii) Description of any modification(s) made to the commercial 
motor vehicle for the driver applicant; attach photograph(s) where 
applicable.
    (4) Otherwise qualified:
    (i) The coapplicant motor carrier must certify that the driver 
applicant is otherwise qualified under the regulations of this part;
    (ii) In the case of a unilateral application, the driver applicant 
must certify that he/she is otherwise qualified under the regulations of 
this part.
    (5) Signature of applicant(s):
    (i) Driver applicant's signature and date signed;
    (ii) Motor carrier official's signature (if application has a 
coapplicant), title, and date signed. Depending upon the motor carrier's 
organizational structure (corporation, partnership, or proprietorship), 
the signer of the application shall be an officer, partner, or the 
proprietor.
    (d) The letter of application for an SPE certificate shall be 
accompanied by:
    (1) A copy of the results of the medical examination performed 
pursuant to Sec.391.43;
    (2) A copy of the medical certificate completed pursuant to Sec.
391.43(h);
    (3) A medical evaluation summary completed by either a board 
qualified or board certified physiatrist (doctor of physical medicine) 
or orthopedic surgeon. The coapplicant motor carrier or the driver 
applicant shall provide the physiatrist or orthopedic surgeon with a 
description of the job-related tasks the driver applicant will be 
required to perform;
    (i) The medical evaluation summary for a driver applicant 
disqualified under Sec.391.41(b)(1) shall include:
    (A) An assessment of the functional capabilities of the driver as 
they relate to the ability of the driver to perform normal tasks 
associated with operating a commercial motor vehicle; and
    (B) A statement by the examiner that the applicant is capable of 
demonstrating precision prehension (e.g., manipulating knobs and 
switches) and power grasp prehension (e.g., holding and maneuvering the 
steering wheel) with each upper limb separately. This requirement does 
not apply to an individual who was granted a waiver, absent a prosthetic 
device, prior to the publication of this amendment.
    (ii) The medical evaluation summary for a driver applicant 
disqualified under Sec.391.41(b)(2) shall include:
    (A) An explanation as to how and why the impairment interferes with 
the ability of the applicant to perform normal tasks associated with 
operating a commercial motor vehicle;

[[Page 415]]

    (B) An assessment and medical opinion of whether the condition will 
likely remain medically stable over the lifetime of the driver 
applicant; and
    (C) A statement by the examiner that the applicant is capable of 
demonstrating precision prehension (e.g., manipulating knobs and 
switches) and power grasp prehension (e.g., holding and maneuvering the 
steering wheel) with each upper limb separately. This requirement does 
not apply to an individual who was granted an SPE certificate, absent an 
orthotic device, prior to the publication of this amendment.
    (4) A description of the driver applicant's prosthetic or orthotic 
device worn, if any;
    (5) Road test:
    (i) A copy of the driver applicant's road test administered by the 
motor carrier coapplicant and the certificate issued pursuant to Sec.
391.31(b) through (g); or
    (ii) A unilateral applicant shall be responsible for having a road 
test administered by a motor carrier or a person who is competent to 
administer the test and evaluate its results.
    (6) Application for employment:
    (i) A copy of the driver applicant's application for employment 
completed pursuant to Sec.391.21; or
    (ii) A unilateral applicant shall be responsible for submitting a 
copy of the last commercial driving position's employment application 
he/she held. If not previously employed as a commercial driver, so 
state.
    (7) A copy of the driver applicant's SPE certificate of certain 
physical defects issued by the individual State(s), where applicable; 
and
    (8) A copy of the driver applicant's State Motor Vehicle Driving 
Record for the past 3 years from each State in which a motor vehicle 
driver's license or permit has been obtained.
    (e) Agreement. A motor carrier that employs a driver with an SPE 
certificate agrees to:
    (1) File promptly (within 30 days of the involved incident) with the 
Medical Program Specialist, FMCSA service center, such documents and 
information as may be required about driving activities, accidents, 
arrests, license suspensions, revocations, or withdrawals, and 
convictions which involve the driver applicant. This applies whether the 
driver's SPE certificate is a unilateral one or has a coapplicant motor 
carrier;
    (i) A motor carrier who is a coapplicant must file the required 
documents with the Medical Program Specialist, FMCSA for the State in 
which the carrier's principal place of business is located; or
    (ii) A motor carrier who employs a driver who has been issued a 
unilateral SPE certificate must file the required documents with the 
Medical Program Specialist, FMCSA service center, for the State in which 
the driver has legal residence.
    (2) Evaluate the driver with a road test using the trailer the motor 
carrier intends the driver to transport or, in lieu of, accept a 
certificate of a trailer road test from another motor carrier if the 
trailer type(s) is similar, or accept the trailer road test done during 
the Skill Performance Evaluation if it is a similar trailer type(s) to 
that of the prospective motor carrier. Job tasks, as stated in paragraph 
(e)(3) of this section, are not evaluated in the Skill Performance 
Evaluation;
    (3) Evaluate the driver for those nondriving safety related job 
tasks associated with whatever type of trailer(s) will be used and any 
other nondriving safety related or job related tasks unique to the 
operations of the employing motor carrier; and
    (4) Use the driver to operate the type of commercial motor vehicle 
defined in the SPE certificate only when the driver is in compliance 
with the conditions and limitations of the SPE certificate.
    (f) The driver shall supply each employing motor carrier with a copy 
of the SPE certificate.
    (g) The Division Administrator/State Director, FMCSA, may require 
the driver applicant to demonstrate his or her ability to safely operate 
the commercial motor vehicle(s) the driver intends to drive to an agent 
of the Division Administrator/State Director, FMCSA. The SPE certificate 
form will identify the power unit (bus, truck, truck tractor) for which 
the SPE certificate has been granted. The SPE certificate forms will 
also identify the

[[Page 416]]

trailer type used in the Skill Performance Evaluation; however, the SPE 
certificate is not limited to that specific trailer type. A driver may 
use the SPE certificate with other trailer types if a successful trailer 
road test is completed in accordance with paragraph (e)(2) of this 
section. Job tasks, as stated in paragraph (e)(3) of this section, are 
not evaluated during the Skill Performance Evaluation.
    (h) The Division Administrator/State Director, FMCSA, may deny the 
application for SPE certificate or may grant it totally or in part and 
issue the SPE certificate subject to such terms, conditions, and 
limitations as deemed consistent with the public interest. The SPE 
certificate is valid for a period not to exceed 2 years from date of 
issue, and may be renewed 30 days prior to the expiration date.
    (i) The SPE certificate renewal application shall be submitted to 
the Medical Program Specialist, FMCSA service center, for the State in 
which the driver has legal residence, if the SPE certificate was issued 
unilaterally. If the SPE certificate has a coapplicant, then the renewal 
application is submitted to the Medical Program Specialist, FMCSA field 
service center, for the State in which the coapplicant motor carrier's 
principal place of business is located. The SPE certificate renewal 
application shall contain the following:
    (1) Name and complete address of motor carrier currently employing 
the applicant;
    (2) Name and complete address of the driver;
    (3) Effective date of the current SPE certificate;
    (4) Expiration date of the current SPE certificate;
    (5) Total miles driven under the current SPE certificate;
    (6) Number of accidents incurred while driving under the current SPE 
certificate, including date of the accident(s), number of fatalities, 
number of injuries, and the estimated dollar amount of property damage;
    (7) A current medical examination report;
    (8) A medical evaluation summary pursuant to paragraph (d)(3) of 
this section, if an unstable medical condition exists. All handicapped 
conditions classified under Sec.391.41(b)(1) are considered unstable. 
Refer to paragraph (d)(3)(ii) of this section for the condition under 
Sec.391.41(b)(2) which may be considered medically stable.
    (9) A copy of driver's current State motor vehicle driving record 
for the period of time the current SPE certificate has been in effect;
    (10) Notification of any change in the type of tractor the driver 
will operate;
    (11) Driver's signature and date signed; and
    (12) Motor carrier coapplicant's signature and date signed.
    (j)(1) Upon granting an SPE certificate, the Division Administrator/
State Director, FMCSA, will notify the driver applicant and co-applicant 
motor carrier (if applicable) by letter. The terms, conditions, and 
limitations of the SPE certificate will be set forth. A motor carrier 
shall maintain a copy of the SPE certificate in its driver qualification 
file. A copy of the SPE certificate shall be retained in the motor 
carrier's file for a period of 3 years after the driver's employment is 
terminated. The driver applicant shall have the SPE certificate (or a 
legible copy) in his/her possession whenever on duty.
    (2) Upon successful completion of the skill performance evaluation, 
the Division Administrator/State Director, FMCSA, for the State where 
the driver applicant has legal residence, must notify the driver by 
letter and enclose an SPE certificate substantially in the following 
form:

                Skill Performance Evaluation Certificate

Name of Issuing Agency:_________________________________________________
Agency Address:_________________________________________________________
Telephone Number: ( )___________________________________________________

 Issued Under 49 CFR 391.49, subchapter B of the Federal Motor Carrier 
                           Safety Regulations

Driver's Name:__________________________________________________________
Effective Date:_________________________________________________________
SSN:____________________________________________________________________
DOB:____________________________________________________________________
Expiration Date:________________________________________________________
Address:________________________________________________________________
________________________________________________________________________
________________________________________________________________________
Driver Disability:______________________________________________________
Check One:--New--Renewal
Driver's License:----------_____________________________________________
 (State) (Number)

[[Page 417]]

    In accordance with 49 CFR 391.49, subchapter B of the Federal Motor 
Carrier Safety Regulations (FMCSRs), the driver application for a skill 
performance evaluation (SPE) certificate is hereby granted authorizing 
the above-named driver to operate in interstate or foreign commerce 
under the provisions set forth below. This certificate is granted for 
the period shown above, not to exceed 2 years, subject to periodic 
review as may be found necessary. This certificate may be renewed upon 
submission of a renewal application. Continuation of this certificate is 
dependent upon strict adherence by the above-named driver to the 
provisions set forth below and compliance with the FMCSRs. Any failure 
to comply with provisions herein may be cause for cancellation.
    CONDITIONS: As a condition of this certificate, reports of all 
accidents, arrests, suspensions, revocations, withdrawals of driver 
licenses or permits, and convictions involving the above-named driver 
shall be reported in writing to the Issuing Agency by the EMPLOYING 
MOTOR CARRIER within 30 days after occurrence.
    LIMITATIONS:
1. Vehicle Type (power unit):*__________________________________________
2. Vehicle modification(s):_____________________________________________
________________________________________________________________________
3. Prosthetic or Orthotic device(s) (Required to be Worn While Driving):

________________________________________________________________________
4. Additional Provision(s):_____________________________________________

________________________________________________________________________
    NOTICE: To all MOTOR CARRIERS employing a driver with an SPE 
certificate. This certificate is granted for the operation of the power 
unit only. It is the responsibility of the employing motor carrier to 
evaluate the driver with a road test using the trailer type(s) the motor 
carrier intends the driver to transport, or in lieu of, accept the 
trailer road test done during the SPE if it is a similar trailer type(s) 
to that of the prospective motor carrier. Also, it is the responsibility 
of the employing motor carrier to evaluate the driver for those non-
driving safety-related job tasks associated with the type of trailer(s) 
utilized, as well as, any other non-driving safety-related or job-
related tasks unique to the operations of the employing motor carrier.
    The SPE of the above named driver was given by a Skill Performance 
Evaluation Program Specialist. It was successfully completed utilizing 
the above named power unit and ---------------- (trailer, if applicable)
    The tractor or truck had a ---------------- transmission.
    Please read the NOTICE paragraph above.
Name:___________________________________________________________________
Signature:______________________________________________________________
Title:__________________________________________________________________
Date:___________________________________________________________________

    (k) The Division Administrator/State Director, FMCSA, may revoke an 
SPE certificate after the person to whom it was issued is given notice 
of the proposed revocation and has been allowed a reasonable opportunity 
to appeal.
    (l) Falsifying information in the letter of application, the renewal 
application, or falsifying information required by this section by 
either the applicant or motor carrier is prohibited.

[65 FR 25287, May 1, 2000, as amended at 65 FR 59380, Oct. 5, 2000; 67 
FR 61824, Oct. 2, 2002; 78 FR 58483, Sept. 24, 2013]



                       Subpart F_Files and Records



Sec.391.51  General requirements for driver qualification files.

    (a) Each motor carrier shall maintain a driver qualification file 
for each driver it employs. A driver's qualification file may be 
combined with his/her personnel file.
    (b) The qualification file for a driver must include:
    (1) The driver's application for employment completed in accordance 
with Sec.391.21;
    (2) A copy of the motor vehicle record received from each State 
record pursuant to Sec.391.23(a)(1);
    (3) The certificate of driver's road test issued to the driver 
pursuant to Sec.391.31(e), or a copy of the license or certificate 
which the motor carrier accepted as equivalent to the driver's road test 
pursuant to Sec.391.33;
    (4) The motor vehicle record received from each State driver 
licensing agency to the annual driver record inquiry required by Sec.
391.25(a);
    (5) A note relating to the annual review of the driver's driving 
record as required by Sec.391.25(c)(2);
    (6) A list or certificate relating to violations of motor vehicle 
laws and ordinances required by Sec.391.27;
    (7)(i) The medical examiner's certificate as required by Sec.
391.43(g) or a legible copy of the certificate.
    (ii) Exception. For CDL holders, beginning January 30, 2012, if the 
CDLIS motor vehicle record contains medical certification status 
information, the motor carrier employer must meet this requirement by 
obtaining the CDLIS motor vehicle record defined at Sec.384.105 of 
this chapter. That record must be

[[Page 418]]

obtained from the current licensing State and placed in the driver 
qualification file. After January 30, 2014, a non-excepted, interstate 
CDL holder without medical certification status information on the CDLIS 
motor vehicle record is designated ``not-certified'' to operate a CMV in 
interstate commerce. After January 30, 2014, a motor carrier may use a 
copy of the driver's current medical examiner's certificate that was 
submitted to the State for up to 15 days from the date it was issued as 
proof of medical certification.
    (iii) If that driver obtained the medical certification based on 
having obtained a medical variance from FMCSA, the motor carrier must 
also include a copy of the medical variance documentation in the driver 
qualification file in accordance with Sec.391.51(b)(8);
    (8) A Skill Performance Evaluation Certificate obtained from a Field 
Administrator, Division Administrator, or State Director issued in 
accordance with Sec.391.49; or the Medical Exemption document, issued 
by a Federal medical program in accordance with part 381 of this 
chapter; and
    (9) A note relating to verification of medical examiner listing on 
the National Registry of Certified Medical Examiners required by Sec.
391.23(m).
    (c) Except as provided in paragraph (d) of this section, each 
driver's qualification file shall be retained for as long as a driver is 
employed by that motor carrier and for three years thereafter.
    (d) The following records may be removed from a driver's 
qualification file three years after the date of execution:
    (1) The motor vehicle record received from each State driver 
licensing agency to the annual driver record inquiry required by Sec.
391.25(a);
    (2) The note relating to the annual review of the driver's driving 
record as required by Sec.391.25(c)(2);
    (3) The list or certificate relating to violations of motor vehicle 
laws and ordinances required by Sec.391.27;
    (4) The medical examiner's certificate required by Sec.391.43(g), 
a legible copy of the certificate, or for CDL drivers any CDLIS MVR 
obtained as required by Sec.391.51(b)(7)(ii);
    (5) Any medical variance issued by FMCSA, including a Skill 
Performance Evaluation Certificate issued in accordance with Sec.
391.49; or the Medical Exemption letter issued by a Federal medical 
program in accordance with part 381 of this chapter; and
    (6) The note relating to verification of medical examiner listing on 
the National Registry of Certified Medical Examiners required by Sec.
391.23(m).

(Approved by the Office of Management and Budget under control number 
2126-004)

[63 FR 33277, June 18, 1998, as amended at 69 FR 16721, Mar. 30, 2004; 
73 FR 73127, Dec. 1, 2008; 75 FR 28502, May 21, 2010; 77 FR 24133, Apr. 
20, 2012]



Sec.391.53  Driver investigation history file.

    (a) After October 29, 2004, each motor carrier must maintain records 
relating to the investigation into the safety performance history of a 
new or prospective driver pursuant to paragraphs (d) and (e) of Sec.
391.23. This file must be maintained in a secure location with 
controlled access.
    (1) The motor carrier must ensure that access to this data is 
limited to those who are involved in the hiring decision or who control 
access to the data. In addition, the motor carrier's insurer may have 
access to the data, except the alcohol and controlled substances data.
    (2) This data must only be used for the hiring decision.
    (b) The file must include:
    (1) A copy of the driver's written authorization for the motor 
carrier to seek information about a driver's alcohol and controlled 
substances history as required under Sec.391.23(d).
    (2) A copy of the response(s) received for investigations required 
by paragraphs (d) and (e) of Sec.391.23 from each previous employer, 
or documentation of good faith efforts to contact them. The record must 
include the previous employer's name and address, the date the previous 
employer was contacted, and the information received about the driver 
from the previous employer. Failures to contact a previous employer, or 
of them to provide the required safety performance history information, 
must be documented.

[[Page 419]]

    (c) The safety performance histories received from previous 
employers for a driver who is hired must be retained for as long as the 
driver is employed by that motor carrier and for three years thereafter.
    (d) A motor carrier must make all records and information in this 
file available to an authorized representative or special agent of the 
Federal Motor Carrier Safety Administration, an authorized State or 
local enforcement agency representative, or an authorized third party, 
upon request or as part of any inquiry within the time period specified 
by the requesting representative.

(Approved by the Office of Management and Budget under control number 
2126-004)

[69 FR 16721, Mar. 30, 2004]



Sec.391.55  LCV Driver-Instructor qualification files.

    (a) Each motor carrier must maintain a qualification file for each 
LCV driver-instructor it employs or uses. The LCV driver-instructor 
qualification file may be combined with his/her personnel file.
    (b) The LCV driver-instructor qualification file must include the 
information in paragraphs (b)(1) and (b)(2) of this section for a skills 
instructor or the information in paragraph (b)(1) of this section for a 
classroom instructor, as follows:
    (1) Evidence that the instructor has met the requirements of 49 CFR 
380.301 or 380.303;
    (2) A photographic copy of the individual's currently valid CDL with 
the appropriate endorsements.

[69 FR 16738, Mar. 30, 2004; 69 FR 28846, May 19, 2004]



                      Subpart G_Limited Exemptions



Sec.391.61  Drivers who were regularly employed before January 1, 1971.

    The provisions of Sec.391.21 (relating to applications for 
employment), Sec.391.23 (relating to investigations and inquiries), 
and Sec.391.33 (relating to road tests) do not apply to a driver who 
has been a single-employer driver (as defined in Sec.390.5 of this 
subchapter) of a motor carrier for a continuous period which began 
before January 1, 1971, as long as he/she continues to be a single-
employer driver of that motor carrier.

[63 FR 33278, June 18, 1998]



Sec.391.62  Limited exemptions for intra-city zone drivers.

    The provisions of Sec. Sec.391.11(b)(1) and 391.41(b)(1) through 
(b)(11) do not apply to a person who:
    (a) Was otherwise qualified to operate and operated a commercial 
motor vehicle in a municipality or exempt intracity zone thereof 
throughout the one-year period ending November 18, 1988;
    (b) Meets all the other requirements of this section;
    (c) Operates wholly within the exempt intracity zone (as defined in 
49 CFR 390.5);
    (d) Does not operate a vehicle used in the transportation of 
hazardous materials in a quantity requiring placarding under regulations 
issued by the Secretary under 49 U.S.C. chapter 51.; and
    (e) Has a medical or physical condition which:
    (1) Would have prevented such person from operating a commercial 
motor vehicle under the Federal Motor Carrier Safety Regulations 
contained in this subchapter;
    (2) Existed on July 1, 1988, or at the time of the first required 
physical examination after that date; and
    (3) The examining physician has determined this condition has not 
substantially worsened since July 1, 1988, or at the time of the first 
required physical examination after that date.

[61 FR 13346, Mar. 26, 1996; 61 FR 17253, Apr. 19, 1996]



Sec.391.63  Multiple-employer drivers.

    (a) If a motor carrier employs a person as a multiple-employer 
driver (as defined in Sec.390.5 of this subchapter), the motor carrier 
shall comply with all requirements of this part, except that the motor 
carrier need not--
    (1) Require the person to furnish an application for employment in 
accordance with Sec.391.21;
    (2) Make the investigations and inquiries specified in Sec.391.23 
with respect to that person;
    (3) Perform the annual driving record inquiry required by Sec.
391.25(a);

[[Page 420]]

    (4) Perform the annual review of the person's driving record 
required by Sec.391.25(b); or
    (5) Require the person to furnish a record of violations or a 
certificate in accordance with Sec.391.27.
    (b) Before a motor carrier permits a multiple-employer driver to 
drive a commercial motor vehicle, the motor carrier must obtain his/her 
name, his/her social security number, and the identification number, 
type and issuing State of his/her commercial motor vehicle operator's 
license. The motor carrier must maintain this information for three 
years after employment of the multiple-employer driver ceases.

(Approved by the Office of Management and Budget under control number 
2125-0081)

[63 FR 33278, June 18, 1998]



Sec.391.64  Grandfathering for certain drivers participating in 
vision and diabetes waiver study programs.

    (a) The provisions of Sec.391.41(b)(3) do not apply to a driver 
who was a participant in good standing on March 31, 1996, in a waiver 
study program concerning the operation of commercial motor vehicles by 
insulin-controlled diabetic drivers; provided:
    (1) The driver is physically examined every year, including an 
examination by a board-certified/eligible endocrinologist attesting to 
the fact that the driver is:
    (i) Otherwise qualified under Sec.391.41;
    (ii) Free of insulin reactions (an individual is free of insulin 
reactions if that individual does not have severe hypoglycemia or 
hypoglycemia unawareness, and has less than one documented, symptomatic 
hypoglycemic reaction per month);
    (iii) Able to and has demonstrated willingness to properly monitor 
and manage his/her diabetes; and
    (iv) Not likely to suffer any diminution in driving ability due to 
his/her diabetic condition.
    (2) The driver agrees to and complies with the following conditions:
    (i) A source of rapidly absorbable glucose shall be carried at all 
times while driving;
    (ii) Blood glucose levels shall be self-monitored one hour prior to 
driving and at least once every four hours while driving or on duty 
prior to driving using a portable glucose monitoring device equipped 
with a computerized memory;
    (iii) Submit blood glucose logs to the endocrinologist or medical 
examiner at the annual examination or when otherwise directed by an 
authorized agent of the FMCSA;
    (iv) Provide a copy of the endocrinologist's report to the medical 
examiner at the time of the annual medical examination; and
    (v) Provide a copy of the annual medical certification to the 
employer for retention in the driver's qualification file and retain a 
copy of the certification on his/her person while driving for 
presentation to a duly authorized Federal, State or local enforcement 
official.
    (b) The provisions of Sec.391.41(b)(10) do not apply to a driver 
who was a participant in good standing on March 31, 1996, in a waiver 
study program concerning the operation of commercial motor vehicles by 
drivers with visual impairment in one eye; provided:
    (1) The driver is physically examined every year, including an 
examination by an ophthalmologist or optometrist attesting to the fact 
that the driver:
    (i) Is otherwise qualified under Sec.391.41; and
    (ii) Continues to measure at least 20/40 (Snellen) in the better 
eye.
    (2) The driver provides a copy of the ophthalmologist or optometrist 
report to the medical examiner at the time of the annual medical 
examination.
    (3) The driver provides a copy of the annual medical certification 
to the employer for retention in the driver's qualification file and 
retains a copy of the certification on his/her person while driving for 
presentation to a duly authorized federal, state or local enforcement 
official.

[61 FR 13346, Mar. 26, 1996]



Sec.391.65  Drivers furnished by other motor carriers.

    (a) A motor carrier may employ a driver who is not a single-employer 
driver, as defined in Sec.390.5, of that motor carrier without 
complying with the generally applicable driver qualification file 
requirements in this part, if--

[[Page 421]]

    (1) The driver is a single-employer driver for another motor 
carrier; and
    (2) That other motor carrier certifies that the driver is fully 
qualified to drive a commercial motor vehicle in a written statement 
which--
    (i) Is signed and dated by an officer or authorized employee of the 
motor carrier that employs the single-employer driver;
    (ii) Contains the driver's name and signature;
    (iii) Certifies that the driver has been employed as a single-
employer driver.
    (iv) Certifies that the driver is fully qualified to drive a 
commercial motor vehicle under the rules in part 391 of the Federal 
Motor Carrier Safety Regulations;
    (v) States the expiration date of the driver's medical examiner's 
certificate;
    (vi) Specifies an expiration date for the certificate, which shall 
be not longer than 2 years or, if earlier, the expiration date of the 
driver's current medical examiner's certificate; and
    (vii) Is substantially in accordance with the following form:

--------------------(Name of driver)
--------------------(SS No.)
--------------------(Signature of driver)

    I certify that the above named driver, as defined in Sec.390.5, is 
a single-employer driver driving a commercial motor vehicle operated by 
the below named carrier and is fully qualified under part 391, Federal 
Motor Carrier Safety Regulations. His/her current medical examiner's 
certificate expires on ------(Date).

This certificate expires:
(Date not later than expiration date of medical certificate)
Issued on------(date)
Issued by----------
(Name of carrier)
(Address)
(Signature)
(Title)

    (b) A motor carrier that obtains a certificate in accordance with 
paragraph (a)(2) of this section shall:
    (1) Contact the motor carrier which certified the driver's 
qualifications under this section to verify the validity of the 
certificate. This contact may be made in person, by telephone, or by 
letter.
    (2) Retain a copy of that certificate in its files for three years.
    (c) A motor carrier which certifies a driver's qualifications under 
this section shall be responsible for the accuracy of the certificate. 
The certificate is no longer valid if the driver leaves the employment 
of the motor carrier which issued the certificate or is no longer 
qualified under the rules in this part.

[41 FR 36656, Aug. 31, 1976, as amended at 53 FR 18057, May 19, 1988; 60 
FR 38745, July 28, 1995; 63 FR 33278, June 18, 1998; 67 FR 61824, Oct. 
2, 2002; 78 FR 58483, Sept. 24, 2013]



Sec.391.67  Farm vehicle drivers of articulated commercial motor vehicles.

    The following rules in this part do not apply to a farm vehicle 
driver (as defined in Sec.390.5 of this subchapter) who is 18 years of 
age or older and who drives an articulated commercial motor vehicle:
    (a) Section 391.11(b)(1), (b)(6) and (b)(8) (relating to general 
qualifications of drivers);
    (b) Subpart C (relating to disclosure of, investigation into, and 
inquiries about the background, character, and driving record of 
drivers);
    (c) Subpart D (relating to road tests); and
    (d) Subpart F (relating to maintenance of files and records).

[63 FR 33278, June 18, 1998]



Sec.391.68  Private motor carrier of passengers (nonbusiness).

    The following rules in this part do not apply to a private motor 
carrier of passengers (nonbusiness) and its drivers:
    (a) Section 391.11(b)(1), (b)(6) and (b)(8) (relating to general 
qualifications of drivers);
    (b) Subpart C (relating to disclosure of, investigation into, and 
inquiries about the background, character, and driving record of, 
drivers);
    (c) So much of Sec. Sec.391.41 and 391.45 as require a driver to 
be medically examined and to have a medical examiner's certificate on 
his/her person; and
    (d) Subpart F (relating to maintenance of files and records).

[63 FR 33278, June 18, 1998]

[[Page 422]]



Sec.391.69  Private motor carrier of passengers (business).

    The provisions of Sec.391.21 (relating to applications for 
employment), Sec.391.23 (relating to investigations and inquiries), 
and Sec.391.31 (relating to road tests) do not apply to a driver who 
was a single-employer driver (as defined in Sec.390.5 of this 
subchapter) of a private motor carrier of passengers (business) as of 
July 1, 1994, so long as the driver continues to be a single-employer 
driver of that motor carrier.

[63 FR 33278, June 18, 1998]



Sec.391.71     [Reserved]



PART 392_DRIVING OF COMMERCIAL MOTOR VEHICLES--Table of Contents



                            Subpart A_General

Sec.
392.1 Scope of the rules in this part.
392.2 Applicable operating rules.
392.3 Ill or fatigued operator.
392.4 Drugs and other substances.
392.5 Alcohol prohibition.
392.6 Schedules to conform with speed limits.
392.7 Equipment, inspection and use.
392.8 Emergency equipment, inspection, and use.
392.9 Inspection of cargo, cargo securement devices and systems.
392.9a Operating authority.
392.9b Prohibited transportation.

             Subpart B_Driving of Commercial Motor Vehicles

392.10 Railroad grade crossings; stopping required.
392.11 Railroad grade crossings; slowing down required.
392.12 Highway-rail crossings; safe clearance.
392.13 [Reserved]
392.14 Hazardous conditions; extreme caution.
392.15 [Reserved]
392.16 Use of seat belts.
392.18 [Reserved]

               Subpart C_Stopped Commercial Motor Vehicles

392.20-392.21 [Reserved]
392.22 Emergency signals; stopped commercial motor vehicles.
392.24 Emergency signals; flame-producing.
392.25 Flame producing devices.

              Subpart D_Use of Lighted Lamps and Reflectors

392.30-392.32 [Reserved]
392.33 Obscured lamps or reflective devices/material.

             Subpart E_License Revocation; Duties of Driver

392.40-392.41 [Reserved]

                      Subpart F_Fueling Precautions

392.50 Ignition of fuel; prevention.
392.51 Reserve fuel; materials of trade.
392.52          [Reserved]

                     Subpart G_Prohibited Practices

392.60 Unauthorized persons not to be transported.
392.61 [Reserved]
392.62 Safe operation, buses.
392.63 Towing or pushing loaded buses.
392.64 Riding within closed commercial motor vehicles without proper 
          exits.
392.65 [Reserved]
392.66 Carbon monoxide; use of commercial motor vehicle when detected.
392.67 Heater, flame-producing; on commercial motor vehicle in motion.
392.68-392.69 [Reserved]
392.71 Radar detectors; use and/or possession.

            Subpart H_Limiting the Use of Electronic Devices

392.80 Prohibition against texting.
392.82 Using a hand-held mobile telephone.

    Authority: 49 U.S.C. 504, 13902, 31136, 31151, 31502; and 49 CFR 
1.87.

    Effective Date Notes: 1. At 78 FR 52655, Aug. 23, 2013, the 
authority citation for part 392 was revised, effective Aug. 23, 2015. 
For the convenience of the user, the revised text is set forth as 
follows:
    Authority: 49 U.S.C. 521, 13902, 13908, 31136, 31151, 31502; and 49 
CFR 1.87.
    2. At 78 FR 58923, Sept. 25, 2013, the authority citation for part 
392 was revised, effective Oct. 25, 2013. For the convenience of the 
user, the revised text is set forth as follows:
    Authority: 49 U.S.C. 504, 13902, 31136, 31151, 31502; Section 112 of 
Pub. L. 103-311, 108 Stat. 1673, 1676 (1994), as amended by sec. 32509 
of Pub. L. 112-141, 126 Stat. 405, 805 (2012); and 49 CFR 1.87.

    Source: 33 FR 19732, Dec. 25, 1968, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 392 appear at 66 FR 
49874, Oct. 1, 2001.

[[Page 423]]



                            Subpart A_General



Sec.392.1  Scope of the rules in this part.

    Every motor carrier, its officers, agents, representatives, and 
employees responsible for the management, maintenance, operation, or 
driving of commercial motor vehicles, or the hiring, supervising, 
training, assigning, or dispatching of drivers, shall be instructed in 
and comply with the rules in this part.

[53 FR 18057, May 19, 1988, as amended at 60 FR 38746, July 28, 1995]



Sec.392.2  Applicable operating rules.

    Every commercial motor vehicle must be operated in accordance with 
the laws, ordinances, and regulations of the jurisdiction in which it is 
being operated. However, if a regulation of the Federal Motor Carrier 
Safety Administration imposes a higher standard of care than that law, 
ordinance or regulation, the Federal Motor Carrier Safety Administration 
regulation must be complied with.

[35 FR 7800, May 21, 1970, as amended at 60 FR 38746, July 28, 1995]



Sec.392.3  Ill or fatigued operator.

    No driver shall operate a commercial motor vehicle, and a motor 
carrier shall not require or permit a driver to operate a commercial 
motor vehicle, while the driver's ability or alertness is so impaired, 
or so likely to become impaired, through fatigue, illness, or any other 
cause, as to make it unsafe for him/her to begin or continue to operate 
the commercial motor vehicle. However, in a case of grave emergency 
where the hazard to occupants of the commercial motor vehicle or other 
users of the highway would be increased by compliance with this section, 
the driver may continue to operate the commercial motor vehicle to the 
nearest place at which that hazard is removed.

[35 FR 7800, May 21, 1970, as amended at 60 FR 38746, July 28, 1995]



Sec.392.4  Drugs and other substances.

    (a) No driver shall be on duty and possess, be under the influence 
of, or use, any of the following drugs or other substances:
    (1) Any 21 CFR 1308.11 Schedule I substance;
    (2) An amphetamine or any formulation thereof (including, but not 
limited, to ``pep pills,'' and ``bennies'');
    (3) A narcotic drug or any derivative thereof; or
    (4) Any other substance, to a degree which renders the driver 
incapable of safely operating a motor vehicle.
    (b) No motor carrier shall require or permit a driver to violate 
paragraph (a) of this section.
    (c) Paragraphs (a) (2), (3), and (4) do not apply to the possession 
or use of a substance administered to a driver by or under the 
instructions of a licensed medical practitioner, as defined in Sec.
382.107 of this subchapter, who has advised the driver that the 
substance will not affect the driver's ability to safely operate a motor 
vehicle.
    (d) As used in this section, ``possession'' does not include 
possession of a substance which is manifested and transported as part of 
a shipment.

[61 FR 9567, Mar. 8, 1996, as amended at 62 FR 37153, July 11, 1997]



Sec.392.5  Alcohol prohibition.

    (a) No driver shall--
    (1) Use alcohol, as defined in Sec.382.107 of this subchapter, or 
be under the influence of alcohol, within 4 hours before going on duty 
or operating, or having physical control of, a commercial motor vehicle; 
or
    (2) Use alcohol, be under the influence of alcohol, or have any 
measured alcohol concentration or detected presence of alcohol, while on 
duty, or operating, or in physical control of a commercial motor 
vehicle; or
    (3) Be on duty or operate a commercial motor vehicle while the 
driver possesses wine of not less than one-half of one per centum of 
alcohol by volume, beer as defined in 26 U.S.C. 5052(a), of the Internal 
Revenue Code of 1954, and distilled spirits as defined in section 
5002(a)(8), of such Code. However, this does not apply to possession of 
wine, beer, or distilled spirits which are:
    (i) Manifested and transported as part of a shipment; or
    (ii) Possessed or used by bus passengers.
    (b) No motor carrier shall require or permit a driver to--

[[Page 424]]

    (1) Violate any provision of paragraph (a) of this section; or
    (2) Be on duty or operate a commercial motor vehicle if, by the 
driver's general appearance or conduct or by other substantiating 
evidence, the driver appears to have used alcohol within the preceding 
four hours.
    (c) Any driver who is found to be in violation of the provisons of 
paragraph (a) or (b) of this section shall be placed out-of-service 
immediately for a period of 24 hours.
    (1) The 24-hour out-of-service period will commence upon issuance of 
an out-of-service order.
    (2) No driver shall violate the terms of an out-of-service order 
issued under this section.
    (d) Any driver who is issued an out-of-service order under this 
section shall:
    (1) Report such issuance to his/her employer within 24 hours; and
    (2) Report such issuance to a State official, designated by the 
State which issued his/her driver's license, within 30 days unless the 
driver chooses to request a review of the order. In this case, the 
driver shall report the order to the State official within 30 days of an 
affirmation of the order by either the Division Administrator or State 
Director for the geographical area or the Administrator.
    (e) Any driver who is subject to an out-of-service order under this 
section may petition for review of that order by submitting a petition 
for review in writing within 10 days of the issuance of the order to the 
Division Administrator or State Director for the geographical area in 
which the order was issued. The Division Administrator or State Director 
may affirm or reverse the order. Any driver adversely affected by such 
order of the Regional Director of Motor Carriers may petition the 
Administrator for review in accordance with 49 CFR 386.13.

(49 U.S.C. 304, 1655; 49 CFR 1.48(b) and 301.60)

[47 FR 47837, Oct. 28, 1982, as amended at 52 FR 27201, July 20, 1987; 
59 FR 7515, Feb. 15, 1994; 61 FR 9567, Mar. 8, 1996]



Sec.392.6  Schedules to conform with speed limits.

    No motor carrier shall schedule a run nor permit nor require the 
operation of any commercial motor vehicle between points in such period 
of time as would necessitate the commercial motor vehicle being operated 
at speeds greater than those prescribed by the jurisdictions in or 
through which the commercial motor vehicle is being operated.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38746, July 28, 1995]



Sec.392.7  Equipment, inspection and use.

    (a) No commercial motor vehicle shall be driven unless the driver is 
satisfied that the following parts and accessories are in good working 
order, nor shall any driver fail to use or make use of such parts and 
accessories when and as needed:

Service brakes, including trailer brake connections.
Parking (hand) brake.
Steering mechanism.
Lighting devices and reflectors.
Tires.
Horn.
Windshield wiper or wipers.
Rear-vision mirror or mirrors.
Coupling devices.

    (b) Drivers preparing to transport intermodal equipment must make an 
inspection of the following components, and must be satisfied they are 
in good working order before the equipment is operated over the road. 
Drivers who operate the equipment over the road shall be deemed to have 
confirmed the following components were in good working order when the 
driver accepted the equipment:

--Service brake components that are readily visible to a driver 
performing as thorough a visual inspection as possible without 
physically going under the vehicle, and trailer brake connections
--Lighting devices, lamps, markers, and conspicuity marking material
--Wheels, rims, lugs, tires
--Air line connections, hoses, and couplers
--King pin upper coupling device
--Rails or support frames
--Tie down bolsters
--Locking pins, clevises, clamps, or hooks
--Sliders or sliding frame lock

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38746, July 28, 1995; 
73 FR 76823, Dec. 17, 2008; 74 FR 68708, Dec. 29, 2009]

[[Page 425]]



Sec.392.8  Emergency equipment, inspection and use.

    No commercial motor vehicle shall be driven unless the driver 
thereof is satisfied that the emergency equipment required by Sec.
393.95 of this subchapter is in place and ready for use; nor shall any 
driver fail to use or make use of such equipment when and as needed.

[49 FR 38290, Sept. 28, 1984, as amended at 60 FR 38746, July 28, 1995]



Sec.392.9  Inspection of cargo, cargo securement devices and systems.

    (a) General. A driver may not operate a commercial motor vehicle and 
a motor carrier may not require or permit a driver to operate a 
commercial motor vehicle unless--
    (1) The commercial motor vehicle's cargo is properly distributed and 
adequately secured as specified in Sec. Sec.393.100 through 393.136 of 
this subchapter.
    (2) The commercial motor vehicle's tailgate, tailboard, doors, 
tarpaulins, spare tire and other equipment used in its operation, and 
the means of fastening the commercial motor vehicle's cargo, are 
secured; and
    (3) The commercial motor vehicle's cargo or any other object does 
not obscure the driver's view ahead or to the right or left sides 
(except for drivers of self-steer dollies), interfere with the free 
movement of his/her arms or legs, prevent his/her free and ready access 
to accessories required for emergencies, or prevent the free and ready 
exit of any person from the commercial motor vehicle's cab or driver's 
compartment.
    (b) Drivers of trucks and truck tractors. Except as provided in 
paragraph (b)(4) of this section, the driver of a truck or truck tractor 
must--
    (1) Assure himself/herself that the provisions of paragraph (a) of 
this section have been complied with before he/she drives that 
commercial motor vehicle;
    (2) Inspect the cargo and the devices used to secure the cargo 
within the first 50 miles after beginning a trip and cause any 
adjustments to be made to the cargo or load securement devices as 
necessary, including adding more securement devices, to ensure that 
cargo cannot shift on or within, or fall from the commercial motor 
vehicle; and
    (3) Reexamine the commercial motor vehicle's cargo and its load 
securement devices during the course of transportation and make any 
necessary adjustment to the cargo or load securement devices, including 
adding more securement devices, to ensure that cargo cannot shift on or 
within, or fall from, the commercial motor vehicle. Reexamination and 
any necessary adjustments must be made whenever--
    (i) The driver makes a change of his/her duty status; or
    (ii) The commercial motor vehicle has been driven for 3 hours; or
    (iii) The commercial motor vehicle has been driven for 150 miles, 
whichever occurs first.
    (4) The rules in this paragraph (b) do not apply to the driver of a 
sealed commercial motor vehicle who has been ordered not to open it to 
inspect its cargo or to the driver of a commercial motor vehicle that 
has been loaded in a manner that makes inspection of its cargo 
impracticable.

[67 FR 61224, Sept. 27, 2002, as amended at 72 FR 55703, Oct. 1, 2007]



Sec.392.9a  Operating authority.

    (a) Operating authority required. A motor vehicle providing 
transportation requiring operating authority must not be operated--
    (1) Without the required operating authority or
    (2) Beyond the scope of the operating authority granted.
    (b) Penalties. Every motor carrier providing transportation 
requiring operating authority shall be ordered out of service if it is 
determined that the motor carrier is operating a vehicle in violation of 
paragraph (a) of this section. In addition, the motor carrier may be 
subject to penalties in accordance with 49 U.S.C. 14901.
    (c) Administrative review. Upon issuance of the out-of-service order 
under paragraph (b) of this section, the driver shall comply immediately 
with such order. Opportunity for review shall be provided in accordance 
with 5 U.S.C. 554 not later than 10 days after issuance of such order.

[71 FR 50867, Aug. 28, 2006, as amended at 78 FR 60233, Oct. 1, 2013]

[[Page 426]]



Sec.392.9b  Prohibited transportation.

    (a) USDOT Registration required. A commercial motor vehicle 
providing transportation in interstate commerce must not be operated 
without a USDOT Registration and an active USDOT Number.
    (b) Penalties. If it is determined that the motor carrier 
responsible for the operation of such a vehicle is operating in 
violation of paragraph (a) of this section, it may be subject to 
penalties in accordance with 49 U.S.C. 521.

[78 FR 52655, Aug. 23, 2013]

    Effective Date Note: At 78 FR 52655, Aug. 23, 2013, Sec.392.9b was 
added, effective Aug. 23, 2015.



             Subpart B_Driving of Commercial Motor Vehicles



Sec.392.10  Railroad grade crossings; stopping required.

    (a) Except as provided in paragraph (b) of this section, the driver 
of a commercial motor vehicle specified in paragraphs (a) (1) through 
(6) of this section shall not cross a railroad track or tracks at grade 
unless he/she first: Stops the commercial motor vehicle within 50 feet 
of, and not closer than 15 feet to, the tracks; thereafter listens and 
looks in each direction along the tracks for an approaching train; and 
ascertains that no train is approaching. When it is safe to do so, the 
driver may drive the commercial motor vehicle across the tracks in a 
gear that permits the commercial motor vehicle to complete the crossing 
without a change of gears. The driver must not shift gears while 
crossing the tracks.
    (1) Every bus transporting passengers,
    (2) Every commercial motor vehicle transporting any quantity of a 
Division 2.3 chlorine.
    (3) Every commercial motor vehicle which, in accordance with the 
regulations of the Department of Transportation, is required to be 
marked or placarded with one of the following classifications:
    (i) Division 1.1
    (ii) Division 1.2, or Division 1.3
    (iii) Division 2.3 Poison gas
    (iv) Division 4.3
    (v) Class 7
    (vi) Class 3 Flammable
    (vii) Division 5.1
    (viii) Division 2.2
    (ix) Division 2.3 Chlorine
    (x) Division 6.1 Poison
    (xi) Division 2.2 Oxygen
    (xii) Division 2.1
    (xiii) Class 3 Combustible liquid
    (xiv) Division 4.1
    (xv) Division 5.1
    (xvi) Division 5.2
    (xvii) Class 8
    (xviii) Division 1.4
    (4) Every cargo tank motor vehicle, whether loaded or empty, used 
for the transportation of any hazardous material as defined in the 
Hazardous Materials Regulations of the Department of Transportation, 
parts 107 through 180 of this title.
    (5) Every cargo tank motor vehicle transporting a commodity which at 
the time of loading has a temperature above its flashpoint as determined 
by Sec.173.120 of this title.
    (6) Every cargo tank motor vehicle, whether loaded or empty, 
transporting any commodity under exemption in accordance with the 
provisions of subpart B of part 107 of this title.
    (b) A stop need not be made at:
    (1) A streetcar crossing, or railroad tracks used exclusively for 
industrial switching purposes, within a business district, as defined in 
Sec.390.5 of this chapter.
    (2) A railroad grade crossing when a police officer or crossing 
flagman directs traffic to proceed,
    (3) A railroad grade crossing controlled by a functioning highway 
traffic signal transmitting a green indication which, under local law, 
permits the commercial motor vehicle to proceed across the railroad 
tracks without slowing or stopping.
    (4) An abandoned railroad grade crossing which is marked with a sign 
indicating that the rail line is abandoned,
    (5) An industrial or spur line railroad grade crossing marked with a 
sign reading ``Exempt.'' Such ``Exempt'' signs shall be erected only by 
or with

[[Page 427]]

the consent of the appropriate State or local authority.

(Sec. 12, 80 Stat. 931; 49 U.S.C. 1651 note; 49 U.S.C. 304, 1655; 49 CFR 
1.48(b) and 301.60)

[33 FR 19732, Dec. 25, 1968, as amended at 35 FR 7801, May 21, 1970; 38 
FR 1589, Jan. 16, 1973; 40 FR 44555, Sept. 29, 1975; 45 FR 46424, July 
10, 1980; 47 FR 47837, Oct. 28, 1982; 59 FR 63924, Dec. 12, 1994; 60 FR 
38746, 38747, July 28, 1995]



Sec.392.11  Railroad grade crossings; slowing down required.

    Every commercial motor vehicle other than those listed in Sec.
392.10 shall, upon approaching a railroad grade crossing, be driven at a 
rate of speed which will permit said commercial motor vehicle to be 
stopped before reaching the nearest rail of such crossing and shall not 
be driven upon or over such crossing until due caution has been taken to 
ascertain that the course is clear.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38747, July 28, 1995]



Sec.392.12  Highway-rail crossings; safe clearance.

    No driver of a commercial motor vehicle shall drive onto a highway-
rail grade crossing without having sufficient space to drive completely 
through the crossing without stopping.

[78 FR 58923, Sept. 25, 2013]

    Effective Date Note: At 79 FR 58923, Sept. 25, 2013, Sec.392.12 
was added, effective Oct. 25, 2013.



Sec.392.13      [Reserved]



Sec.392.14  Hazardous conditions; extreme caution.

    Extreme caution in the operation of a commercial motor vehicle shall 
be exercised when hazardous conditions, such as those caused by snow, 
ice, sleet, fog, mist, rain, dust, or smoke, adversely affect visibility 
or traction. Speed shall be reduced when such conditions exist. If 
conditions become sufficiently dangerous, the operation of the 
commercial motor vehicle shall be discontinued and shall not be resumed 
until the commercial motor vehicle can be safely operated. Whenever 
compliance with the foregoing provisions of this rule increases hazard 
to passengers, the commercial motor vehicle may be operated to the 
nearest point at which the safety of passengers is assured.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38747, July 28, 1995]



Sec.392.15      [Reserved]



Sec.392.16  Use of seat belts.

    A commercial motor vehicle which has a seat belt assembly installed 
at the driver's seat shall not be driven unless the driver has properly 
restrained himself/herself with the seat belt assembly.

[35 FR 10860, July 3, 1970, as amended at 60 FR 38747, July 28, 1995]



Sec.392.18      [Reserved]



               Subpart C_Stopped Commercial Motor Vehicles



Sec. Sec.392.20-392.21  [Reserved]



Sec.392.22  Emergency signals; stopped commercial motor vehicles.

    (a) Hazard warning signal flashers. Whenever a commercial motor 
vehicle is stopped upon the traveled portion of a highway or the 
shoulder of a highway for any cause other than necessary traffic stops, 
the driver of the stopped commercial motor vehicle shall immediately 
activate the vehicular hazard warning signal flashers and continue the 
flashing until the driver places the warning devices required by 
paragraph (b) of this section. The flashing signals shall be used during 
the time the warning devices are picked up for storage before movement 
of the commercial motor vehicle. The flashing lights may be used at 
other times while a commercial motor vehicle is stopped in addition to, 
but not in lieu of, the warning devices required by paragraph (b) of 
this section.
    (b) Placement of warning devices--(1) General rule. Except as 
provided in paragraph (b)(2) of this section, whenever a commercial 
motor vehicle is stopped upon the traveled portion or the shoulder of a 
highway for any cause other than necessary traffic

[[Page 428]]

stops, the driver shall, as soon as possible, but in any event within 10 
minutes, place the warning devices required by Sec.393.95 of this 
subchapter, in the following manner:
    (i) One on the traffic side of and 4 paces (approximately 3 meters 
or 10 feet) from the stopped commercial motor vehicle in the direction 
of approaching traffic;
    (ii) One at 40 paces (approximately 30 meters or 100 feet) from the 
stopped commercial motor vehicle in the center of the traffic lane or 
shoulder occupied by the commercial motor vehicle and in the direction 
of approaching traffic; and
    (iii) One at 40 paces (approximately 30 meters or 100 feet) from the 
stopped commercial motor vehicle in the center of the traffic lane or 
shoulder occupied by the commercial motor vehicle and in the direction 
away from approaching traffic.
    (2) Special rules--(i) Fusees and liquid-burning flares. The driver 
of a commercial motor vehicle equipped with only fusees or liquid-
burning flares shall place a lighted fusee or liquid-burning flare at 
each of the locations specified in paragraph (b)(1) of this section. 
There shall be at least one lighted fusee or liquid-burning flare at 
each of the prescribed locations, as long as the commercial motor 
vehicle is stopped. Before the stopped commercial motor vehicle is 
moved, the driver shall extinguish and remove each fusee or liquid-
burning flare.
    (ii) Daylight hours. Except as provided in paragraph (b)(2)(iii) of 
this section, during the period lighted lamps are not required, three 
bidirectional reflective triangles, or three lighted fusees or liquid-
burning flares shall be placed as specified in paragraph (b)(1) of this 
section within a time of 10 minutes. In the event the driver elects to 
use only fusees or liquid-burning flares in lieu of bidirectional 
reflective triangles or red flags, the driver must ensure that at least 
one fusee or liquid-burning flare remains lighted at each of the 
prescribed locations as long as the commercial motor vehicle is stopped 
or parked.
    (iii) Business or residential districts. The placement of warning 
devices is not required within the business or residential district of a 
municipality, except during the time lighted lamps are required and when 
street or highway lighting is insufficient to make a commercial motor 
vehicle clearly discernable at a distance of 500 feet to persons on the 
highway.
    (iv) Hills, curves, and obstructions. If a commercial motor vehicle 
is stopped within 500 feet of a curve, crest of a hill, or other 
obstruction to view, the driver shall place the warning signal required 
by paragraph (b)(1) of this section in the direction of the obstruction 
to view a distance of 100 feet to 500 feet from the stopped commercial 
motor vehicle so as to afford ample warning to other users of the 
highway.
    (v) Divided or one-way roads. If a commercial motor vehicle is 
stopped upon the traveled portion or the shoulder of a divided or one-
way highway, the driver shall place the warning devices required by 
paragraph (b)(1) of this section, one warning device at a distance of 
200 feet and one warning device at a distance of 100 feet in a direction 
toward approaching traffic in the center of the lane or shoulder 
occupied by the commercial motor vehicle. He/she shall place one warning 
device at the traffic side of the commercial motor vehicle within 10 
feet of the rear of the commercial motor vehicle.
    (vi) Leaking, flammable material. If gasoline or any other flammable 
liquid, or combustible liquid or gas seeps or leaks from a fuel 
container or a commercial motor vehicle stopped upon a highway, no 
emergency warning signal producing a flame shall be lighted or placed 
except at such a distance from any such liquid or gas as will assure the 
prevention of a fire or explosion.

[37 FR 17175, Aug. 25, 1972, as amended at 40 FR 10685, Mar. 7, 1975; 47 
FR 47837, Oct. 28, 1982; 48 FR 57139, Dec. 23, 1983; 59 FR 34711, July 
6, 1994; 60 FR 38747, July 28, 1995; 63 FR 33279, June 18, 1998]



Sec.392.24  Emergency signals; flame-producing.

    No driver shall attach or permit any person to attach a lighted 
fusee or other flame-producing emergency signal to any part of a 
commercial motor vehicle.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38747, July 28, 1995]

[[Page 429]]



Sec.392.25  Flame producing devices.

    No driver shall use or permit the use of any flame-producing 
emergency signal for protecting any commercial motor vehicle 
transporting Division 1.1, Division 1.2, or Division 1.3 explosives; any 
cargo tank motor vehicle used for the transportation of any Class 3 or 
Division 2.1, whether loaded or empty; or any commercial motor vehicle 
using compressed gas as a motor fuel. In lieu thereof, emergency 
reflective triangles, red electric lanterns, or red emergency reflectors 
shall be used, the placement of which shall be in the same manner as 
prescribed in Sec.392.22(b).

[59 FR 63925, Dec. 12, 1994, as amended at 60 FR 38747, July 28, 1995]



              Subpart D_Use of Lighted Lamps and Reflectors



Sec. Sec.392.30-392.32  [Reserved]



Sec.392.33  Obscured lamps or reflective devices/material.

    (a) No commercial motor vehicle shall be driven when any of the 
lamps or reflective devices/material required by subpart B of part 393 
of this title are obscured by the tailboard, or by any part of the load 
or its covering, by dirt, or other added vehicle or work equipment or 
otherwise.
    (b) Exception. The conspicuity treatments on the front end 
protection devices of the trailer may be obscured by part of the load 
being transported.

[70 FR 48025, Aug. 15, 2005]



             Subpart E_License Revocation; Duties of Driver



Sec. Sec.392.40-392.41  [Reserved]



                      Subpart F_Fueling Precautions



Sec.392.50  Ignition of fuel; prevention.

    No driver or any employee of a motor carrier shall:
    (a) Fuel a commercial motor vehicle with the engine running, except 
when it is necessary to run the engine to fuel the commercial motor 
vehicle;
    (b) Smoke or expose any open flame in the vicinity of a commercial 
motor vehicle being fueled;
    (c) Fuel a commercial motor vehicle unless the nozzle of the fuel 
hose is continuously in contact with the intake pipe of the fuel tank;
    (d) Permit, insofar as practicable, any other person to engage in 
such activities as would be likely to result in fire or explosion.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38747, July 28, 1995]



Sec.392.51  Reserve fuel; materials of trade.

    Small amounts of fuel for the operation or maintenance of a 
commercial motor vehicle (including its auxiliary equipment) may be 
designated as materials of trade (see 49 CFR 171.8).
    (a) The aggregate gross weight of all materials of trade on a motor 
vehicle may not exceed 200 kg (440 pounds).
    (b) Packaging for gasoline must be made of metal or plastic and 
conform to requirements of 49 CFR Parts 171, 172, 173, and 178 or 
requirements of the Occupational Safety and Health Administration 
contained in 29 CFR 1910.106.
    (c) For Packing Group II (including gasoline), Packing Group III 
(including aviation fuel and fuel oil), or ORM-D, the material is 
limited to 30 kg (66 pounds) or 30 L (8 gallons).
    (d) For diesel fuel, the capacity of the package is limited to 450 L 
(119 gallons).
    (e) A Division 2.1 material in a cylinder is limited to a gross 
weight of 100 kg (220 pounds). (A Division 2.1 material is a flammable 
gas, including liquefied petroleum gas, butane, propane, liquefied 
natural gas, and methane).

[63 FR 33279, June 18, 1998]



Sec.392.52      [Reserved]



                     Subpart G_Prohibited Practices



Sec.392.60  Unauthorized persons not to be transported.

    (a) Unless specifically authorized in writing to do so by the motor 
carrier under whose authority the commercial motor vehicle is being 
operated, no driver shall transport any person or

[[Page 430]]

permit any person to be transported on any commercial motor vehicle 
other than a bus. When such authorization is issued, it shall state the 
name of the person to be transported, the points where the 
transportation is to begin and end, and the date upon which such 
authority expires. No written authorization, however, shall be necessary 
for the transportation of:
    (1) Employees or other persons assigned to a commercial motor 
vehicle by a motor carrier;
    (2) Any person transported when aid is being rendered in case of an 
accident or other emergency;
    (3) An attendant delegated to care for livestock.
    (b) This section shall not apply to the operation of commercial 
motor vehicles controlled and operated by any farmer and used in the 
transportation of agricultural commodities or products thereof from his/
her farm or in the transportation of supplies to his/her farm.

[60 FR 38747, July 28, 1995]



Sec.392.61      [Reserved]



Sec.392.62  Safe operation, buses.

    No person shall drive a bus and a motor carrier shall not require or 
permit a person to drive a bus unless--
    (a) All standees on the bus are rearward of the standee line or 
other means prescribed in Sec.393.90 of this subchapter;
    (b) All aisle seats in the bus conform to the requirements of Sec.
393.91 of this subchapter; and
    (c) Baggage or freight on the bus is stowed and secured in a manner 
which assures--
    (1) Unrestricted freedom of movement to the driver and his proper 
operation of the bus;
    (2) Unobstructed access to all exits by any occupant of the bus; and
    (3) Protection of occupants of the bus against injury resulting from 
the falling or displacement of articles transported in the bus.

[63 FR 33278, June 18, 1998]



Sec.392.63  Towing or pushing loaded buses.

    No disabled bus with passengers aboard shall be towed or pushed; nor 
shall any person use or permit to be used a bus with passengers aboard 
for the purpose of towing or pushing any disabled motor vehicle, except 
in such circumstances where the hazard to passengers would be increased 
by observance of the foregoing provisions of this section, and then only 
in traveling to the nearest point where the safety of the passengers is 
assured.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38747, July 28, 1995]



Sec.392.64  Riding within closed commercial motor vehicles without proper exits.

    No person shall ride within the closed body of any commercial motor 
vehicle unless there are means on the inside thereof of obtaining exit. 
Said means shall be in such condition as to permit ready operation by 
the occupant.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38747, July 28, 1995]



Sec.392.65      [Reserved]



Sec.392.66  Carbon monoxide; use of commercial motor vehicle when detected.

    (a) No person shall dispatch or drive any commercial motor vehicle 
or permit any passengers thereon, when the following conditions are 
known to exist, until such conditions have been remedied or repaired:
    (1) Where an occupant has been affected by carbon monoxide;
    (2) Where carbon monoxide has been detected in the interior of the 
commercial motor vehicle;
    (3) When a mechanical condition of the commercial motor vehicle is 
discovered which would be likely to produce a hazard to the occupants by 
reason of carbon monoxide.
    (b) [Reserved]

[60 FR 38747, July 28, 1995]



Sec.392.67  Heater, flame-producing; on commercial motor vehicle in motion.

    No open flame heater used in the loading or unloading of the 
commodity transported shall be in operation while the commercial motor 
vehicle is in motion.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38747, July 28, 1995]

[[Page 431]]



Sec. Sec.392.68-392.69  [Reserved]



Sec.392.71  Radar detectors; use and/or possession.

    (a) No driver shall use a radar detector in a commercial motor 
vehicle, or operate a commercial motor vehicle that is equipped with or 
contains any radar detector.
    (b) No motor carrier shall require or permit a driver to violate 
paragraph (a) of this section.

[58 FR 67375, Dec. 21, 1993]



            Subpart H_Limiting the Use of Electronic Devices



Sec.392.80  Prohibition against texting.

    (a) Prohibition. No driver shall engage in texting while driving.
    (b) Motor carriers. No motor carrier shall allow or require its 
drivers to engage in texting while driving.
    (c) Definition. For the purpose of this section only, driving means 
operating a commercial motor vehicle, with the motor running, including 
while temporarily stationary because of traffic, a traffic control 
device, or other momentary delays. Driving does not include operating a 
commercial motor vehicle with or without the motor running when the 
driver moved the vehicle to the side of, or off, a highway, as defined 
in 49 CFR 390.5, and halted in a location where the vehicle can safely 
remain stationary.
    (d) Emergency exception. Texting while driving is permissible by 
drivers of a commercial motor vehicle when necessary to communicate with 
law enforcement officials or other emergency services.

[75 FR 59136, Sept. 27, 2010, as amended at 76 FR 75487, Dec. 2, 2011]



Sec.392.82  Using a hand-held mobile telephone.

    (a)(1) No driver shall use a hand-held mobile telephone while 
driving a CMV.
    (2) No motor carrier shall allow or require its drivers to use a 
hand-held mobile telephone while driving a CMV.
    (b) Definitions. For the purpose of this section only, driving means 
operating a commercial motor vehicle on a highway, including while 
temporarily stationary because of traffic, a traffic control device, or 
other momentary delays. Driving does not include operating a commercial 
motor vehicle when the driver has moved the vehicle to the side of, or 
off, a highway and has halted in a location where the vehicle can safely 
remain stationary.
    (c) Emergency exception. Using a hand-held mobile telephone is 
permissible by drivers of a CMV when necessary to communicate with law 
enforcement officials or other emergency services.

[76 FR 75487, Dec. 2, 2011]



PART 393_PARTS AND ACCESSORIES NECESSARY FOR SAFE OPERATION--Table of Contents



                            Subpart A_General

Sec.
393.1 Scope of the rules of this part.
393.3 Additional equipment and accessories.
393.5 Definitions.
393.7 Matter incorporated by reference.

       Subpart B_Lamps, Reflective Devices, and Electrical Wiring

393.9 Lamps operable, prohibition of obstructions of lamps and 
          reflectors.
393.11 Lamps and reflective devices.
393.13 Retroreflective sheeting and reflex reflectors, requirements for 
          semitrailers and trailers manufactured before December 1, 
          1993.
393.17 Lamps and reflectors--combinations in driveaway-towaway 
          operation.
393.19 Hazard warning signals.
393.20 [Reserved]
393.22 Combination of lighting devices and reflectors.
393.23 Power supply for lamps.
393.24 Requirements for head lamps, auxiliary driving lamps and front 
          fog lamps.
393.25 Requirements for lamps other than head lamps.
393.26 Requirements for reflex reflectors.
393.27 [Reserved]
393.28 Wiring systems.
393.29 [Reserved]
393.30 Battery installation.
393.31-393.33 [Reserved]

                            Subpart C_Brakes

393.40 Required brake systems.
393.41 Parking brake system.
393.42 Brakes required on all wheels.
393.43 Breakaway and emergency braking.
393.44 Front brake lines, protection.
393.45 Brake tubing and hoses; hose assemblies and end fittings.
393.46 [Reserved]

[[Page 432]]

393.47 Brake actuators, slack adjusters, linings/pads and drums/rotors.
393.48 Brakes to be operative.
393.49 Control valves for brakes.
393.50 Reservoirs required.
393.51 Warning signals, air pressure and vacuum gauges.
393.52 Brake performance.
393.53 Automatic brake adjusters and brake adjustment indicators.
393.55 Antilock brake systems.

                Subpart D_Glazing and Window Construction

393.60 Glazing in specified openings.
393.61 Truck and truck tractor window construction.
393.62 Emergency exits for buses.
393.63 [Reserved]

                         Subpart E_Fuel Systems

393.65 All fuel systems.
393.67 Liquid fuel tanks.
393.68 Compressed natural gas fuel containers.
393.69 Liquefied petroleum gas systems.

              Subpart F_Coupling Devices and Towing Methods

393.70 Coupling devices and towing methods, except for driveaway-towaway 
          operations.
393.71 Coupling devices and towing methods, driveaway-towaway 
          operations.

              Subpart G_Miscellaneous Parts and Accessories

393.75 Tires.
393.76 Sleeper berths.
393.77 Heaters.
393.78 Windshield wiping and washing systems.
393.79 Windshield defrosting and defogging systems.
393.80 Rear-vision mirrors.
393.81 Horn.
393.82 Speedometer.
393.83 Exhaust systems.
393.84 Floors.
393.85 [Reserved]
393.86 Rear impact guards and rear end protection.
393.87 Warning flags on projecting loads.
393.88 Television receivers.
393.89 Buses, driveshaft protection.
393.90 Buses, standee line or bar.
393.91 Buses, aisle seats prohibited.
393.92 [Reserved]
393.93 Seats, seat belt assemblies, and seat belt assembly anchorages.
393.94 Interior noise levels in power units.

                      Subpart H_Emergency Equipment

393.95 Emergency equipment on all power units.

         Subpart I_Protection Against Shifting and Falling Cargo

393.100 Which types of commercial motor vehicles are subject to the 
          cargo securement standards of this subpart, and what general 
          requirements apply?
393.102 What are the minimum performance criteria for cargo securement 
          devices and systems?
393.104 What standards must cargo securement devices and systems meet in 
          order to satisfy the requirements of this subpart?
393.106 What are the general requirements for securing articles of 
          cargo?
393.108 How is the working load limit of a tiedown, or the load 
          restraining value of a friction mat, determined?
393.110 What else do I have to do to determine the minimum number of 
          tiedowns?
393.112 Must a tiedown be adjustable?
393.114 What are the requirements for front end structures used as part 
          of a cargo securement system?

           Specific Securement Requirements by Commodity Type

393.116 What are the rules for securing logs?
393.118 What are the rules for securing dressed lumber or similar 
          building products?
393.120 What are the rules for securing metal coils?
393.122 What are the rules for securing paper rolls?
393.124 What are the rules for securing concrete pipe?
393.126 What are the rules for securing intermodal containers?
393.128 What are the rules for securing automobiles, light trucks and 
          vans?
393.130 What are the rules for securing heavy vehicles, equipment and 
          machinery?
393.132 What are the rules for securing flattened or crushed vehicles?
393.134 What are the rules for securing roll-on/roll-off and hook lift 
          containers?
393.136 What are the rules for securing large boulders?

    Subpart J_Frames, Cab and Body Components, Wheels, Steering, and 
                           Suspension Systems

393.201 Frames.
393.203 Cab and body components.
393.205 Wheels.
393.207 Suspension systems.
393.209 Steering wheel systems.


[[Page 433]]


    Authority: 49 U.S.C. 31136, 31151, and 31502; sec. 1041(b) of Pub. 
L. 102-240, 105 Stat. 1914, 1993 (1991); and 49 CFR 1.87.

    Source: 33 FR 19735, Dec. 25, 1968, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 393 appear at 66 FR 
49874, Oct. 1, 2001.



                            Subpart A_General

    Source: 53 FR 49384, Dec. 7, 1988, unless otherwise noted.



Sec.393.1  Scope of the rules in this part.

    (a) The rules in this part establish minimum standards for 
commercial motor vehicles as defined in Sec.390.5 of this title. Only 
motor vehicles (as defined in Sec.390.5) and combinations of motor 
vehicles which meet the definition of a commercial motor vehicle are 
subject to the requirements of this part. All requirements that refer to 
motor vehicles with a GVWR below 4,536 kg (10,001 pounds) are applicable 
only when the motor vehicle or combination of motor vehicles meets the 
definition of a commercial motor vehicle.
    (b)(1) Every motor carrier and its employees must be knowledgeable 
of and comply with the requirements and specifications of this part.
    (2) Every intermodal equipment provider and its employees or agents 
responsible for the inspection, repair, and maintenance of intermodal 
equipment interchanged to motor carriers must be knowledgeable of and 
comply with the applicable requirements and specifications of this part.
    (c) No motor carrier may operate a commercial motor vehicle, or 
cause or permit such vehicle to be operated, unless it is equipped in 
accordance with the requirements and specifications of this part.
    (d) No intermodal equipment provider may operate intermodal 
equipment, or cause or permit such equipment to be operated, unless it 
is equipped in accordance with the requirements and specifications of 
this part.

[70 FR 48025, Aug. 15, 2005, as amended at 73 FR 76823, Dec. 17, 2008]



Sec.393.3  Additional equipment and accessories.

    The use of additional equipment or accessories in a manner that 
decreases the safety of operation of a commercial motor vehicle in 
interstate commerce is prohibited. Nothing contained in this subchapter 
shall be construed to prohibit the use of additional equipment and 
accessories, not inconsistent with or prohibited by this subchapter, 
provided such equipment and accessories do not decrease the safety of 
operation of the motor vehicles on which they are used.

[78 FR 58484, Sept. 24, 2013]



Sec.393.5  Definitions.

    As used in this part, the following words and terms are construed to 
mean:
    Aggregate working load limit. The summation of the working load 
limits or restraining capacity of all devices used to secure an article 
of cargo on a vehicle.
    Agricultural commodity trailer. A trailer that is designed to 
transport bulk agricultural commodities in off-road harvesting sites and 
to a processing plant or storage location, as evidenced by skeletal 
construction that accommodates harvest containers, a maximum length of 
28 feet, and an arrangement of air control lines and reservoirs that 
minimizes damage in field operations.
    Air brake system. A system, including an air-over-hydraulic brake 
subsystem, that uses air as a medium for transmitting pressure or force 
from the driver control to the service brake, but does not include a 
system that uses compressed air or vacuum only to assist the driver in 
applying muscular force to hydraulic or mechanical components.
    Air-over-hydraulic brake subsystem. A subsystem of the air brake 
system that uses compressed air to transmit a force from the driver 
control to a hydraulic brake system to actuate the service brakes.
    Anchor point. Part of the structure, fitting or attachment on a 
vehicle or article of cargo to which a tiedown is attached.

[[Page 434]]

    Antilock Brake System or ABS means a portion of a service brake 
system that automatically controls the degree of rotational wheel slip 
during braking by:
    (1) Sensing the rate of angular rotation of the wheels;
    (2) Transmitting signals regarding the rate of wheel angular 
rotation to one or more controlling devices which interpret those 
signals and generate responsive controlling output signals; and
    (3) Transmitting those controlling signals to one or more modulators 
which adjust brake actuating forces in response to those signals.
    Article of cargo. A unit of cargo, other than a liquid, gas, or 
aggregate that lacks physical structure (e.g., grain, gravel, etc.) 
including articles grouped together so that they can be handled as a 
single unit or unitized by wrapping, strapping, banding or edge 
protection device(s).
    Auxiliary driving lamp. A lighting device mounted to provide 
illumination forward of the vehicle which supplements the upper beam of 
a standard headlighting system. It is not intended for use alone or with 
the lower beam of a standard headlamp system.
    Bell pipe concrete. Pipe whose flanged end is of larger diameter 
than its barrel.
    Blocking. A structure, device or another substantial article placed 
against or around an article of cargo to prevent horizontal movement of 
the article of cargo.
    Boat trailer. A trailer designed with cradle-type mountings to 
transport a boat and configured to permit launching of the boat from the 
rear of the trailer.
    Bracing. A structure, device, or another substantial article placed 
against an article of cargo to prevent it from tipping, that may also 
prevent it from shifting.
    Brake. An energy conversion mechanism used to stop, or hold a 
vehicle stationary.
    Brake power assist unit. A device installed in a hydraulic brake 
system that reduces the operator effort required to actuate the system, 
but which if inoperative does not prevent the operator from braking the 
vehicle by a continued application of muscular force on the service 
brake control.
    Brake power unit. A device installed in a brake system that provides 
the energy required to actuate the brakes, either directly or indirectly 
through an auxiliary device, with the operator action consisting only of 
modulating the energy application level.
    Brake tubing/hose. Metallic brake tubing, nonmetallic brake tubing 
and brake hose are conduits or lines used in a brake system to transmit 
or contain the medium (fluid or vacuum) used to apply the motor 
vehicle's brakes.
    Chassis. The load-supporting frame of a commercial motor vehicle, 
exclusive of any appurtenances which might be added to accommodate 
cargo.
    Clearance Lamps. Lamps that provide light to the front or rear, 
mounted on the permanent structure of the vehicle, such that they 
indicate the overall width of the vehicle.
    Container chassis trailer. A semitrailer of skeleton construction 
limited to a bottom frame, one or more axles, specially built and fitted 
with locking devices for the transport of intermodal cargo containers, 
so that when the chassis and container are assembled, the units serve 
the same function as an over the road trailer.
    Converter dolly. A motor vehicle consisting of a chassis equipped 
with one or more axles, a fifth wheel and/or equivalent mechanism, and 
drawbar, the attachment of which converts a semitrailer to a full 
trailer.
    Crib-type log trailer means a trailer equipped with stakes, bunks, a 
front-end structure, and a rear structure to restrain logs. The stakes 
prevent movement of the logs from side to side on the vehicle while the 
front-end and rear structures prevent movement of the logs from front to 
back on the vehicle.
    Curb weight. The weight of a motor vehicle with standard equipment, 
maximum capacity of fuel, oil, and coolant; and, if so equipped, air 
conditioning and additional weight of optional engine. Curb weight does 
not include the driver.
    Dunnage. All loose materials used to support and protect cargo.
    Dunnage bag. An inflatable bag intended to fill otherwise empty 
space

[[Page 435]]

between articles of cargo, or between articles of cargo and the wall of 
the vehicle.
    Edge protector. A device placed on the exposed edge of an article to 
distribute tiedown forces over a larger area of cargo than the tiedown 
itself, to protect the tie-down and/or cargo from damage, and to allow 
the tiedown to slide freely when being tensioned.
    Electric brake system. A system that uses electric current to 
actuate the service brake.
    Emergency brake. A mechanism designed to stop a motor vehicle after 
a failure of the service brake system.
    Emergency brake system. A mechanism designed to stop a vehicle after 
a single failure occurs in the service brake system of a part designed 
to contain compressed air or brake fluid or vacuum (except failure of a 
common valve, manifold brake fluid housing or brake chamber housing).
    Fifth wheel. A device mounted on a truck tractor or similar towing 
vehicle (e.g., converter dolly) which interfaces with and couples to the 
upper coupler assembly of a semitrailer.
    Frame vehicle. A vehicle with skeletal structure fitted with one or 
more bunk units for transporting logs. A bunk unit consists of U-shaped 
front and rear bunks that together cradle logs. The bunks are welded, 
gusseted or otherwise firmly fastened to the vehicle's main beams, and 
are an integral part of the vehicle.
    Friction mat. A device placed between the deck of a vehicle and 
article of cargo, or between articles of cargo, intended to provide 
greater friction than exists naturally between these surfaces.
    Front fog lamp. A lighting device whose beam provides downward 
illumination forward of the vehicle and close to the ground, and is to 
be used only under conditions of rain, snow, dust, smoke or fog. A pair 
of fog lamps may be used alone, with parking, tail, side, marker, 
clearance and identification lamps, or with a lower beam headlamp at the 
driver's discretion in accordance with state and local use law.
    Fuel tank fitting. Any removable device affixed to an opening in the 
fuel tank with the exception of the filler cap.
    g. The acceleration due to gravity, 32.2 ft/sec\2\ (9.81 m/sec\2\).
    Grommet. A device that serves as a support and protection to that 
which passes through it.
    Hazard warning signal. Lamps that flash simultaneously to the front 
and rear, on both the right and left sides of a commercial motor 
vehicle, to indicate to an approaching driver the presence of a 
vehicular hazard.
    Head lamps. Lamps used to provide general illumination ahead of a 
motor vehicle.
    Heater. Any device or assembly of devices or appliances used to heat 
the interior of any motor vehicle. This includes a catalytic heater 
which must meet the requirements of Sec.177.834(l)(2) of this title 
when Class 3 (flammable liquid) or Division 2.1 (flammable gas) is 
transported.
    Heavy hauler trailer. A trailer which has one or more of the 
following characteristics, but which is not a container chassis trailer:
    (1) Its brake lines are designed to adapt to separation or extension 
of the vehicle frame; or
    (2) Its body consists only of a platform whose primary cargo-
carrying surface is not more than 1,016 mm (40 inches) above the ground 
in an unloaded condition, except that it may include sides that are 
designed to be easily removable and a permanent ``front-end structure'' 
as that term is used in Sec.393.106 of this title.
    Hook-lift container. A specialized container, primarily used to 
contain and transport materials in the waste, recycling, construction/
demolition and scrap industries, which is used in conjunction with 
specialized vehicles, in which the container is loaded and unloaded onto 
a tilt frame body by an articulating hook-arm.
    Hydraulic brake system. A system that uses hydraulic fluid as a 
medium for transmitting force from a service brake control to the 
service brake, and that may incorporate a brake power assist unit, or a 
brake power unit.
    Identification lamps. Lamps used to identify certain types of 
commercial motor vehicles.

[[Page 436]]

    Integral securement system. A system on certain roll-on/roll-off 
containers and hook-lift containers and their related transport vehicles 
in which compatible front and rear hold down devices are mated to 
provide securement of the complete vehicle and its articles of cargo.
    Lamp. A device used to produce artificial light.
    Length of a manufactured home. The largest exterior length in the 
traveling mode, including any projections which contain interior space. 
Length does not include bay windows, roof projections, overhangs, or 
eaves under which there is no interior space, nor does it include 
drawbars, couplings or hitches.
    License plate lamp. A lamp used to illuminate the license plate on 
the rear of a motor vehicle.
    Longwood. All logs that are not shortwood, i.e., are over 4.9 m (16 
feet) long. Such logs are usually described as long logs or treelength.
    Low chassis vehicle. (1) A trailer or semitrailer manufactured on or 
after January 26, 1998, having a chassis which extends behind the 
rearmost point of the rearmost tires and which has a lower rear surface 
that meets the guard width, height, and rear surface requirements of 
Sec.571.224 in effect on the date of manufacture, or a subsequent 
edition.
    (2) A motor vehicle, not described by paragraph (1) of this 
definition, having a chassis which extends behind the rearmost point of 
the rearmost tires and which has a lower rear surface that meets the 
guard configuration requirements of Sec.393.86(b)(1).
    Manufactured home means a structure, transportable in one or more 
sections, which in the traveling mode, is eight body feet or more in 
width or forty body feet or more in length, or, when erected on site, is 
three hundred twenty or more square feet, and which is built on a 
permanent chassis and designed to be used as a dwelling with or without 
a permanent foundation when connected to the required utilities, and 
includes the plumbing, heating, air-conditioning, and electrical systems 
contained therein. Calculations used to determine the number of square 
feet in a structure will be based on the structure's exterior dimensions 
measured at the largest horizontal projections when erected on site. 
These dimensions will include all expandable rooms, cabinets, and other 
projections containing interior space, but do not include bay windows. 
This term includes all structures which meet the above requirements 
except the size requirements and with respect to which the manufacturer 
voluntarily files a certification pursuant to 24 CFR 3282.13 and 
complies with the standards set forth in 24 CFR part 3280.
    Metal coil means an article of cargo comprised of elements, 
mixtures, compounds, or alloys commonly known as metal, metal foil, 
metal leaf, forged metal, stamped metal, metal wire, metal rod, or metal 
chain that are packaged as a roll, coil, spool, wind, or wrap, including 
plastic or rubber coated electrical wire and communications cable
    Multi-piece windshield. A windshield consisting of two or more 
windshield glazing surface areas.
    Parking brake system. A mechanism designed to prevent the movement 
of a stationary motor vehicle.
    Play. Any free movement of components.
    Pulpwood trailer. A trailer or semitrailer that is designed 
exclusively for harvesting logs or pulpwood and constructed with a 
skeletal frame with no means for attachment of a solid bed, body, or 
container.
    Rail vehicle. A vehicle whose skeletal structure is fitted with 
stakes at the front and rear to contain logs loaded crosswise.
    Rear extremity. The rearmost point on a motor vehicle that falls 
above a horizontal plane located 560 mm (22 inches) above the ground and 
below a horizontal plane located 1,900 mm (75 inches) above the ground 
when the motor vehicle is stopped on level ground; unloaded; its fuel 
tanks are full; the tires (and air suspension, if so equipped) are 
inflated in accordance with the manufacturer's recommendations; and the 
motor vehicle's cargo doors, tailgate, or other permanent structures are 
positioned as they normally are when the vehicle is in motion. 
Nonstructural protrusions such as taillamps, rubber bumpers, hinges and 
latches are excluded from the determination of the rearmost point.

[[Page 437]]

    Reflective material. A material conforming to Federal Specification 
L-S-300, ``Sheeting and Tape, Reflective; Non-exposed Lens, Adhesive 
Backing,'' (September 7, 1965) meeting the performance standard in 
either Table 1 or Table 1A of SAE Standard J594f, ``Reflex Reflectors'' 
(January, 1977).
    Reflex reflector. A device which is used on a vehicle to give an 
indication to an approaching driver by reflected lighted from the lamps 
on the approaching vehicle.
    Saddle-mount. A device, designed and constructed as to be readily 
demountable, used in driveaway-towaway operations to perform the 
functions of a conventional fifth wheel:
    (1) Upper-half. Upper-half of a ``saddle-mount'' means that part of 
the device which is securely attached to the towed vehicle and maintains 
a fixed position relative thereto, but does not include the ``king-
pin;''
    (2) Lower-half. Lower-half of a ``saddle-mount'' means that part of 
the device which is securely attached to the towing vehicle and 
maintains a fixed position relative thereto but does not include the 
``king-pin;'' and
    (3) King-pin. King-pin means that device which is used to connect 
the ``upper-half'' to the ``lower-half'' in such manner as to permit 
relative movement in a horizontal plane between the towed and towing 
vehicles.
    Service brake system. A primary brake system used for slowing and 
stopping a vehicle.
    Shoring bar. A device placed transversely between the walls of a 
vehicle and cargo to prevent cargo from tipping or shifting.
    Shortwood. All logs typically up to 4.9 m (16 feet) long. Such logs 
are often described as cut-up logs, cut-to-length logs, bolts or 
pulpwood. Shortwood may be loaded lengthwise or crosswise, though that 
loaded crosswise is usually no more than 2.6 m (102 inches) long.
    Sided vehicle. A vehicle whose cargo compartment is enclosed on all 
four sides by walls of sufficient strength to contain articles of cargo, 
where the walls may include latched openings for loading and unloading, 
and includes vans, dump bodies, and a sided intermodal container carried 
by a vehicle.
    Side extremity. The outermost point on a side of the motor vehicle 
that is above a horizontal plane located 560 mm (22 inches) above the 
ground, below a horizontal plane located 1,900 mm (75 inches) above the 
ground, and between a transverse vertical plane tangent to the rear 
extremity of the vehicle and a transverse vertical plane located 305 mm 
(12 inches) forward of that plane when the vehicle is unloaded; its fuel 
tanks are full; and the tires (and air suspension, if so equipped) are 
inflated in accordance with the manufacturer's recommendations. Non-
structural protrusions such as taillights, hinges and latches are 
excluded from the determination of the outermost point.
    Side marker lamp (Intermediate). A lamp mounted on the side, on the 
permanent structure of the motor vehicle that provides light to the side 
to indicate the approximate middle of the vehicle, when the motor 
vehicle is 9.14 meters (30 feet) or more in length.
    Side marker lamps. Lamps mounted on the side, on the permanent 
structure of the motor vehicle as near as practicable to the front and 
rear of the vehicle, that provide light to the side to indicate the 
overall length of the motor vehicle.
    Special purpose vehicle. (1) A trailer or semitrailer manufactured 
on or after January 26, 1998, having work-performing equipment that, 
while the motor vehicle is in transit, resides in or moves through the 
area that could be occupied by the horizontal member of the rear impact 
guard, as defined by the guard width, height and rear surface 
requirements of Sec.571.224 (paragraphs S5.1.1 through S5.1.3), in 
effect on the date of manufacture, or a subsequent edition.
    (2) A motor vehicle, not described by paragraph (1) of this 
definition, having work-performing equipment that, while the motor 
vehicle is in transit, resides in or moves through the area that could 
be occupied by the horizontal member of the rear impact guard, as 
defined by the guard width, height and rear surface requirements of 
Sec.393.86(b)(1).
    Split service brake system. A brake system consisting of two or more 
subsystems actuated by a single control designed so that a leakage-type 
failure

[[Page 438]]

of a pressure component in a single subsystem (except structural failure 
of a housing that is common to two or more subsystems) shall not impair 
the operation of any other subsystem.
    Steering wheel lash. The condition in which the steering wheel may 
be turned through some part of a revolution without associated movement 
of the front wheels.
    Stop lamps. Lamps shown to the rear of a motor vehicle to indicate 
that the service brake system is engaged.
    Surge brake. A self-contained, permanently closed hydraulic brake 
system for trailers that relies on inertial forces, developed in 
response to the braking action of the towing vehicle, applied to a 
hydraulic device mounted on or connected to the tongue of the trailer, 
to slow down or stop the towed vehicle.
    Tail lamps. Lamps used to designate the rear of a motor vehicle.
    Tiedown. A combination of securing devices which forms an assembly 
that attaches articles of cargo to, or restrains articles of cargo on, a 
vehicle or trailer, and is attached to anchor point(s).
    Tow bar. A strut or column-like device temporarily attached between 
the rear of a towing vehicle and the front of the vehicle being towed.
    Tractor-pole trailer. A combination vehicle that carries logs 
lengthwise so that they form the body of the vehicle. The logs are 
supported by a bunk located on the rear of the tractor, and another bunk 
on the skeletal trailer. The tractor bunk may rotate about a vertical 
axis, and the trailer may have a fixed, scoping, or cabled reach, or 
other mechanical freedom, to allow it to turn.
    Trailer kingpin. A pin (with a flange on its lower end) which 
extends vertically from the front of the underside of a semitrailer and 
which locks into a fifth wheel.
    Turn signals. Lamps used to indicate a change in direction by 
emitting a flashing light on the side of a motor vehicle towards which a 
turn will be made.
    Upper coupler assembly. A structure consisting of an upper coupler 
plate, king-pin and supporting framework which interfaces with and 
couples to a fifth wheel.
    Upper coupler plate. A plate structure through which the king-pin 
neck and collar extend. The bottom surface of the plate contacts the 
fifth wheel when coupled.
    Vacuum brake system. A system that uses a vacuum and atmospheric 
pressure for transmitting a force from the driver control to the service 
brake, not including a system that uses vacuum only to assist the driver 
in applying muscular force to hydraulic or mechanical components.
    Void filler. Material used to fill a space between articles of cargo 
and the structure of the vehicle that has sufficient strength to prevent 
movement of the articles of cargo.
    Well. The depression formed between two cylindrical articles of 
cargo when they are laid with their eyes horizontal and parallel against 
each other.
    Wheels back vehicle. (1) A trailer or semitrailer manufactured on or 
after January 26, 1998, whose rearmost axle is permanently fixed and is 
located such that the rearmost surface of the tires (of the size 
recommended by the vehicle manufacturer for the rear axle) is not more 
than 305 mm (12 inches) forward of the transverse vertical plane tangent 
to the rear extremity of the vehicle.
    (2) A motor vehicle, not described by paragraph (1) of this 
definition, whose rearmost axle is permanently fixed and is located such 
that the rearmost surface of the tires (of the size recommended by the 
vehicle manufacturer for the rear axle) is not more than 610 mm (24 
inches) forward of the transverse vertical plane tangent to the rear 
extremity of the vehicle.
    Width of a manufactured home. The largest exterior width in the 
traveling mode, including any projections which contain interior space. 
Width does not include bay windows, roof projections, overhangs, or 
eaves under which there is no interior space.
    Windshield. The principal forward facing glazed surface provided for 
forward vision in operating a motor vehicle.
    Working load limit (WLL). The maximum load that may be applied to a

[[Page 439]]

component of a cargo securement system during normal service, usually 
assigned by the manufacturer of the component.

[53 FR 49384, Dec. 7, 1988, as amended at 63 FR 8339, Feb. 18, 1998; 63 
FR 24465, May 4, 1998; 64 FR 47707, Sept. 1, 1999; 67 FR 61224, Sept. 
27, 2002; 68 FR 56208, Sept. 30, 2003; 70 FR 48026, Aug. 15, 2005; 71 FR 
35832, June 22, 2006; 72 FR 9870, Mar. 6, 2007]



Sec.393.7  Matter incorporated by reference.

    (a) Incorporation by reference. Part 393 includes references to 
certain matter or materials, as listed in paragraph (b) of this section. 
The text of the materials is not included in the regulations contained 
in part 393. The materials are hereby made a part of the regulations in 
part 393. The Director of the Federal Register has approved the 
materials incorporated by reference in accordance with 5 U.S.C. 552(a) 
and 1 CFR part 51. For materials subject to change, only the specific 
version approved by the Director of the Federal Register and specified 
in the regulation are incorporated. Material is incorporated as it 
exists on the date of the approval and a notice of any change in these 
materials will be published in the Federal Register.
    (b) Matter or materials referenced in part 393. The matter or 
materials listed in this paragraph are incorporated by reference in the 
corresponding sections noted.
    (1) Auxiliary Upper Beam Lamps, Society of Automotive Engineers 
(SAE) J581, July 2004, incorporation by reference approved for Sec.
393.24(b).
    (2) Front Fog Lamp, SAE J583, August 2004, incorporation by 
reference approved for Sec.393.24(b).
    (3) Stop Lamps for Use on Motor Vehicles Less Than 2032 mm in 
Overall Width, SAE J586, March 2000, incorporation by reference approved 
for Sec.393.25(c).
    (4) Stop Lamps and Front- and Rear-Turn Signal Lamps for Use on 
Motor Vehicles 2032 mm or more in Overall Width, SAE J2261, January 
2002, incorporated by reference approved for Sec.393.25 (c).
    (5) Tail Lamps (Rear Position Lamps) for Use on Motor Vehicles Less 
Than 2032 mm in Overall Width, SAE J585, March 2000, incorporation by 
reference approved for Sec.393.25(c).
    (6) Tail Lamps (Rear Position Lamps) for Use on Vehicles 2032 mm or 
More in Overall Width, SAE J2040, March 2002, incorporation by reference 
approved for Sec.393.25(c).
    (7) Turn Signal Lamps for Use on Motor Vehicles Less Than 2032 mm in 
Overall Width, SAE J588, March 2000, incorporation by reference approved 
for Sec.393.25(c).
    (8) Sidemarker Lamps for Use on Road Vehicles Less Than 2032 mm in 
Overall Width, SAE J592, August 2000, incorporation by reference 
approved for Sec.393.25(c).
    (9) Directional Flashing Optical Warning Devices for Authorized 
Emergency, Maintenance, and Service Vehicles, SAE J595, January 2005, 
incorporation by reference approved for Sec.393.25(e).
    (10) Optical Warning Devices for Authorized Emergency, Maintenance, 
and Service Vehicles, SAE J845, May 1997, incorporation by reference 
approved for Sec.393.25(e).
    (11) Gaseous Discharge Warning Lamp for Authorized Emergency, 
Maintenance, and Service Vehicles, SAE J1318, May 1998, incorporation by 
reference approved for Sec.393.25(e).
    (12) Reflex Reflectors, SAE J594, December 2003, incorporation by 
reference approved for Sec.393.26(c).
    (13) Standard Specification for Retroreflective Sheeting for Traffic 
Control, American Society of Testing and Materials, ASTM D 4956-04, 
2004, incorporation by reference approved for Sec.393.26(c).
    (14) Automobile, Truck, Truck-Tractor, Trailer, and Motor Coach 
Wiring, SAE J1292, October 1981, incorporated by reference approved for 
Sec.393.28.
    (15) [Reserved]
    (16) American National Standard for Safety Glazing Materials for 
Glazing Motor Vehicles and Motor Vehicle Equipment Operating on Land 
Highways-Safety Standard, SAE Z26.1-1996, August 1997, incorporation by 
reference approved for Sec.393.62(d).
    (17) Specification for Sound Level Meters, American National 
Standards Institute, S1.4-1983, incorporation by reference approved for 
Sec.393.94(c).

[[Page 440]]

    (18) Standard Specification for Strapping, Flat Steel and Seals, 
American Society for Testing and Materials (ASTM), D3953-97, February 
1998, incorporation by reference approved for Sec.393.104(e).
    (19) Welded Steel Chain Specifications, National Association of 
Chain Manufacturers, September 28, 2005, incorporation by reference 
approved for Sec.393.104(e).
    (20) Recommended Standard Specification for Synthetic Web Tiedowns, 
Web Sling and Tiedown Association, WSTDA-T1, 1998, incorporation by 
reference approved for Sec.393.104(e).
    (21) Wire Rope Users Manual, 2nd Edition, Wire Rope Technical Board 
November 1985, incorporation by reference approved for Sec.393.104(e).
    (22) Cordage Institute rope standards approved for incorporation 
into Sec.393.104(e):
    (i) PETRS-2, Polyester Fiber Rope, 3-Strand and 8-Strand 
Constructions, January 1993;
    (ii) PPRS-2, Polypropylene Fiber Rope, 3-Strand and 8-Strand 
Constructions, August 1992;
    (iii) CRS-1, Polyester/Polypropylene Composite Rope Specifications, 
Three-Strand and Eight-Strand Standard Construction, May 1979;
    (iv) NRS-1, Nylon Rope Specifications, Three-Strand and Eight-Strand 
Standard Construction, May 1979; and
    (v) C-1, Double Braided Nylon Rope Specifications DBN, January 1984.
    (c) Availability. The materials incorporated by reference are 
available as follows:
    (1) Standards of the Underwriters Laboratories, Inc. Information and 
copies may be obtained by writing to: Underwriters Laboratories, Inc., 
333 Pfingsten Road, Northbrook, Illinois 60062.
    (2) Specifications of the American Society for Testing and 
Materials. Information and copies may be obtained by writing to: 
American Society for Testing and Materials, 100 Barr Harbor Drive, West 
Conshohocken, Pennsylvania 19428-2959.
    (3) Specifications of the National Association of Chain 
Manufacturers. Information and copies may be obtained by writing to: 
National Association of Chain Manufacturers, P.O. Box 22681, Lehigh 
Valley, Pennsylvania 18002-2681.
    (4) Specifications of the Web Sling and Tiedown Association. 
Information and copies may be obtained by writing to: Web Sling and 
Tiedown Association, Inc., 5024-R Campbell Boulevard, Baltimore, 
Maryland 21236-5974.
    (5) Manuals of the Wire Rope Technical Board. Information and copies 
may be obtained by writing to: Wire Rope Technical Committee, P.O. Box 
849, Stevensville, Maryland 21666.
    (6) Standards of the Cordage Institute. Information and copies may 
be obtained by writing to: Cordage Institute, 350 Lincoln Street, 
 115, Hingham, Massachusetts 02043.
    (7) Standards of the Society of Automotive Engineers (SAE). 
Information and copies may be obtained by writing to: Society of 
Automotive Engineers, Inc., 400 Commonwealth Drive, Warrendale, 
Pennsylvania 15096.
    (8) Standards of the American National Standards Institute (ANSI). 
Information and copies may be obtained by writing to: American National 
Standards Institute, 25 West 43rd Street, New York, New York 10036.
    (9) [Reserved].
    (10) All of the materials incorporated by reference are available 
for inspection at:
    (i) Federal Motor Carrier Safety Administration, Office of Bus and 
Truck Standards and Operations (MC-PS), 1200 New Jersey Ave., SE., 
Washington, DC 20590-0001; and
    (ii) The National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call 202-741-
6030, or go to: http://www.archives.gov/federal--register/code--of--
federal--regulations/ibr--locations.html.

[67 FR 61225, Sept. 27, 2002, as amended at 70 FR 48027, Aug. 15, 2005; 
71 FR 35832, June 22, 2006; 72 FR 55703, Oct. 1, 2007; 77 FR 46638, Aug. 
6, 2012]

[[Page 441]]



       Subpart B_Lamps, Reflective Devices, and Electrical Wiring



Sec.393.9  Lamps operable, prohibition of obstructions of lamps and reflectors.

    (a) All lamps required by this subpart shall be capable of being 
operated at all times. This paragraph shall not be construed to require 
that any auxiliary or additional lamp be capable of operating at all 
times.
    (b) Lamps and reflective devices/material required by this subpart 
must not be obscured by the tailboard, or by any part of the load, or 
its covering by dirt, or other added vehicle or work equipment, or 
otherwise. Exception: The conspicuity treatments on the front end 
protection devices may be obscured by part of the load being 
transported.

[70 FR 48027, Aug. 15, 2005]



Sec.393.11  Lamps and reflective devices.

    (a)(1) Lamps and reflex reflectors. Table 1 specifies the 
requirements for lamps, reflective devices and associated equipment by 
the type of commercial motor vehicle. The diagrams in this section 
illustrate the position of the lamps, reflective devices and associated 
equipment specified in Table 1. All commercial motor vehicles 
manufactured on or after December 25, 1968, must, at a minimum, meet the 
applicable requirements of 49 CFR 571.108 (FMVSS No. 108) in effect at 
the time of manufacture of the vehicle. Commercial motor vehicles 
manufactured before December 25, 1968, must, at a minimum, meet the 
requirements of subpart B of part 393 in effect at the time of 
manufacture.
    (2) Exceptions: Pole trailers and trailer converter dollies must 
meet the part 393 requirements for lamps, reflective devices and 
electrical equipment in effect at the time of manufacture. Trailers 
which are equipped with conspicuity material which meets the 
requirements of Sec.393.11(b) are not required to be equipped with the 
reflex reflectors listed in Table 1 if--
    (i) The conspicuity material is placed at the locations where reflex 
reflectors are required by Table 1; and
    (ii) The conspicuity material when installed on the motor vehicle 
meets the visibility requirements for the reflex reflectors.
    (b) Conspicuity Systems. Each trailer of 2,032 mm (80 inches) or 
more overall width, and with a GVWR over 4,536 kg (10,000 pounds), 
manufactured on or after December 1, 1993, except pole trailers and 
trailers designed exclusively for living or office use, shall be 
equipped with either retroreflective sheeting that meets the 
requirements of FMVSS No. 108 (S5.7.1), reflex reflectors that meet the 
requirements FMVSS No. 108 (S5.7.2), or a combination of retroreflective 
sheeting and reflex reflectors that meet the requirements of FMVSS No. 
108 (S5.7.3). The conspicuity system shall be installed and located as 
specified in FMVSS No. 108 [S5.7.1.4 (for retroreflective sheeting), 
S5.7.2.2 (for reflex reflectors), S5.7.3 (for a combination of sheeting 
and reflectors)] and have certification and markings as required by 
S5.7.1.5 (for retroreflective tape) and S5.7.2.3 (for reflex 
reflectors).
    (c) Prohibition on the use of amber stop lamps and tail lamps. No 
commercial motor vehicle may be equipped with an amber stop lamp, a tail 
lamp, or other lamp which is optically combined with an amber stop lamp 
or tail lamp.

                                  Table 1 of Sec. 393.11--Required Lamps and Reflectors on Commercial Motor Vehicles
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                   Height above the
                                                                                                                    road surface in
                                                                                                                   millimeters (mm)
                                                                                                                     (with English    Vehicles for which
       Item on the vehicle             Quantity              Color             Location            Position            units in         the devices are
                                                                                                                     parenthesis)          required
                                                                                                                   measured from the
                                                                                                                  center of the lamp
                                                                                                                    at curb weight
--------------------------------------------------------------------------------------------------------------------------------------------------------
Headlamps.......................  2.................  White.............  Front.............  On the front at     Not less than 559   A, B, C
                                                                                               the same height,    mm (22 inches)
                                                                                               with an equal       nor more than
                                                                                               number at each      1,372 mm (54
                                                                                               side of the         inches).
                                                                                               vertical center
                                                                                               line as far apart
                                                                                               as practicable.

[[Page 442]]

 
Turn signal (front). See          2.................  Amber.............  At or near the      One on each side    Not less than 381   A, B, C
 footnotes 2 and 12.                                              front.              of the vertical     mm (15 inches)
                                                                                               centerline at the   nor more than
                                                                                               same height and     2,108 mm (83
                                                                                               as far apart as     inches).
                                                                                               practicable.
Identification lamps (front).     3.................  Amber.............  Front.............  As close as         All three on the    B, C
 See footnote 1.                                                                      practicable to      same level as
                                                                                               the top of the      close as
                                                                                               vehicle, at the     practicable to
                                                                                               same height, and    the top of the
                                                                                               as close as         motor vehicle.
                                                                                               practicable to
                                                                                               the vertical
                                                                                               centerline of the
                                                                                               vehicle (or the
                                                                                               vertical
                                                                                               centerline of the
                                                                                               cab where
                                                                                               different from
                                                                                               the centerline of
                                                                                               the vehicle) with
                                                                                               lamp centers
                                                                                               spaced not less
                                                                                               than 152 mm (6
                                                                                               inches) or more
                                                                                               than 305 mm (12
                                                                                               inches) apart.
                                                                                               Alternatively,
                                                                                               the front lamps
                                                                                               may be located as
                                                                                               close as
                                                                                               practicable to
                                                                                               the top of the
                                                                                               cab.
Tail lamps. See footnotes 5 and 11.                                                                                   side of the         level between 381   G, H
                                                                                               vertical            mm (15 inches)
                                                                                               centerline at the   and 1,829 mm (72
                                                                                               same height and     inches).
                                                                                               as far apart as
                                                                                               practicable.
Stop lamps. See footnotes 5 and 13.                                                                                   side of the         level between 381   G
                                                                                               vertical            mm (15 inches)
                                                                                               centerline at the   and 1,829 mm (72
                                                                                               same height and     inches).
                                                                                               as far apart as
                                                                                               practicable.
Clearance lamps. See footnotes    2.................  Amber.............  One on each side    One on each side    Both on the same    B, C, D, G, H
 8, 9, 10, 15 & 17.                                               of the front of     of the vertical     level as high as
                                                                           the vehicle.        centerline to       practicable.
                                                                                               indicate overall
                                                                                               width.
                                  2.................  Red...............  One on each side    One on each side    Both on the same    B, D, G, H
                                                                           of the rear of      of the vertical     level as high as
                                                                           the vehicle.        centerline to       practicable.
                                                                                               indicate overall
                                                                                               width.
Reflex reflector, intermediate    2.................  Amber.............  One on each side..  At or near the      Between 381 mm      A, B, D, F, G
 (side).                                                                                       midpoint between    (15inches) and
                                                                                               the front and       1,524 (60 inches).
                                                                                               rear side marker
                                                                                               lamps, if the
                                                                                               length of the
                                                                                               vehicle is more
                                                                                               than 9,144 mm (30
                                                                                               feet).
Reflex reflector (rear). See      2.................  Red...............  Rear..............  One on each side    Both on the same    A, B, C, D, E, F,
 footnotes 5, 6, and 8.                                                               of the vertical     level, between      G
                                                                                               centerline, as      381 mm (15
                                                                                               far apart as        inches) and 1,524
                                                                                               practicable and     mm (60 inches).
                                                                                               at the same
                                                                                               height.
Reflex reflector (rear side)....  2.................  Red...............  One on each side    As far to the rear  Both on the same    A, B, D, F, G
                                                                           (rear).             as practicable.     level, between
                                                                                                                   381 mm (15
                                                                                                                   inches) and 1,524
                                                                                                                   mm (60 inches).
Reflex reflector (front side).    2.................  Amber.............  One on each side    As far to the       Between 381 mm (15  A, B, C, D, F, G
 See footnote 16.                                                 (front).            front as            inches) and 1,524
                                                                                               practicable.        mm (60 inches).
License plate lamp (rear). See    1.................  White.............  At rear license                         No requirements...  A, B, C, D, F, G
 footnote 11.                                                     plate to
                                                                           illuminate the
                                                                           plate from the
                                                                           top or sides.

[[Page 443]]

 
Side marker lamp (front). See     2.................  Amber.............  One on each side..  As far to the       Not less than 381   A, B, C, D, F
 footnote 16.                                                                         front as            mm (15 inches).
                                                                                               practicable.
Side marker lamp intermediate...  2.................  Amber.............  One on each side..  At or near the      Not less tan 381    A, B, D, F, G
                                                                                               midpoint between    mm (15 inches).
                                                                                               the front and
                                                                                               rear side marker
                                                                                               lamps, if the
                                                                                               length of the
                                                                                               vehicle is more
                                                                                               than 9,144 mm (30
                                                                                               feet).
Side marker lamp (rear). See      2.................  Red...............  One on each side..  As far to the rear  Not less than 381   A, B, D, F, G
 footnotes 4 and 8.                                                                   as practicable.     mm (15 inches),
                                                                                                                   and on the rear
                                                                                                                   of trailers not
                                                                                                                   more than 1,524
                                                                                                                   mm (60 inches).
Turn signal (rear). See           2.................  Amber or red......  Rear..............  One lamp on each    Both on the same    A, B, C, D, E, F,
 footnotes 5 and 12.                                                                  side of the         level, between      G
                                                                                               vertical            381 mm (15
                                                                                               centerline as far   inches) and 2,108
                                                                                               apart as            mm (83 inches).
                                                                                               practicable.
Identification lamp (rear). See   3.................  Red...............  Rear..............  One as close as     All three on the    B, D, G
 footnotes 3, 7, and 15.                                                              practicable to      same level as
                                                                                               the vertical        close as
                                                                                               centerline. One     practicable to
                                                                                               on each side with   the top of the
                                                                                               lamp centers        vehicle.
                                                                                               spaced not less
                                                                                               than 152 mm (6
                                                                                               inches) or more
                                                                                               than 305 mm (12
                                                                                               inches) apart.
Vehicular hazard warning signal   2.................  Amber.............  Front.............  One lamp on each    Both on the same    A, B, C
 flasher lamps. See footnotes                                                                  side of the         level, between
 5 and 12.                                                                            vertical            381 mm (15
                                                                                               centerline, as      inches) and 2,108
                                                                                               far apart as        mm (83 inches).
                                                                                               practicable.
                                  2.................  Amber or red......  Rear..............  One lamp on each    Both on the same    A, B, C, D, E, F,
                                                                                               side of the         level, between      G
                                                                                               vertical            381 mm (15
                                                                                               centerline, as      inches) and 2,108
                                                                                               far apart as        mm (83 inches).
                                                                                               practicable.
Backup lamp. See footnote 14.
Parking lamp....................  2.................  Amber or white....  Front.............  One lamp on each    Both on the same    A
                                                                                               side of the         level, between
                                                                                               vertical            381 mm (15
                                                                                               centerline, as      inches) and 2,108
                                                                                               far apart as        mm (83 inches).
                                                                                               practicable.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Legend: Types of commercial motor vehicles shown in the last column of Table 1.
A. Buses and trucks less than 2,032 mm (80 inches) in overall width.
B. Buses and trucks 2,032 mm (80 inches) or more in overall width.
C. Truck tractors.
D. Semitrailers and full trailers 2,032 mm (80 inches) or more in overall width except converter dollies.
E. Converter dolly.
F. Semitrailers and full trailers less than 2,032 mm (80 inches) in overall width.
G. Pole trailers.
H. Projecting loads.
Note: Lamps and reflectors may be combined as permitted by Sec. 393.22 and S5.4 of 49 CFR 571.108, Equipment combinations.
Footnote--1 Identification lamps may be mounted on the vertical centerline of the cab where different from the centerline of the vehicle, except where
  the cab is not more than 42 inches wide at the front roofline, then a single lamp at the center of the cab shall be deemed to comply with the
  requirements for identification lamps. No part of the identification lamps or their mountings may extend below the top of the vehicle windshield.
Footnote--2 Unless the turn signals on the front are so constructed (double-faced) and located as to be visible to passing drivers, two turn signals are
  required on the rear of the truck tractor, one at each side as far apart as practicable.
Footnote--3 The identification lamps need not be visible or lighted if obscured by a vehicle in the same combination.
Footnote--4 Any semitrailer or full trailer manufactured on or after March 1, 1979, shall be equipped with rear side-marker lamps at a height of not
  less than 381 mm (15 inches), and on the rear of trailers not more than 1,524 mm (60 inches) above the road surface, as measured from the center of
  the lamp on the vehicle at curb weight.

[[Page 444]]

 
Footnote--5 Each converter dolly, when towed singly by another vehicle and not as part of a full trailer, shall be equipped with one stop lamp, one tail
  lamp, and two reflectors (one on each side of the vertical centerline, as far apart as practicable) on the rear. Each converter dolly shall be
  equipped with rear turn signals and vehicular hazard warning signal flasher lamps when towed singly by another vehicle and not as part of a full
  trailer, if the converter dolly obscures the turn signals at the rear of the towing vehicle.
Footnote--6 Pole trailers shall be equipped with two reflex reflectors on the rear, one on each side of the vertical centerline as far apart as
  practicable, to indicate the extreme width of the trailer.
Footnote--7 Pole trailers, when towed by motor vehicles with rear identification lamps meeting the requirements of Sec. 393.11 and mounted at a height
  greater than the load being transported on the pole trailer, are not required to have rear identification lamps.
Footnote--8 Pole trailers shall have on the rearmost support for the load: (1) two front clearance lamps, one on each side of the vehicle, both on the
  same level and as high as practicable to indicate the overall width of the pole trailer; (2) two rear clearance lamps, one on each side of the
  vehicle, both on the same level and as high as practicable to indicate the overall width of the pole trailer; (3) two rear side marker lamps, one on
  each side of the vehicle, both on the same level, not less than 375 mm (15 inches) above the road surface; (4) two rear reflex reflectors, one on each
  side, both on the same level, not less than 375 mm (15 inches) above the road surface to indicate maximum width of the pole trailer; and (5) one red
  reflector on each side of the rearmost support for the load. Lamps and reflectors may be combined as allowed in Sec. 393.22.
Footnote--9 Any motor vehicle transporting a load which extends more than 102 mm (4 inches) beyond the overall width of the motor vehicle shall be
  equipped with the following lamps in addition to other required lamps when operated during the hours when headlamps are required to be used.
(1) The foremost edge of that portion of the load which projects beyond the side of the vehicle shall be marked (at its outermost extremity) with an
  amber lamp visible from the front and side.
(2) The rearmost edge of that portion of the load which projects beyond the side of the vehicle shall be marked (at its outermost extremity) with a red
  lamp visible from the rear and side.
(3) If the projecting load does not measure more than 914 mm (3 feet) from front to rear, it shall be marked with an amber lamp visible from the front,
  both sides, and rear, except that if the projection is located at or near the rear it shall be marked by a red lamp visible from front, side, and
  rear.
Footnote--10 Projections beyond rear of motor vehicles. Motor vehicles transporting loads which extend more than 1,219 mm (4 feet) beyond the rear of
  the motor vehicle, or which have tailboards or tailgates extending more than 1,219 mm (4 feet) beyond the body, shall have these projections marked as
  follows when the vehicle is operated during the hours when headlamps are required to be used:
(1) On each side of the projecting load, one red side marker lamp, visible from the side, located so as to indicate maximum overhang.
(2) On the rear of the projecting load, two red lamps, visible from the rear, one at each side; and two red reflectors visible from the rear, one at
  each side, located so as to indicate maximum width.
Footnote--11 To be illuminated when tractor headlamps are illuminated.
Footnote--12 Every bus, truck, and truck tractor shall be equipped with a signaling system that, in addition to signaling turning movements, shall have
  a switch or combination of switches that will cause the two front turn signals and the two rear signals to flash simultaneously as a vehicular traffic
  signal warning, required by Sec. 392.22(a). The system shall be capable of flashing simultaneously with the ignition of the vehicle on or off.
Footnote--13 To be actuated upon application of service brakes.
Footnote--14 Backup lamp required to operate when bus, truck, or truck tractor is in reverse.
Footnote--15
(1) For the purposes of Sec. 393.11, the term ``overall width'' refers to the nominal design dimension of the widest part of the vehicle, exclusive of
  the signal lamps, marker lamps, outside rearview mirrors, flexible fender extensions, and mud flaps.
(2) Clearance lamps may be mounted at a location other than on the front and rear if necessary to indicate the overall width of a vehicle, or for
  protection from damage during normal operation of the vehicle.
(3) On a trailer, the front clearance lamps may be mounted at a height below the extreme height if mounting at the extreme height results in the lamps
  failing to mark the overall width of the trailer.
(4) On a truck tractor, clearance lamps mounted on the cab may be located to indicate the width of the cab, rather than the width of the vehicle.
(5) When the rear identification lamps are mounted at the extreme height of a vehicle, rear clearance lamps are not required to be located as close as
  practicable to the top of the vehicle.
Footnote--16 A trailer subject to this part that is less than 1829 mm (6 feet) in overall length, including the trailer tongue, need not be equipped
  with front side marker lamps and front side reflex reflectors.
Footnote--17 A boat trailer subject to this part whose overall width is 2032 mm (80 inches) or more need not be equipped with both front and rear
  clearance lamps provided an amber (front) and red (rear) clearance lamp is located at or near the midpoint on each side so as to indicate its extreme
  width.


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[70 FR 48027, Aug. 15, 2005, as amended at 72 FR 32014, June 11, 2007; 
72 FR 33562, June 18, 2007; 78 FR 58484, Sept. 24, 2013]

[[Page 457]]



Sec.393.13  Retroreflective sheeting and reflex reflectors, requirements
for semitrailers and trailers manufactured before December 1, 1993.

    (a) Applicability. All trailers and semitrailers manufactured prior 
to December 1, 1993, which have an overall width of 2,032 mm (80 inches) 
or more and a gross vehicle weight rating of 4,536 kg (10,001 pounds) or 
more, except trailers that are manufactured exclusively for use as 
offices or dwellings, pole trailers (as defined in Sec.390.5 of this 
subchapter), and trailers transported in a driveaway-towaway operation, 
must be equipped with retroreflective sheeting or an array of reflex 
reflectors that meet the requirements of this section. Motor carriers 
operating trailers, other than container chassis (as defined in Sec.
393.5), have until June 1, 2001, to comply with the requirements of this 
section. Motor carriers operating container chassis have until December 
1, 2001, to comply with the requirements of this section.
    (b) Retroreflective sheeting and reflex reflectors. Motor carriers 
are encouraged to retrofit their trailers with a conspicuity system that 
meets all of the requirements applicable to trailers manufactured on or 
after December 1, 1993, including the use of retroreflective sheeting or 
reflex reflectors in a red and white pattern (see Federal Motor Vehicle 
Safety Standard No. 108 (49 CFR 571.108), S5.7, Conspicuity systems). 
Motor carriers which do not retrofit their trailers to meet the 
requirements of FMVSS No. 108, for example by using an alternative color 
pattern, must comply with the remainder of this paragraph and with 
paragraph (c) or (d) of this section. Retroreflective sheeting or reflex 
reflectors in colors or color combinations other than red and white may 
be used on the sides or lower rear area of the semitrailer or trailer 
until June 1, 2009. The alternate color or color combination must be 
uniform along the sides and lower rear area of the trailer. The 
retroreflective sheeting or reflex reflectors on the upper rear area of 
the trailer must be white and conform to the requirements of FMVSS No. 
108 (S5.7). Red retroreflective sheeting or reflex reflectors shall not 
be used along the sides of the trailer unless it is used as part of a 
red and white pattern. Retroreflective sheeting shall have a width of at 
least 50 mm (2 inches).
    (c) Locations for retroreflective sheeting--(1) Sides. 
Retroreflective sheeting shall be applied to each side of the trailer or 
semitrailer. Each strip of retroreflective sheeting shall be positioned 
as horizontally as practicable, beginning and ending as close to the 
front and rear as practicable. The strip need not be continuous but the 
sum of the length of all of the segments shall be at least half of the 
length of the trailer and the spaces between the segments of the strip 
shall be distributed as evenly as practicable. The centerline for each 
strip of retroreflective sheeting shall be between 375 mm (15 inches) 
and 1,525 mm (60 inches) above the road surface when measured with the 
trailer empty or unladen, or as close as practicable to this area. If 
necessary to clear rivet heads or other similar obstructions, 50 mm (2 
inches) wide retroreflective sheeting may be separated into two 25 mm (1 
inch) wide strips of the same length and color, separated by a space of 
not more than 25 mm (1 inch).
    (2) Lower rear area. The rear of each trailer and semitrailer must 
be equipped with retroreflective sheeting. Each strip of retroreflective 
sheeting shall be positioned as horizontally as practicable, extending 
across the full width of the trailer, beginning and ending as close to 
the extreme edges as practicable. The centerline for each of the strips 
of retroreflective sheeting shall be between 375 mm (15 inches) and 
1,525 mm (60 inches) above the road surface when measured with the 
trailer empty or unladen, or as close as practicable to this area.
    (3) Upper rear area. Two pairs of white strips of retroreflective 
sheeting, each pair consisting of strips 300 mm (12 inches) long, must 
be positioned horizontally and vertically on the right and left upper 
corners of the rear of the body of each trailer and semitrailer, as 
close as practicable to the top of the trailer and as far apart as 
practicable. If the perimeter of the body, as viewed from the rear, is 
not square or rectangular, the strips may be applied along the 
perimeter, as close as practicable to the uppermost and outermost areas

[[Page 458]]

of the rear of the body on the left and right sides.
    (d) Locations for reflex reflectors--(1) Sides. Reflex reflectors 
shall be applied to each side of the trailer or semitrailer. Each array 
of reflex reflectors shall be positioned as horizontally as practicable, 
beginning and ending as close to the front and rear as practicable. The 
array need not be continuous but the sum of the length of all of the 
array segments shall be at least half of the length of the trailer and 
the spaces between the segments of the strip shall be distributed as 
evenly as practicable. The centerline for each array of reflex 
reflectors shall be between 375 mm (15 inches) and 1,525 mm (60 inches) 
above the road surface when measured with the trailer empty or unladen, 
or as close as practicable to this area. The center of each reflector 
shall not be more than 100 mm (4 inches) from the center of each 
adjacent reflector in the segment of the array. If reflex reflectors are 
arranged in an alternating color pattern, the length of reflectors of 
the first color shall be as close as practicable to the length of the 
reflectors of the second color.
    (2) Lower rear area. The rear of each trailer and semitrailer must 
be equipped with reflex reflectors. Each array of reflex reflectors 
shall be positioned as horizontally as practicable, extending across the 
full width of the trailer, beginning and ending as close to the extreme 
edges as practicable. The centerline for each array of reflex reflectors 
shall be between 375 mm (15 inches) and 1,525 mm (60 inches) above the 
road surface when measured with the trailer empty or unladen, or as 
close as practicable to this area. The center of each reflector shall 
not be more than 100 mm (4 inches) from the center of each adjacent 
reflector in the segment of the array.
    (3) Upper rear area. Two pairs of white reflex reflector arrays, 
each pair at least 300 mm (12 inches) long, must be positioned 
horizontally and vertically on the right and left upper corners of the 
rear of the body of each trailer and semitrailer, as close as 
practicable to the top of the trailer and as far apart as practicable. 
If the perimeter of the body, as viewed from the rear, is not square or 
rectangular, the arrays may be applied along the perimeter, as close as 
practicable to the uppermost and outermost areas of the rear of the body 
on the left and right sides. The center of each reflector shall not be 
more than 100 mm (4 inches) from the center of each adjacent reflector 
in the segment of the array.

[64 FR 15605, Mar. 31, 1999, as amended at 66 FR 30339, June 6, 2001]



Sec.393.17  Lamps and reflectors--combinations in 
driveaway-towaway operation.

    A combination of motor vehicles engaged in driveaway-towaway 
operation must be equipped with operative lamps and reflectors 
conforming to the rules in this section.
    (a) The towing vehicle must be equipped as follows:
    (1) On the front, there must be at least two headlamps, an equal 
number at each side, two turn signals, one at each side, and two 
clearance lamps, one at each side.
    (2) On each side, there must be at least one side-marker lamp, 
located near the front of the vehicle.
    (3) On the rear, there must be at least two tail lamps, one at each 
side, and two stop lamps, one at each side.
    (b) Except as provided in paragraph (c) of this section, the 
rearmost towed vehicle of the combination (including the towed vehicles 
of a tow-bar combination, the towed vehicle of a single saddle-mount 
combination, and the rearmost towed vehicle of a double or triple 
saddle-mount combination) or, in the case of a vehicle full-mounted on a 
saddle-mount vehicle, either the full-mounted vehicle or the rearmost 
saddle-mounted vehicle must be equipped as follows:
    (1) On each side, there must be at least one side-marker lamp, 
located near the rear of the vehicle.
    (2) On the rear, there must be at least two tail lamps, two stop 
lamps, two turn signals, two clearance lamps, and two reflectors, one of 
each type at each side. In addition, if any vehicle in the combination 
is 80 inches or more in overall width, there must be three 
identification lamps on the rear.
    (c) If the towed vehicle in a combination is a mobile structure 
trailer, it must be equipped in accordance with

[[Page 459]]

the following lighting devices. For the purposes of this part, mobile 
structure trailer means a trailer that has a roof and walls, is at least 
10 feet wide, and can be used off road for dwelling or commercial 
purposes.
    (1) When the vehicle is operated in accordance with the terms of a 
special permit prohibiting operation during the times when lighted lamps 
are required under Sec.392.30, it must have on the rear--
    (i) Two stop lamps, one on each side of the vertical centerline, at 
the same height, and as far apart as practicable;
    (ii) Two tail lamps, one on each side of the vertical centerline, at 
the same height, and as far apart as practicable;
    (iii) Two red reflex reflectors, one on each side of the vertical 
centerline, at the same height, and as far apart as practicable; and
    (iv) Two turn signal lamps, one on each side of the vertical 
centerline, at the same height, and as far apart as practicable.
    (2) At all other times, the vehicle must be equipped as specified in 
paragraph (b) of this section.
    (d) An intermediate towed vehicle in a combination consisting of 
more than two vehicles (including the first saddle-mounted vehicle of a 
double saddle-mount combination and the first and second saddle-mount 
vehicles of a triple saddle-mount combination) must have one side-marker 
lamp on each side, located near the rear of the vehicle.

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(49 U.S.C. 304, 1655; 49 CFR 1.48(b) and 301.60)

[40 FR 36126, Aug. 19, 1975, as amended at 47 FR 47837, Oct. 28, 1982; 
70 FR 48044, Aug. 15, 2005; 77 FR 59828, Oct. 1, 2012]



Sec.393.19  Hazard warning signals.

    The hazard warning signal operating unit on each commercial motor 
vehicle shall operate independently of the ignition or equivalent 
switch, and when activated, cause all turn signals required by Sec.
393.11 to flash simultaneously.

[70 FR 48046, Aug. 15, 2005]



Sec.393.20      [Reserved]



Sec.393.22  Combination of lighting devices and reflectors.

    (a) Permitted combinations. Except as provided in paragraph (b) of 
this section, two or more lighting devices and reflectors (whether or 
not required by the rules in this part) may be combined optically if--
    (1) Each required lighting device and reflector conforms to the 
applicable rules in this part; and
    (2) Neither the mounting nor the use of a nonrequired lighting 
device or reflector impairs the effectiveness of a required lighting 
device or reflector or causes that device or reflector to be 
inconsistent with the applicable rules in this part.

[[Page 463]]

    (b) Prohibited combinations. (1) A turn signal lamp must not be 
combined optically with either a head lamp or other lighting device or 
combination of lighting devices that produces a greater intensity of 
light than the turn signal lamp.
    (2) A turn signal lamp must not be combined optically with a stop 
lamp unless the stop lamp function is always deactivated when the turn 
signal function is activated.
    (3) A clearance lamp must not be combined optically with a tail lamp 
or identification lamp.

[39 FR 26908, July 24, 1974]



Sec.393.23  Power supply for lamps.

    All required lamps must be powered by the electrical system of the 
motor vehicle with the exception of battery powered lamps used on 
projecting loads.

[70 FR 48046, Aug. 15, 2005]



Sec.393.24  Requirements for head lamps, auxiliary driving lamps and front fog lamps.

    (a) Headlamps. Every bus, truck and truck tractor shall be equipped 
with headlamps as required by Sec.393.11(a). The headlamps shall 
provide an upper and lower beam distribution of light, selectable at the 
driver's will and be steady-burning. The headlamps shall be marked in 
accordance with FMVSS No. 108. Auxiliary driving lamps and/or front fog 
lamps may not be used to satisfy the requirements of this paragraph.
    (b) Auxiliary driving lamps and front fog lamps. Commercial motor 
vehicles may be equipped with auxiliary driving lamps and/or front fog 
lamps for use in conjunction with, but not in lieu of the required 
headlamps. Auxiliary driving lamps shall meet SAE Standard J581 
Auxiliary Upper Beam Lamps, July 2004, and front fog lamps shall meet 
SAE Standard J583 Front Fog Lamp, August 2004. (See Sec.393.7 for 
information on the incorporation by reference and availability of these 
documents.)
    (c) Mounting. Headlamps shall be mounted and aimable in accordance 
with FMVSS No. 108. Auxiliary driving lamps and front fog lamps shall be 
mounted so that the beams are aimable and the mounting shall prevent the 
aim of the lighting device from being disturbed while the vehicle is 
operating on public roads.
    (d) Aiming. Headlamps, auxiliary driving lamps and front fog lamps 
shall be aimed to meet the aiming specifications in FMVSS No. 108 (49 
CFR 571.108), SAE J581, and SAE J583, respectively.

[70 FR 48046, Aug. 15, 2005]



Sec.393.25  Requirements for lamps other than head lamps.

    (a) Mounting. All lamps shall be securely mounted on a rigid part of 
the vehicle. Temporary lamps must be securely mounted to the load and 
are not required to be mounted to a permanent part of the vehicle.
    (b) Visibility. Each lamp shall be located so that it meets the 
visibility requirements specified by FMVSS No. 108 in effect at the time 
of manufacture of the vehicle. Vehicles which were not subject to FMVSS 
No. 108 at the time of manufacture shall have each lamp located so that 
it meets the visibility requirements specified in the SAE standards 
listed in paragraph (c) of this section. If motor vehicle equipment 
(e.g., mirrors, snow plows, wrecker booms, backhoes, and winches) 
prevents compliance with this paragraph by any required lamp, an 
auxiliary lamp or device meeting the requirements of this paragraph 
shall be provided. This shall not be construed to apply to lamps on one 
unit which are obscured by another unit of a combination of vehicles.
    (c) Specifications. All required lamps (except marker lamps on 
projecting loads, lamps which are temporarily attached to vehicles 
transported in driveaway-towaway operations, and lamps on converter 
dollies and pole trailers) on vehicles manufactured on or after December 
25, 1968, shall, at a minimum, meet the applicable requirements of FMVSS 
No. 108 in effect on the date of manufacture of the vehicle. Marker 
lamps on projecting loads, all lamps which are temporarily attached to 
vehicles transported in driveaway-towaway operations, and all lamps on 
converter dollies and pole trailers must meet the following applicable 
SAE standards: J586--Stop Lamps for Use on

[[Page 464]]

Motor Vehicles Less Than 2032 mm in Overall Width, March 2000; J2261 
Stop Lamps and Front- and Rear-Turn Signal Lamps for Use on Motor 
Vehicles 2032 mm or More in Overall Width, January 2002; J585--Tail 
Lamps (Rear Position Lamps) for Use on Motor Vehicles Less Than 2032 mm 
in Overall Width, March 2000; J588--Turn Signal Lamps for Use on Motor 
Vehicles Less Than 2032 mm in Overall Width, March 2000; J2040--Tail 
Lamps (Rear Position Lamps) for Use on Vehicles 2032 mm or More in 
Overall Width, March 2002; J592--Sidemarker Lamps for Use on Road 
Vehicles Less Than 2032 mm in Overall Width, August 2000. (See Sec.
393.7 for information on the incorporation by reference and availability 
of these documents.)
    (d) (Reserved)
    (e) Lamps to be steady-burning. All exterior lamps (both required 
lamps and any additional lamps) shall be steady-burning with the 
exception of turn signal lamps; hazard warning signal lamps; school bus 
warning lamps; amber warning lamps or flashing warning lamps on tow 
trucks and commercial motor vehicles transporting oversized loads; and 
warning lamps on emergency and service vehicles authorized by State or 
local authorities. Lamps combined into the same shell or housing with a 
turn signal are not required to be steady burning while the turn signal 
is in use. Amber warning lamps must meet SAE J845--Optical Warning 
Devices for Authorized Emergency, Maintenance and Service Vehicles, May 
1997. Amber flashing warning lamps must meet SAE J595--Directional 
Flashing Optical Warning Devices for Authorized Emergency, Maintenance 
and Service Vehicles, January 2005. Amber gaseous discharge warning 
lamps must meet SAE J1318 Gaseous Discharge Warning Lamp for Authorized 
Emergency, Maintenance, and Service Vehicles, May 1998. (See Sec.
393.7(b) for information on the incorporation by reference and 
availability of these documents.)
    (f) Stop lamp operation. The stop lamps on each vehicle shall be 
activated upon application of the service brakes. The stop lamps are not 
required to be activated when the emergency feature of the trailer 
brakes is used or when the stop lamp is optically combined with the turn 
signal and the turn signal is in use.

[70 FR 48047, Aug. 15, 2005]



Sec.393.26  Requirements for reflectors.

    (a) Mounting. Reflex reflectors shall be mounted at the locations 
required by Sec.393.11. In the case of motor vehicles so constructed 
that requirement for a 381 mm (15-inch) minimum height above the road 
surface is not practical, the reflectors shall be mounted as close as 
practicable to the required mounting height range. All permanent reflex 
reflectors shall be securely mounted on a rigid part of the vehicle. 
Temporary reflectors on projecting loads must be securely mounted to the 
load and are not required to be permanently mounted to a part of the 
vehicle. Temporary reflex reflectors on vehicles transported in 
driveaway-towaway operations must be firmly attached.
    (b) Specifications. All required reflex reflectors (except reflex 
reflectors on projecting loads, vehicles transported in a driveaway-
towaway operation, converter dollies and pole trailers) on vehicles 
manufactured on or after December 25, 1968, shall meet the applicable 
requirements of FMVSS No. 108 in effect on the date of manufacture of 
the vehicle. Reflex reflectors on projecting loads, vehicles transported 
in a driveaway-towaway operation, and all reflex reflectors on converter 
dollies and pole trailers must conform to SAE J594--Reflex Reflectors, 
December 2003.
    (c) Substitute material for side reflex reflectors. Reflective 
material conforming to ASTM D 4956-04, Standard Specification for 
Retroreflective Sheeting for Traffic Control, may be used in lieu of 
reflex reflectors if the material as used on the vehicle, meets the 
performance standards in either Table I of SAE J594 or Table IA of SAE 
J594--Reflex Reflectors, December 2003. (See Sec.393.7(b) for 
information on the incorporation by reference and availability of these 
documents.)
    (d) Use of additional retroreflective surfaces. Additional 
retroreflective surfaces may be used in conjunction with, but not in 
lieu of the reflex reflectors required in subpart B of part 393, and the 
substitute material for side reflex

[[Page 465]]

reflectors allowed by paragraph (c) of this section, provided:
    (1) Designs do not resemble traffic control signs, lights, or 
devices, except that straight edge striping resembling a barricade 
pattern may be used.
    (2) Designs do not tend to distort the length and/or width of the 
motor vehicle.
    (3) Such surfaces shall be at least 3 inches from any required lamp 
or reflector unless of the same color as such lamp or reflector.
    (4) No red color shall be used on the front of any motor vehicle, 
except for display of markings or placards required by Sec.177.823 of 
this title.
    (5) Retroreflective license plates required by State or local 
authorities may be used.

[33 FR 19735, Dec. 25, 1968, as amended at 35 FR 3167, Feb. 19, 1970; 53 
FR 49397, Dec. 7, 1988; 70 FR 48047, Aug. 15, 2005]



Sec.393.27      [Reserved]



Sec.393.28  Wiring systems.

    Electrical wiring shall be installed and maintained to conform to 
SAE J1292--Automobile, Truck, Truck-Tractor, Trailer, and Motor Coach 
Wiring, October 1981, except the jumper cable plug and receptacle need 
not conform to SAE J560. The reference to SAE J1292 shall not be 
construed to require circuit protection on trailers. (See Sec.393.7(b) 
for information on the incorporation by reference and availability of 
this document.)

[70 FR 48047, Aug. 15, 2005]



Sec.393.29      [Reserved]



Sec.393.30  Battery installation.

    Every storage battery on every vehicle, unless located in the engine 
compartment, shall be covered by a fixed part of the motor vehicle or 
protected by a removable cover or enclosure. Removable covers or 
enclosures shall be substantial and shall be securely latched or 
fastened. The storage battery compartment and adjacent metal parts which 
might corrode by reason of battery leakage shall be painted or coated 
with an acid-resisting paint or coating and shall have openings to 
provide ample battery ventilation and drainage. Wherever the cable to 
the starting motor passes through a metal compartment, the cable shall 
be protected against grounding by an acid and waterproof insulating 
bushing. Wherever a battery and a fuel tank are both placed under the 
driver's seat, they shall be partitioned from each other, and each 
compartment shall be provided with an independent cover, ventilation, 
and drainage.



Sec. Sec.393.31-393.33  [Reserved]



                            Subpart C_Brakes



Sec.393.40  Required brake systems.

    (a) Each commercial motor vehicle must have brakes adequate to stop 
and hold the vehicle or combination of motor vehicles. Each commercial 
motor vehicle must meet the applicable service, parking, and emergency 
brake system requirements provided in this section.
    (b) Service brakes--(1) Hydraulic brake systems. Motor vehicles 
equipped with hydraulic brake systems and manufactured on or after 
September 2, 1983, must, at a minimum, have a service brake system that 
meets the requirements of FMVSS No. 105 in effect on the date of 
manufacture. Motor vehicles which were not subject to FMVSS No. 105 on 
the date of manufacture must have a service brake system that meets the 
applicable requirements of Sec. Sec.393.42, 393.48, 393.49, 393.51, 
and 393.52 of this subpart.
    (2) Air brake systems. Buses, trucks and truck-tractors equipped 
with air brake systems and manufactured on or after March 1, 1975, and 
trailers manufactured on or after January 1, 1975, must, at a minimum, 
have a service brake system that meets the requirements of FMVSS No. 121 
in effect on the date of manufacture. Motor vehicles which were not 
subject to FMVSS No. 121 on the date of manufacture must have a service 
brake system that meets the applicable requirements of Sec. Sec.
393.42, 393.48, 393.49, 393.51, and 393.52 of this subpart.
    (3) Vacuum brake systems. Motor vehicles equipped with vacuum brake 
systems must have a service brake system that meets the applicable 
requirements of Sec. Sec.393.42, 393.48, 393.49, 393.51, and 393.52 of 
this subpart.

[[Page 466]]

    (4) Electric brake systems. Motor vehicles equipped with electric 
brake systems must have a service brake system that meets the applicable 
requirements of Sec. Sec.393.42, 393.48, 393.49 and 393.52 of this 
subpart.
    (5) Surge brake systems. Motor vehicles equipped with surge brake 
systems must have a service brake system that meets the applicable 
requirements of Sec. Sec.393.42, 393.48, 393.49, and 393.52 of this 
subpart.
    (c) Parking brakes. Each commercial motor vehicle must be equipped 
with a parking brake system that meets the applicable requirements of 
Sec.393.41.
    (d) Emergency brakes--partial failure of service brakes--(1) 
Hydraulic brake systems. Motor vehicles manufactured on or after 
September 2, 1983, and equipped with a split service brake system must, 
at a minimum, meet the partial failure requirements of FMVSS No. 105 in 
effect on the date of manufacture.
    (2) Air brake systems. Buses, trucks and truck tractors manufactured 
on or after March 1, 1975, and trailers manufactured on or after January 
1, 1975, must be equipped with an emergency brake system which, at a 
minumum, meets the requirements of FMVSS No. 121 in effect on the date 
of manufacture.
    (3) Vehicles not subject to FMVSS Nos. 105 and 121 on the date of 
manufacture. Buses, trucks and truck tractors not subject to FMVSS Nos. 
105 or 121 on the date of manufacture must meet the requirements of 
Sec.393.40(e). Trailers not subject to FMVSS No. 121 at the time of 
manufacture must meet the requirements of Sec.393.43.
    (e) Emergency brakes, vehicles manufactured on or after July 1, 
1973. (1) A bus, truck, truck tractor, or a combination of motor 
vehicles manufactured on or after July 1, 1973, and not covered under 
paragraphs (d)(1) or (d)(2) of this section, must have an emergency 
brake system which consists of emergency features of the service brake 
system or an emergency system separate from the service brake system. 
The emergency brake system must meet the applicable requirements of 
Sec. Sec.393.43 and 393.52.
    (2) A control by which the driver applies the emergency brake system 
must be located so that the driver can operate it from the normal 
seating position while restrained by any seat belts with which the 
vehicle is equipped. The emergency brake control may be combined with 
either the service brake control or the parking brake control. However, 
all three controls may not be combined.
    (f) Interconnected systems. (1) If the brake systems required by 
Sec.393.40(a) are interconnected in any way, they must be designed, 
constructed, and maintained so that in the event of a failure of any 
part of the operating mechanism of one or more of the systems (except 
the service brake actuation pedal or valve), the motor vehicle will have 
operative brakes and, for vehicles manufactured on or after July 1, 
1973, be capable of meeting the requirements of Sec.393.52(b).
    (2) A motor vehicle to which the requirements of FMVSS No. 105 
(S5.1.2), dealing with partial failure of the service brake, applied at 
the time of manufacture meets the requirements of Sec.393.40(f)(1) if 
the motor vehicle is maintained in conformity with FMVSS No. 105 and the 
motor vehicle is capable of meeting the requirements of Sec.393.52(b), 
except in the case of a structural failure of the brake master cylinder 
body.
    (3) A bus is considered to meet the requirements of Sec.
393.40(f)(1) if it meets the requirements of Sec.393.44 and Sec.
393.52(b).

[70 FR 48048, Aug. 15, 2005, as amended at 72 FR 9870, Mar. 6, 2007]



Sec.393.41  Parking brake system.

    (a) Hydraulic-braked vehicles manufactured on or after September 2, 
1983. Each truck and bus (other than a school bus) with a GVWR of 4,536 
kg (10,000 pounds) or less which is subject to this part and school 
buses with a GVWR greater than 4,536 kg (10,000 pounds) shall be 
equipped with a parking brake system as required by FMVSS No. 571.105 
(S5.2) in effect at the time of manufacture. The parking brake shall be 
capable of holding the vehicle or combination of vehicles stationary 
under any condition of loading in which it is found on a public road 
(free of ice and snow). Hydraulic-braked vehicles which were not

[[Page 467]]

subject to the parking brake requirements of FMVSS No. 571.105 (S5.2) 
must be equipped with a parking brake system that meets the requirements 
of paragraph (c) of this section.
    (b) Air-braked power units manufactured on or after March 1, 1975, 
and air-braked trailers manufactured on or after January 1, 1975. Each 
air-braked bus, truck and truck tractor manufactured on and after March 
1, 1975, and each air-braked trailer except an agricultural commodity 
trailer, converter dolly, heavy hauler trailer or pulpwood trailer, 
shall be equipped with a parking brake system as required by FMVSS No. 
121 (S5.6) in effect at the time of manufacture. The parking brake shall 
be capable of holding the vehicle or combination of vehicles stationary 
under any condition of loading in which it is found on a public road 
(free of ice and snow). An agricultural commodity trailer, heavy hauler 
or pulpwood trailer shall carry sufficient chocking blocks to prevent 
movement when parked.
    (c) Vehicles not subject to FMVSS Nos. 105 and 121 on the date of 
manufacture. (1) Each singly driven motor vehicle not subject to parking 
brake requirements of FMVSS Nos. 105 or 121 at the time of manufacturer, 
and every combination of motor vehicles must be equipped with a parking 
brake system adequate to hold the vehicle or combination on any grade on 
which it is operated, under any condition of loading in which it is 
found on a public road (free of ice and snow).
    (2) The parking brake system shall, at all times, be capable of 
being applied by either the driver's muscular effort or by spring 
action. If other energy is used to apply the parking brake, there must 
be an accumulation of that energy isolated from any common source and 
used exclusively for the operation of the parking brake.


Exception: This paragraph shall not be applicable to air-applied, 
mechanically-held parking brake systems which meet the parking brake 
requirements of FMVSS No. 121 (S5.6).
    (3) The parking brake system shall be held in the applied position 
by energy other than fluid pressure, air pressure, or electric energy. 
The parking brake system shall not be capable of being released unless 
adequate energy is available to immediately reapply the parking brake 
with the required effectiveness.

[70 FR 48048, Aug. 15, 2005]



Sec.393.42  Brakes required on all wheels.

    (a) Every commercial motor vehicle shall be equipped with brakes 
acting on all wheels. This requirement also applies to certain motor 
vehicles being towed in a driveaway-towaway operation, as follows:
    (1) Any motor vehicle towed by means of a tow-bar when another motor 
vehicle is full-mounted on the towed vehicle; and
    (2) Any saddlemount configuration with a fullmount.
    (b) Exception. (1) Trucks or truck tractors having three or more 
axles and manufactured before July 25, 1980, are not required to have 
brakes on the front wheels. However, these vehicles must meet the 
requirements of Sec.393.52.
    (2) Motor vehicles being towed in a driveaway-towaway operation 
(including the last truck of triple saddle-mount combinations (see Sec.
393.71(a)(3)) are not required to have operative brakes provided the 
combination of vehicles meets the requirements of Sec.393.52.
    (3) Any semitrailer or pole trailer (laden or unladen) with a gross 
weight of 1,361 kg (3,000 pounds) or less which is subject to this part 
is not required to be equipped with brakes if the axle weight of the 
towed vehicle does not exceed 40 percent of the sum of the axle weights 
of the towing vehicle.
    (4) Any full trailer or four-wheel pole trailer (laden or unladen) 
with a gross weight of 1,361 kg (3,000 pounds) or less which is subject 
to this part is not required to be equipped with brakes if the sum of 
the axle weights of the towed vehicle does not exceed 40 percent of the 
sum of the axle weights of the towing vehicle.
    (5) Brakes are not required on the steering axle of a three-axle 
dolly which is steered by a co-driver.
    (6) Loaded housemoving dollies, specialized trailers and dollies 
used to transport industrial furnaces, reactors,

[[Page 468]]

and similar motor vehicles are not required to be equipped with brakes, 
provided the speed at which the combination of vehicles will be operated 
does not exceed 32 km/hour (20 mph) and brakes on the combination of 
vehicles are capable of stopping the combination within 12.2 meters (40 
feet) from the speed at which the vehicle is being operated or 32 km/
hour (20 mph), whichever is less.
[GRAPHIC] [TIFF OMITTED] TR15AU05.020


[52 FR 2803, Jan. 27, 1987, as amended at 53 FR 49398, Dec. 7, 1988; 54 
FR 48617, Nov. 24, 1989; 59 FR 25574, May 17, 1994; 61 FR 1843, Jan. 24, 
1996; 70 FR 48049, Aug. 15, 2005; 76 FR 56321, Sept. 13, 2011]



Sec.393.43  Breakaway and emergency braking.

    (a) Towing vehicle protection system. Every motor vehicle, if used 
to tow a trailer equipped with brakes, shall be equipped with a means 
for providing that in the case of a breakaway of the trailer, the 
service brakes on the towing vehicle will be capable of stopping the 
towing vehicle. For air braked towing units, the tractor protection 
valve

[[Page 469]]

or similar device shall operate automatically when the air pressure on 
the towing vehicle is between 138 kPa and 310 kPa (20 psi and 45 psi).
    (b) Emergency brake requirements, air brakes. Every truck or truck 
tractor equipped with air brakes, when used for towing other vehicles 
equipped with air brakes, shall be equipped with two means of activating 
the emergency features of the trailer brakes. One of these means shall 
operate automatically in the event of reduction of the towing vehicle 
air supply to a fixed pressure which shall not be lower than 20 pounds 
per square inch nor higher than 45 pounds per square inch. The other 
means shall be a manually controlled device readily operable by a person 
seated in the driving seat. Its emergency position or method of 
operation shall be clearly indicated. In no instance may the manual 
means be so arranged as to permit its use to prevent operation of the 
automatic means. The automatic and manual means required by this section 
may be, but are not required to be, separate.
    (c) Emergency brake requirements, vacuum brakes. Every truck tractor 
and truck when used for towing other vehicles equipped with vacuum 
brakes, shall have, in addition to the single control required by Sec.
393.49 to operate all brakes of the combination, a second manual control 
device which can be used to operate the brakes on the towed vehicles in 
emergencies. Such second control shall be independent of brake air, 
hydraulic, and other pressure, and independent of other controls, unless 
the braking system be so arranged that failure of the pressure on which 
the second control depends will cause the towed vehicle brakes to be 
applied automatically. The second control is not required by this rule 
to provide modulated or graduated braking.
    (d) Breakaway braking requirements for trailers. Every trailer 
required to be equipped with brakes shall have brakes which apply 
automatically and immediately upon breakaway from the towing vehicle. 
With the exception of trailers having three or more axles, all brakes 
with which the trailer is required to be equipped must be applied upon 
breakaway from the towing vehicle. The brakes must remain in the applied 
position for at least 15 minutes.
    (e) Emergency valves. Air brake systems installed on towed vehicles 
shall be so designed, by the use of ``no-bleed-back'' relay emergency 
valves or equivalent devices, that the supply reservoir used to provide 
air for brakes shall be safeguarded against backflow of air to the 
towing vehicle upon reduction of the towing vehicle air pressure.
    (f) Exception. The requirements of paragraphs (b), (c) and (d) of 
this section shall not be applicable to commercial motor vehicles being 
transported in driveaway-towaway operations.

[53 FR 49384, Dec. 7, 1988, as amended at 70 FR 48050, Aug. 15, 2005]



Sec.393.44  Front brake lines, protection.

    On every bus, if equipped with air brakes, the braking system shall 
be so constructed that in the event any brake line to any of the front 
wheels is broken, the driver can apply the brakes on the rear wheels 
despite such breakage. The means used to apply the brakes may be located 
forward of the driver's seat as long as it can be operated manually by 
the driver when the driver is properly restrained by any seat belt 
assembly provided for use. Every bus shall meet this requirement or 
comply with the regulations in effect at the time of its manufacture.

[53 FR 49400, Dec. 7, 1988]



Sec.393.45  Brake tubing and hoses; hose assemblies and end fittings.

    (a) General construction requirements for tubing and hoses, 
assemblies, and end fittings. All brake tubing and hoses, brake hose 
assemblies, and brake hose end fittings must meet the applicable 
requirements of FMVSS No. 106 (49 CFR 571.106).
    (b) Brake tubing and hose installation. Brake tubing and hose must--
    (1) Be long and flexible enough to accommodate without damage all 
normal motions of the parts to which it is attached;
    (2) Be secured against chaffing, kinking, or other mechanical 
damage; and
    (3) Be installed in a manner that prevents it from contacting the 
vehicle's

[[Page 470]]

exhaust system or any other source of high temperatures.
    (c) Nonmetallic brake tubing. Coiled nonmetallic brake tubing may be 
used for connections between towed and towing motor vehicles or between 
the frame of a towed vehicle and the unsprung subframe of an adjustable 
axle of the motor vehicle if--
    (1) The coiled tubing has a straight segment (pigtail) at each end 
that is at least 51 mm (2 inches) in length and is encased in a spring 
guard or similar device which prevents the tubing from kinking at the 
fitting at which it is attached to the vehicle; and
    (2) The spring guard or similar device has at least 51 mm (2 inches) 
of closed coils or similar surface at its interface with the fitting and 
extends at least 38 mm (1\1/2\ inches) into the coiled segment of the 
tubing from its straight segment.
    (d) Brake tubing and hose connections. All connections for air, 
vacuum, or hydraulic braking systems shall be installed so as to ensure 
an attachment free of leaks, constrictions or other conditions which 
would adversely affect the performance of the brake system.

[70 FR 48050, Aug. 15, 2005]



Sec.393.46      [Reserved]



Sec.393.47  Brake actuators, slack adjusters, linings/pads and drums/rotors.

    (a) General requirements. Brake components must be constructed, 
installed and maintained to prevent excessive fading and grabbing. The 
means of attachment and physical characteristics must provide for safe 
and reliable stopping of the commercial motor vehicle.
    (b) Brake chambers. The service brake chambers and spring brake 
chambers on each end of an axle must be the same size.
    (c) Slack adjusters. The effective length of the slack adjuster on 
each end of an axle must be the same.
    (d) Linings and pads. The thickness of the brake linings or pads 
shall meet the applicable requirements of this paragraph--
    (1) Steering axle brakes. The brake lining/pad thickness on the 
steering axle of a truck, truck-tractor or bus shall not be less than 
4.8 mm (\3/16\ inch) at the shoe center for a shoe with a continuous 
strip of lining; less than 6.4 mm (\1/4\ inch) at the shoe center for a 
shoe with two pads; or worn to the wear indicator if the lining is so 
marked, for air drum brakes. The steering axle brake lining/pad 
thickness shall not be less than 3.2 mm (\1/8\ inch) for air disc 
brakes, or 1.6 mm (\1/16\ inch) or less for hydraulic disc, drum and 
electric brakes.
    (2) Non-steering axle brakes. An air braked commercial motor vehicle 
shall not be operated with brake lining/pad thickness less than 6.4 mm 
(\1/4\ inch) or to the wear indicator if the lining is so marked 
(measured at the shoe center for drum brakes); or less than 3.2 mm (\1/
8\ inch) for disc brakes. Hydraulic or electric braked commercial motor 
vehicles shall not be operated with a lining/pad thickness less than 1.6 
mm (\1/16\ inch) (measured at the shoe center) for disc or drum brakes.
    (e) Clamp, Bendix DD-3, bolt-type, and rotochamber brake actuator 
readjustment limits. (1) The pushrod stroke must not be greater than the 
values specified in the following tables:

                        Clamp-Type Brake Chambers
------------------------------------------------------------------------
                                  Brake readjustment  Brake readjustment
   Type       Outside diameter     limit: standard    limit: long stroke
                                    stroke chamber          chamber
------------------------------------------------------------------------
6.........  4 \1/2\ in. (114     1 \1/4\ in. (31.8
             mm).                 mm).
9.........  5 \1/4\ in. (133     1 \3/8\ in. (34.9
             mm).                 mm).
12........  5 \11/16\ in. (145   1 \3/8\ in. (34.9    1 \3/4\ in. (44.5
             mm).                 mm).                 mm).
16........  6 \3/8\ in. (162     1 \3/4\ in. (44.5    2 in. (50.8 mm).
             mm).                 mm).
20........  6 \25/32\ in. (172   1 \3/4\ in. (44.5    2 in. (50.8 mm).
             mm).                 mm).                2 \1/2\ in. (63.5
                                                       mm).\1\
24........  7 \7/32\ in. (184    1 \3/4\ in. (44.5    2 in. (50.8 mm).
             mm).                 mm).                2 \1/2\ in. (63.5
                                                       mm).\2\
30........  8 \3/32\ in. (206    2 in. (50.8 mm)....  2 \1/2\ in. (63.5
             mm).                                      mm).
36........  9 in. (229 mm).....  2 \1/4\ in. (57.2
                                  mm).
------------------------------------------------------------------------
\1\ For type 20 chambers with a 3-inch (76 mm) rated stroke.
\2\ For type 24 chambers with a 3-inch (76 mm) rated stroke.


[[Page 471]]


                       Bendix DD-3 Brake Chambers
------------------------------------------------------------------------
       Type             Outside diameter        Brake readjustment limit
------------------------------------------------------------------------
30...............  8 \1/8\ in. (206 mm)......  2 \1/4\ in. (57.2 mm).
------------------------------------------------------------------------


                        Bolt-Type Brake Chambers
------------------------------------------------------------------------
       Type             Outside diameter        Brake readjustment limit
------------------------------------------------------------------------
A................  6 \15/16\ in. (176 mm)....  1 \3/8\ in. (34.9 mm).
B................  9 \3/16\ in. (234 mm).....  1 \3/4\ in. (44.5 mm).
C................  8 \1/16\ in. (205 mm).....  1 \3/4\ in. (44.5 mm).
D................  5 \1/4\ in. (133 mm)......  1 \1/4\ in. (31.8 mm).
E................  6 \3/16\ in. (157 mm).....  1 \3/8\ in. (34.9 mm).
F................  11 in. (279 mm)...........  2 \1/4\ in. (57.2 mm).
G................  9 \7/8\ in. (251 mm)......  2 in. (50.8 mm).
------------------------------------------------------------------------


                     Rotochamber-Type Brake Chambers
------------------------------------------------------------------------
       Type             Outside diameter        Brake readjustment limit
------------------------------------------------------------------------
9................  4 \9/32\ in. (109 mm).....  1 \1/2\ in. (38.1 mm).
12...............  4 \13/16\ in. (122 mm)....  1 \1/2\ in. (38.1 mm).
16...............  5 \13/32\ in. (138 mm)....  2 in. (50.8 mm).
20...............  5 \15/16\ in. (151 mm)....  2 in. (50.8 mm).
24...............  6 \13/32\ in. (163 mm)....  2 in. (50.8 mm).
30...............  7 \1/16\ in. (180 mm).....  2 \1/4\ in. (57.2 mm).
36...............  7 \5/8\ in. (194 mm)......  2 \3/4\ in. (69.9 mm).
50...............  8 \7/8\ in. (226 mm)......  3 in. (76.2 mm).
------------------------------------------------------------------------

    (2) For actuator types not listed in these tables, the pushrod 
stroke must not be greater than 80 percent of the rated stroke marked on 
the actuator by the actuator manufacturer, or greater than the 
readjustment limit marked on the actuator by the actuator manufacturer.
    (f) Wedge brake adjustment. The movement of the scribe mark on the 
lining shall not exceed 1.6 mm (\1/16\ inch).
    (g) Drums and rotors. The thickness of the drums or rotors shall not 
be less than the limits established by the brake drum or rotor 
manufacturer.

[70 FR 48051, Aug. 15, 2005, as amended at 77 FR 46638, Aug. 6, 2012]



Sec.393.48  Brakes to be operative.

    (a) General rule. Except as provided in paragraphs (b), (c), and (d) 
of this section, all brakes with which a motor vehicle is equipped must 
at all times be capable of operating.
    (b) Devices to reduce or remove front-wheel braking effort. A 
commercial motor vehicle may be equipped with a device to reduce the 
front wheel braking effort (or in the case of a three-axle truck or 
truck tractor manufactured before March 1, 1975, a device to remove the 
front-wheel braking effort) if that device meets the applicable 
requirements of paragraphs (b)(1) and (2) of this section.
    (1) Manually operated devices. Manually operated devices to reduce 
or remove front-wheel braking effort may only be used on buses, trucks, 
and truck tractors manufactured before March 1, 1975. Such devices must 
not be used unless the vehicle is being operated under adverse 
conditions such as wet, snowy, or icy roads.
    (2) Automatic devices. Automatic devices must not reduce the front-
wheel braking force by more than 50 percent of the braking force 
available when the automatic device is disconnected (regardless of 
whether or not an antilock system failure has occurred on any axle). The 
device must not be operable by the driver except upon application of the 
control that activates the braking system. The device must not be 
operable when the brake control application pressure exceeds 85 psig 
(for vehicles equipped with air brakes) or 85 percent of the maximum 
system pressure (for vehicles which are not equipped with air brakes).
    (c) Exception. Paragraph (a) of this section does not apply to--

[[Page 472]]

    (1) A towed vehicle with disabling damage as defined in Sec.390.5;
    (2) A vehicle which is towed in a driveaway-towaway operation and is 
included in the exemption to the requirement for brakes on all wheels, 
Sec.393.42(b);
    (3) Unladen converter dollies with a gross weight of 1,361 kg (3,000 
lbs) or less, and manufactured prior to March 1, 1998;
    (4) The steering axle of a three-axle dolly which is steered by a 
co-driver;
    (5) Loaded house moving dollies, specialized trailers and dollies 
used to transport industrial furnaces, reactors, and similar motor 
vehicles provided the speed at which the combination of vehicles will be 
operated does not exceed 32 km/hour (20 mph) and brakes on the 
combination of vehicles are capable of stopping the combination within 
12.2 meters (40 feet) from the speed at which the vehicle is being 
operated or 32 km/hour (20 mph), whichever is less.
    (6) Raised lift axles. Brakes on lift axles need not be capable of 
being operated while the lift axle is raised. However, brakes on lift 
axles must be capable of being applied whenever the lift axle is lowered 
and the tires contact the roadway.
    (d) Surge brakes. (1) Surge brakes are allowed on:
    (i) Any trailer with a gross vehicle weight rating (GVWR) of 12,000 
pounds or less, when its GVWR does not exceed 1.75 times the GVWR of the 
towing vehicle; and
    (ii) Any trailer with a GVWR greater than 12,000 pounds, but less 
than 20,001 pounds, when its GVWR does not exceed 1.25 times the GVWR of 
the towing vehicle.
    (2) The gross vehicle weight (GVW) of a trailer equipped with surge 
brakes may be used instead of its GVWR to calculate compliance with the 
weight ratios specified in paragraph (d)(1) of this section when the 
trailer manufacturer's GVWR label is missing.
    (3) The GVW of a trailer equipped with surge brakes must be used to 
calculate compliance with the weight ratios specified in paragraph 
(d)(1) of this section when the trailer's GVW exceeds its GVWR.
    (4) The surge brakes must meet the requirements of Sec.393.40.

[70 FR 48051, Aug. 15, 2005, as amended at 72 FR 9870, Mar. 6, 2007]



Sec.393.49  Control valves for brakes.

    (a) General rule. Except as provided in paragraphs (b) and (c) of 
this section, every motor vehicle manufactured after June 30, 1953, 
which is equipped with power brakes, must have the braking system so 
arranged that one application valve must when activated cause all of the 
service brakes on the motor vehicle or combination motor vehicle to 
operate. This requirement must not be construed to prohibit motor 
vehicles from being equipped with an additional valve to be used to 
operate the brakes on a trailer or trailers or as required for buses in 
Sec.393.44.
    (b) Driveaway-Towaway Exception. This section is not applicable to 
driveaway-towaway operations unless the brakes on such operations are 
designed to be operated by a single valve.
    (c) Surge brake exception. This requirement is not applicable to 
trailers equipped with surge brakes that satisfy the conditions 
specified in Sec.393.48(d).

[72 FR 9871, Mar. 6, 2007, as amended at 78 FR 58484, Sept. 24, 2013]



Sec.393.50  Reservoirs required.

    (a) Reservoir capacity for air-braked power units manufactured on or 
after March 1, 1975, and air-braked trailers manufactured on or after 
January 1, 1975. Buses, trucks, and truck-tractors manufactured on or 
after March 1, 1975, and air-braked trailers manufactured on or after 
January 1, 1975, must meet the reservoir requirements of FMVSS No. 121, 
S5.1.2, in effect on the date of manufacture.
    (b) Reservoir capacity for air-braked vehicles not subject to FMVSS 
No. 121 on the date of manufacture and all vacuum braked vehicles. Each 
motor vehicle using air or vacuum braking must have either reserve 
capacity, or a reservoir, that would enable the driver to make a full 
service brake application with the engine stopped without depleting the 
air pressure or vacuum below 70 percent of that indicated by the air or 
vacuum gauge immediately before the

[[Page 473]]

brake application is made. For the purposes of this paragraph, a full 
service brake application means depressing the brake pedal or treadle 
valve to the limit of its travel.
    (c) Safeguarding of air and vacuum. Each service reservoir system on 
a motor vehicle shall be protected against a loss of air pressure or 
vacuum due to a failure or leakage in the system between the service 
reservoir and the source of air pressure or vacuum, by check valves or 
equivalent devices whose proper functioning can be checked without 
disconnecting any air or vacuum line, or fitting.
    (d) Drain valves for air braked vehicles. Each reservoir must have a 
condensate drain valve that can be manually operated. Automatic 
condensate drain valves may be used provided (1) they may be operated 
manually, or (2) a manual means of draining the reservoirs is retained.

[70 FR 48052, Aug. 15, 2005]



Sec.393.51  Warning signals, air pressure and vacuum gauges.

    (a) General Rule. Every bus, truck and truck tractor, except as 
provided in paragraph (f), must be equipped with a signal that provides 
a warning to the driver when a failure occurs in the vehicle's service 
brake system. The warning signal must meet the applicable requirements 
of paragraphs (b), (c), (d) or (e) of this section.
    (b) Hydraulic brakes. Vehicles manufactured on or after September 1, 
1975, must meet the brake system indicator lamp requirements of FMVSS 
No. 571.105 (S5.3) applicable to the vehicle on the date of manufacture. 
Vehicles manufactured on or after July 1, 1973 but before September 1, 
1975, or to which FMVSS No. 571.105 was not applicable on the date of 
manufacture, must have a warning signal which operates before or upon 
application of the brakes in the event of a hydraulic-type complete 
failure of a partial system. The signal must be either visible within 
the driver's forward field of view or audible. The signal must be 
continuous. (NOTE: FMVSS No. 105 was applicable to trucks and buses from 
September 1, 1975 to October 12, 1976, and from September 1, 1983, to 
the present. FMVSS No. 105 was not applicable to trucks and buses 
manufactured between October 12, 1976, and September 1, 1983. Motor 
carriers have the option of equipping those vehicles to meet either the 
indicator lamp requirements of FMVSS No. 105, or the indicator lamp 
requirements specified in this paragraph for vehicles which were not 
subject to FMVSS No. 105 on the date of manufacture.)
    (c) Air brakes. A commercial motor vehicle (regardless of the date 
of manufacture) equipped with service brakes activated by compressed air 
(air brakes) or a commercial motor vehicle towing a vehicle with service 
brakes activated by compressed air (air brakes) must be equipped with a 
pressure gauge and a warning signal. Trucks, truck tractors, and buses 
manufactured on or after March 1, 1975, must, at a minimum, have a 
pressure gauge and a warning signal which meets the requirements of 
FMVSS No. 121 (S5.1.4 for the pressure gauge and S5.1.5 for the warning 
signal) applicable to the vehicle on the date of manufacture of the 
vehicle. Power units to which FMVSS No. 571.121 was not applicable on 
the date of manufacture of the vehicle must be equipped with--
    (1) A pressure gauge, visible to a person seated in the normal 
driving position, which indicates the air pressure (in kilopascals (kPa) 
or pounds per square inch (psi)) available for braking; and
    (2) A warning signal that is audible or visible to a person in the 
normal driving position and provides a continuous warning to the driver 
whenever the air pressure in the service reservoir system is at 379 kPa 
(55 psi) and below, or one-half of the compressor governor cutout 
pressure, whichever is less.
    (d) Vacuum brakes. A commercial motor vehicle (regardless of the 
date it was manufactured) having service brakes activated by vacuum or a 
vehicle towing a vehicle having service brakes activated by vacuum must 
be equipped with--
    (1) A vacuum gauge, visible to a person seated in the normal driving 
position, which indicates the vacuum (in millimeters or inches of 
mercury) available for braking; and
    (2) A warning signal that is audible or visible to a person in the 
normal

[[Page 474]]

driving position and provides a continuous warning to the driver 
whenever the vacuum in the vehicle's supply reservoir is less than 203 
mm (8 inches) of mercury.
    (e) Hydraulic brakes applied or assisted by air or vacuum. Each 
vehicle equipped with hydraulically activated service brakes which are 
applied or assisted by compressed air or vacuum, and to which FMVSS No. 
105 was not applicable on the date of manufacture, must be equipped with 
a warning signal that conforms to paragraph (b) of this section for the 
hydraulic portion of the system; paragraph (c) of this section for the 
air assist/air applied portion; or paragraph (d) of this section for the 
vacuum assist/vacuum applied portion. This paragraph shall not be 
construed as requiring air pressure gauges or vacuum gauges, only 
warning signals.
    (f) Exceptions. The rules in paragraphs (c), (d) and (e) of this 
section do not apply to property carrying commercial motor vehicles 
which have less than three axles and (1) were manufactured before July 
1, 1973, and (2) have a manufacturer's gross vehicle weight rating less 
than 4,536 kg (10,001 pounds).

[70 FR 48052, Aug. 15, 2005]



Sec.393.52  Brake performance.

    (a) Upon application of its service brakes, a motor vehicle or 
combination of motor vehicles must under any condition of loading in 
which it is found on a public highway, be capable of--
    (1) Developing a braking force at least equal to the percentage of 
its gross weight specified in the table in paragraph (d) of this 
section;
    (2) Decelerating to a stop from 20 miles per hour at not less than 
the rate specified in the table in paragraph (d) of this section; and
    (3) Stopping from 20 miles per hour in a distance, measured from the 
point at which movement of the service brake pedal or control begins, 
that is not greater than the distance specified in the table in 
paragraph (d) of this section; or, for motor vehicles or motor vehicle 
combinations that have a GVWR or GVW greater than 4,536 kg (10,000 
pounds),
    (4) Developing only the braking force specified in paragraph (a)(1) 
of this section and the stopping distance specified in paragraph (a)(3) 
of this section, if braking force is measured by a performance-based 
brake tester which meets the requirements of functional specifications 
for performance-based brake testers for commercial motor vehicles, where 
braking force is the sum of the braking force at each wheel of the 
vehicle or vehicle combination as a percentage of gross vehicle or 
combination weight.
    (b) Upon application of its emergency brake system and with no other 
brake system applied, a motor vehicle or combination of motor vehicles 
must, under any condition of loading in which it is found on a public 
highway, be capable of stopping from 20 miles per hour in a distance, 
measured from the point at which movement of the emergency brake control 
begins, that is not greater than the distance specified in the table in 
paragraph (d) of this section.
    (c) Conformity to the stopping-distance requirements of paragraphs 
(a) and (b) of this section shall be determined under the following 
conditions:
    (1) Any test must be made with the vehicle on a hard surface that is 
substantially level, dry, smooth, and free of loose material.
    (2) The vehicle must be in the center of a 12-foot-wide lane when 
the test begins and must not deviate from that lane during the test.
    (d) Vehicle brake performance table:

----------------------------------------------------------------------------------------------------------------
                                                       Service brake systems                    Emergency brake
                                     ---------------------------------------------------------      systems
                                                                                              ------------------
                                       Braking force as                      Application and    Application and
        Type of motor vehicle          a percentage of    Deceleration in    braking distance   braking distance
                                       gross vehicle or   feet per second      in feet from       in feet from
                                         combination         per second      initial speed at   initial speed of
                                            weight                                20 mph             20 mph
----------------------------------------------------------------------------------------------------------------
A. Passenger-carrying vehicles:
    (1) Vehicles with a seating                    65.2                 21                 20                 54
     capacity of 10 persons or less,
     including driver, and built on
     a passenger car chassis........

[[Page 475]]

 
    (2) Vehicles with a seating                    52.8                 17                 25                 66
     capacity of more than 10
     persons, including driver, and
     built on a passenger car
     chassis; vehicles built on a
     truck or bus chassis and having
     a manufacturer's GVWR of 10,000
     pounds or less.................
    (3) All other passenger-carrying               43.5                 14                 35                 85
     vehicles.......................
B. Property-carrying vehicles:
    (1) Single unit vehicles having                52.8                 17                 25                 66
     a manufacturer's GVWR of 10,000
     pounds or less.................
    (2) Single unit vehicles having                43.5                 14                 35                 85
     a manufacturer's GVWR of more
     than 10,000 pounds, except
     truck tractors. Combinations of
     a 2-axle towing vehicle and
     trailer having a GVWR of 3,000
     pounds or less. All
     combinations of 2 or less
     vehicles in drive-away or tow-
     away operation.................
    (3) All other property-carrying                43.5                 14                 40                90
     vehicles and combinations of
     property-carrying vehicles.....
----------------------------------------------------------------------------------------------------------------
Notes: (a) There is a definite mathematical relationship between the figures in columns 2 and 3. If the
  decelerations set forth in column 3 are divided by 32.2 feet per-second per-second, the figures in column 2
  will be obtained. (For example, 21 divided by 32.2 equals 65.2 percent.) Column 2 is included in the
  tabulation because certain brake testing devices utilize this factor.
(b) The decelerations specified in column 3 are an indication of the effectiveness of the basic brakes, and as
  measured in practical brake testing are the maximum decelerations attained at some time during the stop. These
  decelerations as measured in brake tests cannot be used to compute the values in column 4 because the
  deceleration is not sustained at the same rate over the entire period of the stop. The deceleration increases
  from zero to a maximum during a period of brake system application and brake-force buildup. Also, other
  factors may cause the deceleration to decrease after reaching a maximum. The added distance that results
  because maximum deceleration is not sustained is included in the figures in column 4 but is not indicated by
  the usual brake-testing devices for checking deceleration.
(c) The distances in column 4 and the decelerations in column 3 are not directly related. ``Brake-system
  application and braking distance in feet'' (column 4) is a definite measure of the overall effectiveness of
  the braking system, being the distance traveled between the point at which the driver starts to move the
  braking controls and the point at which the vehicle comes to rest. It includes distance traveled while the
  brakes are being applied and distance traveled while the brakes are retarding the vehicle.
(d) The distance traveled during the period of brake-system application and brake-force buildup varies with
  vehicle type, being negligible for many passenger cars and greatest for combinations of commercial vehicles.
  This fact accounts for the variation from 20 to 40 feet in the values in column 4 for the various classes of
  vehicles.
(e) The terms ``GVWR'' and ``GVW'' refer to the manufacturer's gross vehicle weight rating and the actual gross
  vehicle weight, respectively.


[36 FR 20298, Oct. 20, 1971, as amended at 37 FR 5251, Mar. 11, 1972; 37 
FR 11336, June 7, 1972; 67 FR 51777, Aug. 9, 2002]



Sec.393.53  Automatic brake adjusters and brake adjustment indicators.

    (a) Automatic brake adjusters (hydraulic brake systems). Each 
commercial motor vehicle manufactured on or after October 20, 1993, and 
equipped with a hydraulic brake system, shall meet the automatic brake 
adjustment system requirements of Federal Motor Vehicle Safety Standard 
No. 105 (49 CFR 571.105, S5.1) applicable to the vehicle at the time it 
was manufactured.
    (b) Automatic brake adjusters (air brake systems). Each commercial 
motor vehicle manufactured on or after October 20, 1994, and equipped 
with an air brake system must meet the automatic brake adjustment system 
requirements of Federal Motor Vehicle Safety Standard No. 121 (49 CFR 
571.121, S5.1.8 or S5.2.2) applicable to the vehicle at the time it was 
manufactured.
    (c) Brake adjustment indicator (air brake systems). On each 
commercial motor vehicle manufactured on or after October 20, 1994, and 
equipped with an

[[Page 476]]

air brake system which contains an external automatic adjustment 
mechanism and an exposed pushrod, the condition of service brake under-
adjustment must be displayed by a brake adjustment indicator conforming 
to the requirements of Federal Motor Vehicle Safety Standard No. 121 (49 
CFR 571.121, S5.1.8 or S5.2.2) applicable to the vehicle at the time it 
was manufactured.

[60 FR 46245, Sept. 6, 1995, as amended at 77 FR 46639, Aug. 6, 2012]



Sec.393.55  Antilock brake systems.

    (a) Hydraulic brake systems. Each truck and bus manufactured on or 
after March 1, 1999 (except trucks and buses engaged in driveaway-
towaway operations), and equipped with a hydraulic brake system, shall 
be equipped with an antilock brake system that meets the requirements of 
Federal Motor Vehicle Safety Standard (FMVSS) No. 105 (49 CFR 571.105, 
S5.5).
    (b) ABS malfunction indicators for hydraulic braked vehicles. Each 
hydraulic braked vehicle subject to the requirements of paragraph (a) of 
this section shall be equipped with an ABS malfunction indicator system 
that meets the requirements of FMVSS No. 105 (49 CFR 571.105, S5.3).
    (c) Air brake systems. (1) Each truck tractor manufactured on or 
after March 1, 1997 (except truck tractors engaged in driveaway-towaway 
operations), shall be equipped with an antilock brake system that meets 
the requirements of FMVSS No. 121 (49 CFR 571.121, S5.1.6.1(b)).
    (2) Each air braked commercial motor vehicle other than a truck 
tractor, manufactured on or after March 1, 1998 (except commercial motor 
vehicles engaged in driveaway-towaway operations), shall be equipped 
with an antilock brake system that meets the requirements of FMVSS No. 
121 (49 CFR 571.121, S5.1.6.1(a) for trucks and buses, S5.2.3 for 
semitrailers, converter dollies and full trailers).
    (d) ABS malfunction circuits and signals for air braked vehicles. 
(1) Each truck tractor manufactured on or after March 1, 1997, and each 
single-unit air braked vehicle manufactured on or after March 1, 1998, 
subject to the requirements of paragraph (c) of this section, shall be 
equipped with an electrical circuit that is capable of signaling a 
malfunction that affects the generation or transmission of response or 
control signals to the vehicle's antilock brake system (49 CFR 571.121, 
S5.1.6.2(a)).
    (2) Each truck tractor manufactured on or after March 1, 2001, and 
each single-unit vehicle that is equipped to tow another air-braked 
vehicle, subject to the requirements of paragraph (c) of this section, 
shall be equipped with an electrical circuit that is capable of 
transmitting a malfunction signal from the antilock brake system(s) on 
the towed vehicle(s) to the trailer ABS malfunction lamp in the cab of 
the towing vehicle, and shall have the means for connection of the 
electrical circuit to the towed vehicle. The ABS malfunction circuit and 
signal shall meet the requirements of FMVSS No. 121 (49 CFR 571.121, 
S5.1.6.2(b)).
    (3) Each semitrailer, trailer converter dolly, and full trailer 
manufactured on or after March 1, 2001, and subject to the requirements 
of paragraph (c)(2) of this section, shall be equipped with an 
electrical circuit that is capable of signaling a malfunction in the 
trailer's antilock brake system, and shall have the means for connection 
of this ABS malfunction circuit to the towing vehicle. In addition, each 
trailer manufactured on or after March 1, 2001, subject to the 
requirements of paragraph (c)(2) of this section, that is designed to 
tow another air-brake equipped trailer shall be capable of transmitting 
a malfunction signal from the antilock brake system(s) of the trailer(s) 
it tows to the vehicle in front of the trailer. The ABS malfunction 
circuit and signal shall meet the requirements of FMVSS No. 121 (49 CFR 
571.121, S5.2.3.2).
    (e) Exterior ABS malfunction indicator lamps for trailers. Each 
trailer (including a trailer converter dolly) manufactured on or after 
March 1, 1998, and subject to the requirements of paragraph (c)(2) of 
this section, shall be equipped with an ABS malfunction indicator lamp 
which meets the requirements of FMVSS No. 121 (49 CFR 571.121, 
S5.2.3.3).

[63 FR 24465, May 4, 1998, as amended at 75 FR 57396, Sept. 21, 2010]

[[Page 477]]



                Subpart D_Glazing and Window Construction



Sec.393.60  Glazing in specified openings.

    (a) Glazing material. Glazing material used in windshields, windows, 
and doors on a motor vehicle manufactured on or after December 25, 1968, 
shall at a minimum meet the requirements of Federal Motor Vehicle Safety 
Standard (FMVSS) No. 205 in effect on the date of manufacture of the 
motor vehicle. The glazing material shall be marked in accordance with 
FMVSS No. 205 (49 CFR 571.205, S6).
    (b) Windshields required. Each bus, truck and truck-tractor shall be 
equipped with a windshield. Each windshield or portion of a multi-piece 
windshield shall be mounted using the full periphery of the glazing 
material.
    (c) Windshield condition. With the exception of the conditions 
listed in paragraphs (c)(1), (c)(2), and (c)(3) of this section, each 
windshield shall be free of discoloration or damage in the area 
extending upward from the height of the top of the steering wheel 
(excluding a 51 mm (2 inch) border at the top of the windshield) and 
extending from a 25 mm (1 inch) border at each side of the windshield or 
windshield panel. Exceptions:
    (1) Coloring or tinting which meets the requirements of paragraph 
(d) of this section;
    (2) Any crack that is not intersected by any other cracks;
    (3) Any damaged area which can be covered by a disc 19 mm (\3/4\ 
inch) in diameter if not closer than 76 mm (3 inches) to any other 
similarly damaged area.
    (d) Coloring or tinting of windshields and windows. Coloring or 
tinting of windshields and the windows to the immediate right and left 
of the driver is allowed, provided the parallel luminous transmittance 
through the colored or tinted glazing is not less than 70 percent of the 
light at normal incidence in those portions of the windshield or windows 
which are marked as having a parallel luminous transmittance of not less 
than 70 percent. The transmittance restriction does not apply to other 
windows on the commercial motor vehicle.
    (e) Prohibition on obstructions to the driver's field of view--(1) 
Devices mounted at the top of the windshield. Antennas, transponders, 
and similar devices must not be mounted more than 152 mm (6 inches) 
below the upper edge of the windshield. These devices must be located 
outside the area swept by the windshield wipers, and outside the 
driver's sight lines to the road and highway signs and signals.
    (2) Decals and stickers mounted on the windshield. Commercial 
Vehicle Safety Alliance (CVSA) inspection decals, and stickers and/or 
decals required under Federal or State laws may be placed at the bottom 
or sides of the windshield provided such decals or stickers do not 
extend more than 115 mm (4\1/2\ inches) from the bottom of the 
windshield and are located outside the area swept by the windshield 
wipers, and outside the driver's sight lines to the road and highway 
signs or signals.

[63 FR 1387, Jan. 9, 1998]



Sec.393.61  Truck and truck tractor window construction.

    Each truck and truck tractor (except trucks engaged in armored car 
service) shall have at least one window on each side of the driver's 
compartment. Each window must have a minimum area of 1,290 cm\2\ (200 
in\2\) formed by a rectangle 33 cm by 45 cm (13 inches by 17\3/4\ 
inches). The maximum radius of the corner arcs shall not exceed 152 mm 
(6 inches). The long axis of the rectangle shall not make an angle of 
more than 45 degrees with the surface on which the unladen vehicle 
stands. If the cab is designed with a folding door or doors or with 
clear openings where doors or windows are customarily located, no 
windows shall be required in those locations.

[70 FR 48052, Aug. 15, 2005]



Sec.393.62  Emergency exits for buses.

    (a) Buses manufactured on or after September 1, 1994. Each bus with 
a GVWR of 4,536 kg (10,000 pounds) or less must meet the emergency exit 
requirements of FMVSS No. 217 (S5.2.2.3) in effect on the date of 
manufacture. Each bus with a GVWR of more than 4,536 kg (10,000 pounds) 
must have emergency exits which meet the applicable emergency exit 
requirements of FMVSS No. 217

[[Page 478]]

(S5.2.2 or S5.2.3) in effect on the date of manufacture.
    (b) Buses manufactured on or after September 1, 1973, but before 
September 1, 1994. (1) Each bus (including a school bus used in 
interstate commerce for non-school bus operations) with a GVWR of more 
than 4,536 kg (10,000 lbs) must meet the requirements of FMVSS No. 217, 
S5.2.2 in effect on the date of manufacture.
    (2) Each bus (including a school bus used in interstate commerce for 
non-school bus operations) with a GVWR of 4,536 kg (10,000 lbs) or less 
must meet the requirements of FMVSS No. 217, S5.2.2.3 in effect on the 
date of manufacture.
    (c) Buses manufactured before September 1, 1973. For each seated 
passenger space provided, inclusive of the driver there shall be at 
least 432 cm\2\ (67 square inches) of glazing if such glazing is not 
contained in a push-out window; or, at least 432 cm\2\ (67 square 
inches) of free opening resulting from opening of a push-out type 
window. No area shall be included in this minimum prescribed area unless 
it will provide an unobstructed opening of at least 1,290 cm\2\ (200 
in\2\) formed by a rectangle 33 cm by 45 cm (13 inches by 17\3/4\ 
inches). The maximum radius of the corner arcs shall not exceed 152 mm 
(6 inches). The long axis of the rectangle shall not make an angle of 
more than 45 degrees with the surface on which the unladen vehicle 
stands. The area shall be measured either by removal of the glazing if 
not of the push-out type, or of the movable sash if of the push-out 
type. The exit must comply with paragraph (d) of this section. Each side 
of the bus must have at least 40 percent of emergency exit space 
required by this paragraph.
    (d) Laminated safety glass/push-out window requirements for buses 
manufactured before September 1, 1973. Emergency exit space used to 
satisfy the requirements of paragraph (c) of this section must have 
laminated safety glass or push-out windows designed and maintained to 
yield outward to provide a free opening.
    (1) Safety glass. Laminated safety glass must meet Test No. 25, 
Egress, of American National Standard for Safety Glazing Materials for 
Glazing Motor Vehicles and Motor Vehicle Equipment Operating on Land 
Highways--Safety Standards ANSI/SAE Z26.1/96, August 1997. (See Sec.
393.7 (b) for information on incorporation by reference and availability 
of this document.)
    (2) Push-out windows. Each push-out window shall be releasable by 
operating no more than two mechanisms and allow manual release of the 
exit by a single occupant. For mechanisms which require rotary or 
straight (parallel to the undisturbed exit surface) motions to operate 
the exit, no more than 89 Newtons (20 pounds) of force shall be required 
to release the exit. For exits which require a straight motion 
perpendicular to the undisturbed exit surface, no more than 267 Newtons 
(60 pounds) shall be required to release the exit.
    (e) Emergency exit identification. Each bus and each school bus used 
in interstate commerce for non-school bus operations, manufactured on or 
after September 1, 1973, shall meet the applicable emergency exit 
identification or marking requirements of FMVSS No. 217, S5.5, in effect 
on the date of manufacture. The emergency exits and doors on all buses 
(including school buses used in interstate commerce for non-school bus 
operations) must be marked ``Emergency Exit'' or ``Emergency Door'' 
followed by concise operating instructions describing each motion 
necessary to unlatch or open the exit located within 152 mm (6 inches) 
of the release mechanism.
    (f) Exception for the transportation of prisoners. The requirements 
of this section do not apply to buses used exclusively for the 
transportation of prisoners.

[70 FR 48052, Aug. 15, 2005]



Sec.393.63      [Reserved]



                         Subpart E_Fuel Systems



Sec.393.65  All fuel systems.

    (a) Application of the rules in this section. The rules in this 
section apply to systems for containing and supplying fuel for the 
operation of motor vehicles or for the operation of auxiliary equipment 
installed on, or used in connection with, motor vehicles.

[[Page 479]]

    (b) Location. Each fuel system must be located on the motor vehicle 
so that--
    (1) No part of the system extends beyond the widest part of the 
vehicle;
    (2) No part of a fuel tank is forward of the front axle of a power 
unit;
    (3) Fuel spilled vertically from a fuel tank while it is being 
filled will not contact any part of the exhaust or electrical systems of 
the vehicle, except the fuel level indicator assembly;
    (4) Fill pipe openings are located outside the vehicle's passenger 
compartment and its cargo compartment;
    (5) A fuel line does not extend between a towed vehicle and the 
vehicle that is towing it while the combination of vehicles is in 
motion; and
    (6) No part of the fuel system of a bus manufactured on or after 
January 1, 1973, is located within or above the passenger compartment.
    (c) Fuel tank installation. Each fuel tank must be securely attached 
to the motor vehicle in a workmanlike manner.
    (d) Gravity or syphon feed prohibited. A fuel system must not supply 
fuel by gravity or syphon feed directly to the carburetor or injector.
    (e) Selection control valve location. If a fuel system includes a 
selection control valve which is operable by the driver to regulate the 
flow of fuel from two or more fuel tanks, the valve must be installed so 
that either--
    (1) The driver may operate it while watching the roadway and without 
leaving his/her driving position; or
    (2) The driver must stop the vehicle and leave his/her seat in order 
to operate the valve.
    (f) Fuel lines. A fuel line which is not completely enclosed in a 
protective housing must not extend more than 2 inches below the fuel 
tank or its sump. Diesel fuel crossover, return, and withdrawal lines 
which extend below the bottom of the tank or sump must be protected 
against damage from impact. Every fuel line must be--
    (1) Long enough and flexible enough to accommodate normal movements 
of the parts to which it is attached without incurring damage; and
    (2) Secured against chafing, kinking, or other causes of mechanical 
damage.
    (g) Excess flow valve. When pressure devices are used to force fuel 
from a fuel tank, a device which prevents the flow of fuel from the fuel 
tank if the fuel feed line is broken must be installed in the fuel 
system.

[36 FR 15445, Aug. 14, 1971, as amended at 37 FR 4341, Mar. 2, 1972; 37 
FR 28752, Dec. 29, 1972]



Sec.393.67  Liquid fuel tanks.

    (a) Application of the rules in this section. The rules in this 
section apply to tanks containing or supplying fuel for the operation of 
commercial motor vehicles or for the operation of auxiliary equipment 
installed on, or used in connection with commercial motor vehicles.
    (1) A liquid fuel tank manufactured on or after January 1, 1973, and 
a side-mounted gasoline tank must conform to all rules in this section.
    (2) A diesel fuel tank manufactured before January 1, 1973, and 
mounted on a bus must conform to the rules in paragraphs (c)(7)(ii) and 
(d)(2) of this section.
    (3) A diesel fuel tank manufactured before January 1, 1973, and 
mounted on a vehicle other than a bus must conform to the rules in 
paragraph (c)(7)(ii) of this section.
    (4) A gasoline tank, other than a side-mounted gasoline tank, 
manufactured before January 1, 1973, and mounted on a bus must conform 
to the rules in paragraphs (c) (1) through (10) and (d)(2) of this 
section.
    (5) A gasoline tank, other than a side-mounted gasoline tank, 
manufactured before January 1, 1973, and mounted on a vehicle other than 
a bus must conform to the rules in paragraphs (c) (1) through (10), 
inclusive, of this section.
    (6) Private motor carrier of passengers. Motor carriers engaged in 
the private transportation of passengers may continue to operate a 
commercial motor vehicle which was not subject to this section or 49 CFR 
571.301 at the time of its manufacture, provided the fuel tank of such 
vehicle is maintained to the original manufacturer's standards.
    (7) Motor vehicles that meet the fuel system integrity requirements 
of 49

[[Page 480]]

CFR 571.301 are exempt from the requirements of this subpart, as they 
apply to the vehicle's fueling system.
    (b) Definitions. As used in this section--
    (1) The term liquid fuel tank means a fuel tank designed to contain 
a fuel that is liquid at normal atmospheric pressures and temperatures.
    (2) A side-mounted fuel tank is a liquid fuel tank which--
    (i) If mounted on a truck tractor, extends outboard of the vehicle 
frame and outside of the plan view outline of the cab; or
    (ii) If mounted on a truck, extends outboard of a line parallel to 
the longitudinal centerline of the truck and tangent to the outboard 
side of a front tire in a straight ahead position. In determining 
whether a fuel tank on a truck or truck tractor is side-mounted, the 
fill pipe is not considered a part of the tank.
    (c) Construction of liquid fuel tanks--(1) Joints. Joints of a fuel 
tank body must be closed by arc-, gas-, seam-, or spot-welding, by 
brazing, by silver soldering, or by techniques which provide heat 
resistance and mechanical securement at least equal to those 
specifically named. Joints must not be closed solely by crimping or by 
soldering with a lead-based or other soft solder.
    (2) Fittings. The fuel tank body must have flanges or spuds suitable 
for the installation of all fittings.
    (3) Threads. The threads of all fittings must be Dryseal American 
Standard Taper Pipe Thread or Dryseal SAE Short Taper Pipe Thread, 
specified in Society of Automotive Engineers Standard J476, as contained 
in the 1971 edition of the ``SAE Handbook,'' except that straight 
(nontapered) threads may be used on fittings having integral flanges and 
using gaskets for sealing. At least four full threads must be in 
engagement in each fitting.
    (4) Drains and bottom fittings. (i) Drains or other bottom fittings 
must not extend more than three-fourths of an inch below the lowest part 
of the fuel tank or sump.
    (ii) Drains or other bottom fittings must be protected against 
damage from impact.
    (iii) If a fuel tank has drains the drain fittings must permit 
substantially complete drainage of the tank.
    (iv) Drains or other bottom fittings must be installed in a flange 
or spud designed to accommodate it.
    (5) Fuel withdrawal fittings. Except for diesel fuel tanks, the 
fittings through which fuel is withdrawn from a fuel tank must be 
located above the normal level of fuel in the tank when the tank is 
full.
    (6) [Reserved]
    (7) Fill pipe. (i) Each fill pipe must be designed and constructed 
to minimize the risk of fuel spillage during fueling operations and when 
the vehicle is involved in a crash.
    (ii) For diesel-fueled vehicles, the fill pipe and vents of a fuel 
tank having a capacity of more than 94.75 L (25 gallons) of fuel must 
permit filling the tank with fuel at a rate of at least 75.8 L/m (20 
gallons per minute) without fuel spillage.
    (iii) For gasoline- and methanol-fueled vehicles with a GVWR of 
3,744 kg (8,500 pounds) or less, the vehicle must permit filling the 
tank with fuel dispensed at the applicable fill rate required by the 
regulations of the Environmental Protection Agency under 40 CFR 80.22.
    (iv) For gasoline- and methanol-fueled vehicles with a GVWR of 
14,000 pounds (6,400 kg) or less, the vehicle must comply with the 
applicable fuel-spitback prevention and onboard refueling vapor recovery 
regulations of the Environmental Protection Agency under 40 CFR part 86.
    (v) Each fill pipe must be fitted with a cap that can be fastened 
securely over the opening in the fill pipe. Screw threads or a bayonet-
type point are methods of conforming to the requirements of paragraph 
(c) of this section.
    (8) Safety venting system. A liquid fuel tank with a capacity of 
more than 25 gallons of fuel must have a venting system which, in the 
event the tank is subjected to fire, will prevent internal tank pressure 
from rupturing the tank's body, seams, or bottom opening (if any).
    (9) Pressure resistance. The body and fittings of a liquid fuel tank 
with a capacity of more than 25 gallons of fuel

[[Page 481]]

must be capable of withstanding an internal hydrostatic pressure equal 
to 150 percent of the maximum internal pressure reached in the tank 
during the safety venting system test specified in paragraph (d)(1) of 
this section.
    (10) Air vent. Each fuel tank must be equipped with a nonspill air 
vent (such as a ball check). The air vent may be combined with the fill-
pipe cap or safety vent, or it may be a separate unit installed on the 
fuel tank.
    (11) Markings. If the body of a fuel tank is readily visible when 
the tank is installed on the vehicle, the tank must be plainly marked 
with its liquid capacity. The tank must also be plainly marked with a 
warning against filling it to more than 95 percent of its liquid 
capacity.
    (12) Overfill restriction. A liquid fuel tank manufactured on or 
after January 1, 1973, must be designed and constructed so that--
    (i) The tank cannot be filled, in a normal filling operation, with a 
quantity of fuel that exceeds 95 percent of the tank's liquid capacity; 
and
    (ii) When the tank is filled, normal expansion of the fuel will not 
cause fuel spillage.
    (d) Liquid fuel tank tests. Each liquid fuel tank must be capable of 
passing the tests specified in paragraphs (d)(1) and (2) of this 
section. The specified tests are a measure of performance only. 
Alternative procedures which assure that equipment meets the required 
performance standards may be used. .
    (1) Safety venting system test--(i) Procedure. Fill the tank three-
fourths full with fuel, seal the fuel feed outlet, and invert the tank. 
When the fuel temperature is between 50 [deg]F. and 80 [deg]F., apply an 
enveloping flame to the tank so that the temperature of the fuel rises 
at a rate of not less than 6 [deg]F. and not more than 8 [deg]F. per 
minute.
    (ii) Required performance. The safety venting system required by 
paragraph (c)(8) of this section must activate before the internal 
pressure in the tank exceeds 50 pounds per square inch, gauge, and the 
internal pressure must not thereafter exceed the pressure at which the 
system activated by more than five pounds per square inch despite any 
further increase in the temperature of the fuel.
    (2) Leakage test--(i) Procedure. Fill the tank to capacity with fuel 
having a temperature between 50 [deg]F. and 80 [deg]F. With the fill-
pipe cap installed, turn the tank through an angle of 150[deg] in any 
direction about any axis from its normal position.
    (ii) Required performance. Neither the tank nor any fitting may leak 
more than a total of one ounce by weight of fuel per minute in any 
position the tank assumes during the test.
    (e) Side-mounted liquid fuel tank tests. Each side-mounted liquid 
fuel tank must be capable of passing the tests specified in paragraphs 
(e)(1) and (2) of this section and the test specified in paragraphs 
(d)(1) and (2) of this section. The specified tests are a measure of 
performance only. Alternative procedures which assure that equipment 
meets the required performance criteria may be used.
    (1) Drop test--(i) Procedure. Fill the tank with a quantity of water 
having a weight equal to the weight of the maximum fuel load of the tank 
and drop the tank 30 feet onto an unyielding surface so that it lands 
squarely on one corner.
    (ii) Required performance. Neither the tank nor any fitting may leak 
more than a total of 1 ounce by weight of water per minute.
    (2) Fill-pipe test--(i) Procedure. Fill the tank with a quantity of 
water having a weight equal to the weight of the maximum fuel load of 
the tank and drop the tank 10 feet onto an unyielding surface so that it 
lands squarely on its fill-pipe.
    (ii) Required performance. Neither the tank nor any fitting may leak 
more than a total of 1 ounce by weight of water per minute.
    (f) Certification and markings. Each liquid fuel tank shall be 
legibly and permanently marked by the manufacturer with the following 
minimum information:
    (1) The month and year of manufacture,
    (2) The manufacturer's name on tanks manufactured on and after July 
1, 1989, and means of identifying the facility at which the tank was 
manufactured, and

[[Page 482]]

    (3) A certificate that it conforms to the rules in this section 
applicable to the tank. The certificate must be in the form set forth in 
either of the following:
    (i) If a tank conforms to all rules in this section pertaining to 
side-mounted fuel tanks: ``Meets all FMCSA side-mounted tank 
requirements.''
    (ii) If a tank conforms to all rules in this section pertaining to 
tanks which are not side-mounted fuel tanks: ``Meets all FMCSA 
requirements for non-side-mounted fuel tanks.''
    (iii) The form of certificate specified in paragraph (f)(3) (i) or 
(ii) of this section may be used on a liquid fuel tank manufactured 
before July 11, 1973, but it is not mandatory for liquid fuel tanks 
manufactured before March 7, 1989. The form of certification 
manufactured on or before March 7, 1989, must meet the requirements in 
effect at the time of manufacture.
    (4) Exception. The following previously exempted vehicles are not 
required to carry the certification and marking specified in paragraphs 
(f)(1) through (3) of this section:
    (i) Ford vehicles with GVWR over 10,000 pounds identified as 
follows: The vehicle identification numbers (VINs) contain A, K, L, M, 
N, W, or X in the fourth position.
    (ii) GM G-Vans (Chevrolet Express and GMC Savanna) and full-sized C/
K trucks (Chevrolet Silverado and GMC Sierra) with GVWR over 10,000 
pounds identified as follows: The VINs contain either a ``J'' or a ``K'' 
in the fourth position. In addition, the seventh position of the VINs on 
the G-Van will contain a ``1.''

[36 FR 15445, Aug. 14, 1971, as amended at 37 FR 4341, Mar. 2, 1972; 37 
FR 28753, Dec. 29, 1972; 45 FR 46424, July 10, 1980; 53 FR 49400, Dec. 
7, 1988; 59 FR 8753, Feb. 23, 1994; 69 FR 31305, June 3, 2004; 70 FR 
48053, Aug. 15, 2005; 78 FR 58484, Sept. 24, 2013]



Sec.393.68  Compressed natural gas fuel containers.

    (a) Applicability. The rules in this section apply to compressed 
natural gas (CNG) fuel containers used for supplying fuel for the 
operation of commercial motor vehicles or for the operation of auxiliary 
equipment installed on, or used in connection with commercial motor 
vehicles.
    (b) CNG containers manufactured on or after March 26, 1995. Any 
motor vehicle manufactured on or after March 26, 1995, and equipped with 
a CNG fuel tank must meet the CNG container requirements of FMVSS No. 
304 (49 CFR 571.304) in effect at the time of manufacture of the 
vehicle.
    (c) Labeling. Each CNG fuel container shall be permanently labeled 
in accordance with the requirements of FMVSS No. 304, S7.4.

[70 FR 48053, Aug. 15, 2005]



Sec.393.69  Liquefied petroleum gas systems.

    (a) A fuel system that uses liquefied petroleum gas as a fuel for 
the operation of a motor vehicle or for the operation of auxiliary 
equipment installed on, or used in connection with, a motor vehicle must 
conform to the ``Standards for the Storage and Handling of Liquefied 
Petroleum Gases'' of the National Fire Protection Association, Battery 
March Park, Quincy, MA 02269, as follows:
    (1) A fuel system installed before December 31, 1962, must conform 
to the 1951 edition of the Standards.
    (2) A fuel system installed on or after December 31, 1962, and 
before January 1, 1973, must conform to Division IV of the June 1959 
edition of the Standards.
    (3) A fuel system installed on or after January 1, 1973, and 
providing fuel for propulsion of the motor vehicle must conform to 
Division IV of the 1969 edition of the Standards.
    (4) A fuel system installed on or after January 1, 1973, and 
providing fuel for the operation of auxiliary equipment must conform to 
Division VII of the 1969 edition of the Standards.
    (b) When the rules in this section require a fuel system to conform 
to a specific edition of the Standards, the fuel system may conform to 
the applicable provisions in a later edition of the Standards specified 
in this section.
    (c) The tank of a fuel system must be marked to indicate that the 
system conforms to the Standards.

[36 FR 15445, Aug. 14, 1971, as amended at 37 FR 4342, Mar. 2, 1972; 41 
FR 53031, Dec. 3, 1976; 53 FR 49400, Dec. 7, 1988]

[[Page 483]]



              Subpart F_Coupling Devices and Towing Methods



Sec.393.70  Coupling devices and towing methods, except for 
driveaway-towaway operations.

    (a) Tracking. When two or more vehicles are operated in combination, 
the coupling devices connecting the vehicles shall be designed, 
constructed, and installed, and the vehicles shall be designed and 
constructed, so that when the combination is operated in a straight line 
on a level, smooth, paved surface, the path of the towed vehicle will 
not deviate more than 3 inches to either side of the path of the vehicle 
that tows it.
    (b) Fifth wheel assemblies--(1) Mounting--(i) Lower half. The lower 
half of a fifth wheel mounted on a truck tractor or converter dolly must 
be secured to the frame of that vehicle with properly designed brackets, 
mounting plates or angles and properly tightened bolts of adequate size 
and grade, or devices that provide equivalent security. The installation 
shall not cause cracking, warping, or deformation of the frame. The 
installation must include a device for positively preventing the lower 
half of the fifth wheel from shifting on the frame to which it is 
attached.
    (ii) Upper half. The upper half of a fifth wheel must be fastened to 
the motor vehicle with at least the same security required for the 
installation of the lower half on a truck tractor or converter dolly.
    (2) Locking. Every fifth wheel assembly must have a locking 
mechanism. The locking mechanism, and any adapter used in conjunction 
with it, must prevent separation of the upper and lower halves of the 
fifth wheel assembly unless a positive manual release is activated. The 
release may be located so that the driver can operate it from the cab. 
If a motor vehicle has a fifth wheel designed and constructed to be 
readily separable, the fifth wheel locking devices shall apply 
automatically on coupling.
    (3) Location. The lower half of a fifth wheel shall be located so 
that, regardless of the condition of loading, the relationship between 
the kingpin and the rear axle or axles of the towing motor vehicle will 
properly distribute the gross weight of both the towed and towing 
vehicles on the axles of those vehicles, will not unduly interfere with 
the steering, braking, and other maneuvering of the towing vehicle, and 
will not otherwise contribute to unsafe operation of the vehicles 
comprising the combination. The upper half of a fifth wheel shall be 
located so that the weight of the vehicles is properly distributed on 
their axles and the combination of vehicles will operate safely during 
normal operation.
    (c) Towing of full trailers. A full trailer must be equipped with a 
tow-bar and a means of attaching the tow-bar to the towing and towed 
vehicles. The tow-bar and the means of attaching it must--
    (1) Be structurally adequate for the weight being drawn;
    (2) Be properly and securely mounted;
    (3) Provide for adequate articulation at the connection without 
excessive slack at that location; and
    (4) Be provided with a locking device that prevents accidental 
separation of the towed and towing vehicles. The mounting of the trailer 
hitch (pintle hook or equivalent mechanism) on the towing vehicle must 
include reinforcement or bracing of the frame sufficient to produce 
strength and rigidity of the frame to prevent its undue distortion.
    (d) Safety devices in case of tow-bar failure or disconnection. 
Every full trailer and every converter dolly used to convert a 
semitrailer to a full trailer must be coupled to the frame, or an 
extension of the frame, of the motor vehicle which tows it with one or 
more safety devices to prevent the towed vehicle from breaking loose in 
the event the tow-bar fails or becomes disconnected. The safety device 
must meet the following requirements:
    (1) The safety device must not be attached to the pintle hook or any 
other device on the towing vehicle to which the tow-bar is attached. 
However, if the pintle hook or other device was manufactured prior to 
July 1, 1973, the safety device may be attached to the towing vehicle at 
a place on a pintle hook forging or casting if that place is independent 
of the pintle hook.

[[Page 484]]

    (2) The safety device must have no more slack than is necessary to 
permit the vehicles to be turned properly.
    (3) The safety device, and the means of attaching it to the 
vehicles, must have an ultimate strength of not less than the gross 
weight of the vehicle or vehicles being towed.
    (4) The safety device must be connected to the towed and towing 
vehicles and to the tow-bar in a manner which prevents the tow-bar from 
dropping to the ground in the event it fails or becomes disconnected.
    (5) Except as provided in paragraph (d)(6) of this section, if the 
safety device consists of safety chains or cables, the towed vehicle 
must be equipped with either two safety chains or cables or with a 
bridle arrangement of a single chain or cable attached to its frame or 
axle at two points as far apart as the configuration of the frame or 
axle permits. The safety chains or cables shall be either two separate 
pieces, each equipped with a hook or other means for attachment to the 
towing vehicle, or a single piece leading along each side of the tow-bar 
from the two points of attachment on the towed vehicle and arranged into 
a bridle with a single means of attachment to be connected to the towing 
vehicle. When a single length of cable is used, a thimble and twin-base 
cable clamps shall be used to form the forward bridle eye. The hook or 
other means of attachment to the towing vehicle shall be secured to the 
chains or cables in a fixed position.
    (6) If the towed vehicle is a converter dolly with a solid tongue 
and without a hinged tow-bar or other swivel between the fifth wheel 
mounting and the attachment point of the tongue eye or other hitch 
device--
    (i) Safety chains or cables, when used as the safety device for that 
vehicle, may consist of either two chains or cables or a single chain or 
cable used alone;
    (ii) A single safety device, including a single chain or cable used 
alone as the safety device, must be in line with the centerline of the 
trailer tongue; and
    (iii) The device may be attached to the converter dolly at any point 
to the rear of the attachment point of the tongue eye or other hitch 
device.
    (7) Safety devices other than safety chains or cables must provide 
strength, security of attachment, and directional stability equal to, or 
greater than, safety chains or cables installed in accordance with 
paragraphs (d) (5) and (6) of this section.
    (8)(i) When two safety devices, including two safety chains or 
cables, are used and are attached to the towing vehicle at separate 
points, the points of attachment on the towing vehicle shall be located 
equally distant from, and on opposite sides of, the longitudinal 
centerline of the towing vehicle.
    (ii) Where two chains or cables are attached to the same point on 
the towing vehicle, and where a bridle or a single chain or cable is 
used, the point of attachment must be on the longitudinal centerline or 
within 152 mm (6 inches) to the right of the longitudinal centerline of 
the towing vehicle.
    (iii) A single safety device, other than a chain or cable, must also 
be attached to the towing vehicle at a point on the longitudinal 
centerline or within 152 mm (6 inches) to the right of the longitudinal 
centerline of the towing vehicle.

[37 FR 21439, Oct. 11, 1972, as amended at 70 FR 48053, Aug. 15, 2005]



Sec.393.71  Coupling devices and towing methods, 
driveaway-towaway operations.

    (a) Number in combination. (1) No more than three saddle-mounts may 
be used in any combination.
    (2) No more than one tow-bar or ball-and-socket type coupling device 
may be used in any combination.
    (3) When motor vehicles are towed by means of triple saddle-mounts, 
all but the final towed vehicle must have brakes acting on all wheels in 
contact with the roadway.
    (b) Carrying vehicles on towing vehicle. (1) When adequately and 
securely attached by means equivalent in security to that provided in 
paragraph (j)(2) of this section, a motor vehicle or motor vehicles may 
be full-mounted on the structure of a towing vehicle engaged in any 
driveaway-towaway operation.
    (2) No motor vehicle or motor vehicles may be full-mounted on a 
towing vehicle unless the relationship of such full-mounted vehicles to 
the rear axle

[[Page 485]]

or axles results in proper distribution of the total gross weight of the 
vehicles and does not unduly interfere with the steering, braking, or 
maneuvering of the towing vehicle, or otherwise contribute to the unsafe 
operation of the vehicles comprising the combination.
    (3) Saddle-mounted vehicles must be arranged such that the gross 
weight of the vehicles is properly distributed to prevent undue 
interference with the steering, braking, or maneuvering of the 
combination of vehicles.
    (c) Carrying vehicles on towed vehicles. (1) When adequately and 
securely attached by means equivalent in security to that provided in 
paragraph (j)(2) of this section, a motor vehicle or motor vehicles may 
be full-mounted on the structure of towed vehicles engaged in any 
driveaway-towaway operation.
    (2) No motor vehicle shall be full-mounted on a motor vehicle towed 
by means of a tow-bar unless the towed vehicle is equipped with brakes 
and is provided with means for effective application of brakes acting on 
all wheels and is towed on its own wheels.
    (3) No motor vehicle or motor vehicles shall be full-mounted on a 
motor vehicle towed by means of a saddle-mount unless the center line of 
the kingpin or equivalent means of attachment of such towed vehicle 
shall be so located on the towing vehicle that the relationship to the 
rear axle or axles results in proper distribution of the total gross 
weight of the vehicles and does not unduly interfere with the steering, 
braking, or maneuvering of the towing vehicle or otherwise contribute to 
the unsafe operation of vehicles comprising the combination; and unless 
a perpendicular to the ground from the center of gravity of the full-
mounted vehicles lies forward of the center line of the rear axle of the 
saddle-mounted vehicle.
    (4) If a motor vehicle towed by means of a saddle-mount has any 
vehicle full-mounted on it, the saddle-mounted vehicle must at all times 
while so loaded have effective brakes acting on all wheels in contact 
with the roadway.
    (d) Bumper tow-bars on heavy vehicles prohibited. Tow-bars of the 
type which depend upon the bumpers as a means of transmitting forces 
between the vehicles shall not be used to tow a motor vehicle weighing 
more than 5,000 pounds.
    (e) Front wheels of saddle-mounted vehicles restrained. A motor 
vehicle towed by means of a saddle-mount shall have the motion of the 
front wheels restrained if under any condition of turning of such wheels 
they will project beyond the widest part of either the towed or towing 
vehicle.
    (f) Vehicles to be towed in forward position. Unless the steering 
mechanism is adequately locked in a straight-forward position, all motor 
vehicles towed by means of a saddle-mount shall be towed with the front 
end mounted on the towing vehicle.
    (g) Means required for towing. No motor vehicles or combination of 
motor vehicles shall be towed in driveaway-towaway operations by means 
other than a tow-bar, ball-and-socket type coupling device, saddle-mount 
connections which meet the requirements of this section, or in the case 
of a semi-trailer equipped with an upper coupler assembly, a fifth-wheel 
meeting the requirements of Sec.393.70.
    (h) Requirements for tow-bars. Tow-bars shall comply with the 
following requirements:
    (1) Tow-bars, structural adequacy and mounting. Every tow-bar shall 
be structurally adequate and properly installed and maintained. To 
insure that it is structurally adequate, it must, at least, meet the 
requirements of the following table:

------------------------------------------------------------------------
                                    Longitudinal strength in tension and
                                               compression \2\
                                   -------------------------------------
                                                 New tow-
                                                   bars      Strength as
   Gross weight of towed vehicle                 acquired    a beam (in
           (pounds) \1\                          and used        any
                                     All tow-   by a motor    direction
                                       bars       carrier   concentrated
                                                   after       load at
                                                 Sept. 30,   center) \2
                                                   1948          3\
------------------------------------------------------------------------
                                                   Pounds
 
                                   -------------------------------------
Less than 5,000...................       3,000       6,500        3,000
5,000 and over....................  ..........  ..........  ............
Less than 10,000..................       6,000       (\1\)        (\1\)
10,000 and over...................  ..........  ..........  ............
Less than 15,000..................       9,000       (\1\)        (\1\)
------------------------------------------------------------------------
\1\ The required strength of tow-bars for towed vehicles of 15,000
  pounds and over gross weight and of new tow-bars acquired and used
  after Sept. 30, 1948, for towed vehicles of 5,000 pounds and over
  gross weight shall be computed by means of the following formulae:
  Longitudinal strength=gross weight of towed vehicle x 1.3. Strength as
  a beam=gross weight of towed vehicle x 0.6.

[[Page 486]]

 
\2\ In testing, the whole unit shall be tested with all clamps, joints,
  and pins so mounted and fastened as to approximate conditions of
  actual operation.
\3\ This test shall be applicable only to tow-bars which are, in normal
  operation, subjected to a bending movement such as tow-bars for house
  trailers.

    (2) Tow-bars, jointed. The tow-bar shall be so constructed as to 
freely permit motion in both horizontal and vertical planes between the 
towed and towing vehicles. The means used to provide the motion shall be 
such as to prohibit the transmission of stresses under normal operation 
between the towed and towing vehicles, except along the longitudinal 
axis of the tongue or tongues.
    (3) Tow-bar fastenings. The means used to transmit the stresses to 
the chassis or frames of the towed and towing vehicles may be either 
temporary structures or bumpers or other integral parts of the vehicles: 
Provided, however, That the means used shall be so constructed, 
installed, and maintained that when tested as an assembly, failure in 
such members shall not occur when the weakest new tow-bar which is 
permissible under paragraph (h)(1) of this section is subjected to the 
tests given therein.
    (4) Means of adjusting length. On tow-bars, adjustable as to length, 
the means used to make such adjustment shall fit tightly and not result 
in any slackness or permit the tow-bar to bend. With the tow-bar 
supported rigidly at both ends and with a load of 50 pounds at the 
center, the sag, measured at the center, in any direction shall not 
exceed 0.25 inch under any condition of adjustment as to length.
    (5) Method of clamping. Adequate means shall be provided for 
securely fastening the tow-bar to the towed and towing vehicles.
    (6) Tow-bar connection to steering mechanism. The tow-bar shall be 
provided with suitable means of attachment to and actuation of the 
steering mechanism, if any, of the towed vehicle. The attachment shall 
provide for sufficient angularity of movement of the front wheels of the 
towed vehicle so that it may follow substantially in the path of the 
towing vehicle without cramping the tow-bar. The tow-bar shall be 
provided with suitable joints to permit such movement.
    (7) Tracking. The tow-bar shall be so designed, constructed, 
maintained, and mounted as to cause the towed vehicle to follow 
substantially in the path of the towing vehicle. Tow-bars of such design 
or in such condition as to permit the towed vehicle to deviate more than 
3 inches to either side of the path of a towing vehicle moving in a 
straight line as measured from the center of the towing vehicle are 
prohibited.
    (8) Passenger car-trailer type couplings. Trailer couplings used for 
driveaway-towaway operations of passenger car trailers shall conform to 
Society of Automotive Engineers Standard No. J684c, ``Trailer Couplings 
and Hitches--Automotive Type,'' July 1970. \1\
---------------------------------------------------------------------------

    \1\ See footnote 1 to Sec.393.24(c).
---------------------------------------------------------------------------

    (9) Marking tow-bars. Every tow-bar acquired and used in driveaway-
towaway operations by a motor carrier shall be plainly marked with the 
following certification of the manufacturer thereof (or words of 
equivalent meaning):

    This tow-bar complies with the requirements of the Federal Motor 
Carrier Safety Administration for (maximum gross weight for which tow-
bar is manufactured) vehicles.
Allowable Maximum Gross Weight__________________________________________
Manufactured____________________________________________________________
 (month and year)
by______________________________________________________________________
 (name of manufacturer)


Tow-bar certification manufactured before the effective date of this 
regulation must meet requirements in effect at the time of manufacture.
    (10) Safety devices in case of tow-bar failure or disconnection. (i) 
The towed vehicle shall be connected to the towing vehicle by a safety 
device to prevent the towed vehicle from breaking loose in the event the 
tow-bar fails or becomes disconnected. When safety chains or cables are 
used as the safety device for that vehicle, at least two safety chains 
or cables meeting the requirements of paragraph (h)(10)(ii) of this 
section shall be used. The tensile strength of the safety device and the 
means of attachment to the vehicles shall be at least equivalent to the 
corresponding longitudinal strength for tow-bars required in the table 
of paragraph (h)(1) of this section. If safety chains or cables are used 
as the safety device, the required strength shall be

[[Page 487]]

the combined strength of the combination of chains and cables.
    (ii) If chains or cables are used as the safety device, they shall 
be crossed and attached to the vehicles near the points of bumper 
attachments to the chassis of the vehicles. The length of chain used 
shall be no more than necessary to permit free turning of the vehicles. 
The chains shall be attached to the tow-bar at the point of crossing or 
as close to that point as is practicable.
    (iii) A safety device other than safety chains or cables must 
provide strength, security of attachment, and directional stability 
equal to, or greater than, that provided by safety chains or cables 
installed in accordance with paragraph (h)(10)(ii) of this section. A 
safety device other than safety chains or cables must be designed, 
constructed, and installed so that, if the tow-bar fails or becomes 
disconnected, the tow-bar will not drop to the ground.
    (i) [Reserved]
    (j) Requirements for upper-half of saddle-mounts. The upper-half of 
any saddle-mount shall comply with the following requirements:
    (1) Upper-half connection to towed vehicle. The upper-half shall be 
securely attached to the frame or axle of the towed vehicle by means of 
U-bolts or other means providing at least equivalent security.
    (2) U-bolts or other attachments. U-bolts used to attach the upper 
half to the towed vehicle shall be made of steel rod, free of defects, 
so shaped as to avoid at any point a radius of less than 1 inch: 
Provided, however, That a lesser radius may be utilized if the U-bolt is 
so fabricated as not to cause more than 5 percent reduction in cross-
sectional area at points of curvature, in which latter event the minimum 
radius shall be one-sixteenth inch. U-bolts shall have a diameter not 
less than required by the following table:

                      Diameter of U-Bolts in Inches
------------------------------------------------------------------------
                                         Double or triple saddle-mount
                                     -----------------------------------
 Weight in pounds of heaviest towed             Middle            Single
               vehicle                 Front      or      Rear   saddle-
                                       mount    front    mount    mount
                                                mount              \1\
------------------------------------------------------------------------
Up to 5,000.........................    0.625   0.5625    0.500    0.500
5,000 and over......................   0.6875    0.625   0.5625   0.5625
------------------------------------------------------------------------
\1\ The total weight of all the vehicles being towed shall govern. If
  other devices are used to accomplish the same purposes as U-bolts they
  shall have at least equivalent strength of U-bolts made of mild steel.
  Cast iron shall not be used for clamps or any other holding devices.

    (3) U-bolts and points of support, location. The distance between 
the most widely separated U-bolts shall not be less than 9 inches. The 
distance between the widely separated points where the upper-half 
supports the towed vehicle shall not be less than 9 inches, except that 
saddle-mounts employing ball and socket joints shall employ a device 
which clamps the axle of the towed vehicle throughout a length of not 
less than 5 inches.
    (4) Cradle-type upper-halves, specifications. Upper-halves of the 
cradle-type using vertical members to restrain the towed vehicle from 
relative movement in the direction of motion of the vehicles shall be 
substantially constructed and adequate for the purpose. Such cradle-
mounts shall be equipped with at least one bolt or equivalent means to 
provide against relative vertical movement between the upper-half and 
the towed vehicle. Bolts, if used, shall be at least one-half inch in 
diameter. Devices using equivalent means shall have at least equivalent 
strength. The means used to provide against relative vertical motion 
between the upper-half and the towed vehicle shall be such as not to 
permit a relative motion of over one-half inch. The distance between the 
most widely separated points of support between the upper-half and the 
towed vehicle shall be at least 9 inches.
    (5) Lateral movement of towed vehicle. (i) Towed vehicles having a 
straight axle or an axle having a drop of less than 3 inches, unless the 
saddle-mount is constructed in accordance with paragraph (m)(2) of this 
section, shall be securely fastened by means of chains or cables to the 
upper-half so as to insure against relative lateral motion between the 
towed vehicle and the upper-half. The chains or cables shall be at least 
\3/16\-inch diameter and secured by bolts of at least equal diameter.

[[Page 488]]

    (ii) Towed vehicles with an axle with a drop of 3 inches or more, or 
connected by a saddle-mount constructed in accordance with paragraph 
(m)(2) of this section, need not be restrained by chains or cables 
provided that the upper-half is so designed as to provide against such 
relative motion.
    (iii) Chains or cables shall not be required if the upper-half is so 
designed as positively to provide against lateral movement of the axle.
    (k) Requirements for lower half of saddle-mounts. The lower half of 
any saddle-mount shall comply with the following requirements:
    (1) U-bolts or other attachments. U-bolts used to attach the lower 
half to the towing vehicle shall be made of steel rod, free of defects, 
so shaped as to avoid at any point a radius of less than 1 inch: 
Provided, however, That a lesser radius may be utilized if the U-bolt is 
so fabricated as not to cause more than 5 percent reduction in cross-
sectional area at points of curvature, in which latter event the minimum 
radius shall be one-sixteenth inch. U-bolts shall have a total cross-
sectional area not less than as required by the following table:

         Total Cross-Sectional Area of U-Bolts in Square Inches
------------------------------------------------------------------------
                                         Double or triple saddle-mount
                                     -----------------------------------
 Weight in pounds of heaviest towed             Middle            Single
               vehicle                 Front      or      Rear   saddle-
                                       mount    front    mount    mount
                                                mount              \1\
------------------------------------------------------------------------
Up to 5,000.........................      1.2      1.0      0.8      0.8
5,000 and over......................      1.4      1.2      1.0      1.0
------------------------------------------------------------------------
\1\ The total weight of all the vehicles being towed shall govern. If
  other devices are used to accomplish the same purposes as U-bolts they
  shall have at least equivalent strength of U-bolts made of mild steel.
  Cast iron shall not be used for clamps or any other holding devices.

    (2) Shifting. Adequate provision shall be made by design and 
installation to provide against relative movement between the lower-half 
and the towing vehicle especially during periods of rapid acceleration 
and deceleration. To insure against shifting, designs of the tripod type 
shall be equipped with adequate and securely fastened hold-back chains 
or similar devices.
    (3) Swaying. (i) Adequate provision shall be made by design and 
installation to provide against swaying or lateral movement of the towed 
vehicle relative to the towing vehicle. To insure against swaying, 
lower-halves designed with cross-members attached to but separable from 
vertical members shall have such cross-members fastened to the vertical 
members by at least two bolts on each side. Such bolts shall be of at 
least equivalent cross-sectional area as those required for U-bolts for 
the corresponding saddle-mount as given in the table in paragraph (k)(1) 
of this section. The minimum distance between the most widely separated 
points of support of the cross-member by the vertical member shall be 
three inches as measured in a direction parallel to the longitudinal 
axis of the towing vehicle.
    (ii) The lower-half shall have a bearing surface on the frame of the 
towing vehicle of such dimensions that the pressure exerted by the 
lower-half upon the frame of the towing vehicle shall not exceed 200 
pounds per square inch under any conditions of static loading. Hardwood 
blocks or blocks of other suitable material, such as hard rubber, 
aluminum or brakelining, if used between the lower half and the frame of 
the towing vehicle shall be at least \1/2\ inch thick, 3 inches wide, 
and a combined length of 6 inches.
    (iii) Under no condition shall the highest point of support of the 
towed vehicle by the upper-half be more than 24 inches, measured 
vertically, above the top of the frame of the towing vehicle, measured 
at the point where the lower-half rests on the towing vehicle.
    (4) Wood blocks. (i) Hardwood blocks of good quality may be used to 
build up the height of the front end of the towed vehicle, provided that 
the total height of such wood blocks shall not exceed 8 inches and not 
over two separate pieces are placed upon each other to obtain such 
height; however, hardwood blocks, not over 4 in number, to a total 
height not to exceed 14 inches, may be used if the total cross-sectional 
area of the U-bolts used to attach the lower-half of the towing vehicle 
is at least 50 percent greater than that required by the table contained 
in paragraph (k)(1) of this section, or, if other devices are used in 
lieu of U-bolts, they shall provide for as great a resistance to bending 
as is provided by the larger U-bolts above prescribed.

[[Page 489]]

    (ii) Hardwood blocks must be at least 4 inches in width and the 
surfaces between blocks or block and lower-half or block and upper-half 
shall be planed and so installed and maintained as to minimize any 
tendency of the towed vehicle to sway or rock.
    (5) Cross-member, general requirements. The cross-member, which is 
that part of the lower-half used to distribute the weight of the towed 
vehicle equally to each member of the frame of the towing vehicle, if 
used, shall be structurally adequate and properly installed and 
maintained adequately to perform this function.
    (6) Cross-member, use of wood. No materials, other than suitable 
metals, shall be used as the cross-member, and wood may not be used 
structurally in any manner that will result in its being subject to 
tensile stresses. Wood may be used in cross-members if supported 
throughout its length by suitable metal cross-members.
    (7) Lower half strength. The lower half shall be capable of 
supporting the loads given in the following table. For the purpose of 
test, the saddle-mount shall be mounted as normally operated and the 
load applied through the upper half:

                       Minimum Test Load in Pounds
------------------------------------------------------------------------
                                         Double or triple saddle-mount
                                     -----------------------------------
 Weight in pounds of heaviest towed             Middle            Single
               vehicle                 Front      or      Rear   saddle-
                                       mount    front    mount    mount
                                                mount              \1\
------------------------------------------------------------------------
Up to 5,000.........................   15,000   10,000    5,000    5,000
5,000 and over......................   30,000   20,000   10,000   10,000
------------------------------------------------------------------------
\1\ The total weight of all the vehicles being towed shall govern.

    (l) Requirements for kingpins of saddle-mounts. The kingpin of any 
saddle-mount shall comply with the following requirements:
    (1) Kingpin size. (i) Kingpins shall be constructed of steel 
suitable for the purpose, free of defects, and having a diameter not 
less than required by the following table:

                                       Diameter of Solid Kingpin in Inches
----------------------------------------------------------------------------------------------------------------
                                                               Double or triple saddle-mount
                                         -----------------------------------------------------------------------
                                             Front mount     Middle or front     Rear mount      Single saddle-
   Weight in pounds of heaviest towed    ------------------       mount      ------------------     mount \1\
                 vehicle                                   ------------------                  -----------------
                                            Mild    H.T.S.    Mild    H.T.S.    Mild    H.T.S.    Mild
                                           steel     \2\     steel     \2\     steel     \2\     steel    H.T.S.
----------------------------------------------------------------------------------------------------------------
Up to 5,000.............................    1.125    1.000    1.000    0.875    0.875    0.750    0.875    0.750
5,000 and over..........................    1.500    1.125    1.250    1.000    1.000    0.875    1.000    0.875
----------------------------------------------------------------------------------------------------------------
\1\ The total weight of all the vehicles being towed shall govern.
\2\ High-tensile steel is steel having a minimum ultimate strength of 65,000 pounds per square inch.

    (ii) If a ball and socket joint is used in place of a kingpin, the 
diameter of the neck of the ball shall be at least equal to the diameter 
of the corresponding solid kingpin given in the above table. If hollow 
kingpins are used, the metallic cross-sectional area shall be at least 
equal to the cross-sectional area of the corresponding solid kingpin.
    (2) Kingpin fit. If a kingpin bushing is not used, the king-pin 
shall fit snugly into the upper and lower-halves but shall not bind. 
Those portions of the upper or lower-halves in moving contact with the 
kingpin shall be smoothly machined with no rough or sharp edges. The 
bearing surface thus provided shall not be less in depth than the radius 
of the kingpin.
    (3) Kingpin bushing on saddle-mounts. The kingpin of all new saddle-
mounts acquired and used shall be snugly enclosed in a bushing at least 
along such length of the kingpin as may be in moving contact with either 
the upper or lower-halves. The bearing surface thus provided shall not 
be less in depth than the radius of the kingpin.
    (4) Kingpin to restrain vertical motion. The kingpin shall be so 
designed and installed as to restrain the upper-half from moving in a 
vertical direction relative to the lower-half.
    (m) Additional requirements for saddle-mounts. Saddle-mounts shall 
comply with the following requirements:

[[Page 490]]

    (1) Bearing surface between upper and lower-halves. The upper and 
lower-halves shall be so constructed and connected that the bearing 
surface between the two halves shall not be less than 16 square inches 
under any conditions of angularity between the towing and towed 
vehicles: Provided, however, That saddle-mounts using a ball and socket 
joint shall have a ball of such dimension that the static bearing load 
shall not exceed 800 pounds per square inch, based on the projected 
cross-sectional area of the ball: And further provided, That saddle-
mounts having the upper-half supported by ball, taper, or roller-
bearings shall not have such bearings loaded beyond the limits 
prescribed for such bearings by the manufacturer thereof. The upper-half 
shall rest evenly and smoothly upon the lower-half and the contact 
surfaces shall be lubricated and maintained so that there shall be a 
minimum of frictional resistance between the parts.
    (2) Saddle-mounts, angularity. All saddle-mounts acquired and used 
shall provide for angularity between the towing and towed vehicles due 
to vertical curvatures of the highway. Such means shall not depend upon 
either the looseness or deformation of the parts of either the saddle-
mount or the vehicles to provide for such angularity.
    (3) Tracking. The saddle-mount shall be so designed, constructed, 
maintained, and installed that the towed vehicle or vehicles will follow 
substantially in the path of the towing vehicle without swerving. Towed 
vehicles shall not deviate more than 3 inches to either side of the path 
of the towing vehicle when moving in a straight line.
    (4) Prevention of frame bending. Where necessary, provision shall be 
made to prevent the bending of the frame of the towing vehicle by 
insertion of suitable blocks inside the frame channel to prevent 
kinking. The saddle-mount shall not be so located as to cause 
deformation of the frame by reason of cantilever action.
    (5) Extension of frame. No saddle-mount shall be located at a point 
to the rear of the frame of a towing vehicle.
    (6) Nuts, secured. All nuts used on bolts, U-bolts, king-pins, or in 
any other part of the saddle-mount shall be secured against accidental 
disconnection by means of cotter-keys, lock-washers, double nuts, safety 
nuts, or equivalent means. Parts shall be so designed and installed that 
nuts shall be fully engaged.
    (7) Inspection of all parts. The saddle-mount shall be so designed 
that it may be disassembled and each separate part inspected for worn, 
bent, cracked, broken, or missing parts.
    (8) Saddle-mounts, marking. Every new saddle-mount acquired and used 
in driveaway-towaway operations by a motor carrier shall have the upper-
half and the lower-half separately marked with the following 
certification of the manufacturer thereof (or words of equivalent 
meaning).

    This saddle-mount complies with the requirements of the Federal 
Motor Carrier Safety Administration for vehicles up to 5,000 pounds (or 
over 5,000 pounds):

Manufactured____________________________________________________________
                                                        (Month and year)
by______________________________________________________________________
                                                  (Name of manufacturer)

    (n) Requirements for devices used to connect motor vehicles or parts 
of motor vehicles together to form one vehicle--(1) Front axle 
attachment. The front axle of one motor vehicle intended to be coupled 
with another vehicle as defined in paragraph (g)(2)(ii) of this section 
shall be attached with U-bolts meeting the requirements of paragraph 
(j)(2) of this section.
    (2) Rear axle attachment. The rear axle of one vehicle shall be 
coupled to the frame of the other vehicle by means of a connecting 
device which when in place forms a rectangle. The device shall be 
composed of two pieces, top and bottom. The device shall be made of 4-
inch by \1/2\-inch steel bar bent to shape and shall have the corners 
reinforced with a plate at least 3 inches by \1/2\ inch by 8 inches 
long. The device shall be bolted together with \3/4\-inch bolts and at 
least three shall be used on each side. Wood may be used as spacers to 
keep the frames apart and it shall be at least 4 inches square.

[33 FR 19735, Dec. 25, 1968, as amended at 35 FR 10907, July 7, 1970; 37 
FR 21440, Oct. 11, 1972; 53 FR 49400, Dec. 7, 1988; 70 FR 48054, Aug. 
15, 2005; 76 FR 56322, Sept. 13, 2011; 78 FR 58484, Sept. 24, 2013]

[[Page 491]]



              Subpart G_Miscellaneous Parts and Accessories



Sec.393.75  Tires.

    (a) No motor vehicle shall be operated on any tire that--
    (1) Has body ply or belt material exposed through the tread or 
sidewall,
    (2) Has any tread or sidewall separation,
    (3) Is flat or has an audible leak, or
    (4) Has a cut to the extent that the ply or belt material is 
exposed.
    (b) Any tire on the front wheels of a bus, truck, or truck tractor 
shall have a tread groove pattern depth of at least \4/32\ of an inch 
when measured at any point on a major tread groove. The measurements 
shall not be made where tie bars, humps, or fillets are located.
    (c) Except as provided in paragraph (b) of this section, tires shall 
have a tread groove pattern depth of at least \2/32\ of an inch when 
measured in a major tread groove. The measurement shall not be made 
where tie bars, humps or fillets are located.
    (d) No bus shall be operated with regrooved, recapped or retreaded 
tires on the front wheels.
    (e) A regrooved tire with a load-carrying capacity equal to or 
greater than 2,232 kg (4,920 pounds) shall not be used on the front 
wheels of any truck or truck tractor.
    (f) Tire loading restrictions (except on manufactured homes). No 
motor vehicle (except manufactured homes, which are governed by 
paragraph (g) of this section) shall be operated with tires that carry a 
weight greater than that marked on the sidewall of the tire or, in the 
absence of such a marking, a weight greater than that specified for the 
tires in any of the publications of any of the organizations listed in 
Federal Motor Vehicle Safety Standard No. 119 (49 CFR 571.119, S5.1(b)) 
unless:
    (1) The vehicle is being operated under the terms of a special 
permit issued by the State; and
    (2) The vehicle is being operated at a reduced speed to compensate 
for the tire loading in excess of the manufacturer's rated capacity for 
the tire. In no case shall the speed exceed 80 km/hr (50 mph).
    (g)(1) Tire loading restrictions for manufactured homes built before 
January 1, 2002. Manufactured homes that are labeled pursuant to 24 CFR 
3282.362(c)(2)(i) before January 1, 2002, must not be transported on 
tires that are loaded more than 18 percent over the load rating marked 
on the sidewall of the tire or, in the absence of such a marking, more 
than 18 percent over the load rating specified in any of the 
publications of any of the organizations listed in FMVSS No. 119 (49 CFR 
571.119, S5.1(b)). Manufactured homes labeled before January 1, 2002, 
transported on tires overloaded by 9 percent or more must not be 
operated at speeds exceeding 80 km/hr (50 mph).
    (2) Tire loading restrictions for manufactured homes built on or 
after January 1, 2002. Manufactured homes that are labeled pursuant to 
24 CFR 3282.362(c)(2)(i) on or after January 1, 2002, must not be 
transported on tires loaded beyond the load rating marked on the 
sidewall of the tire or, in the absence of such a marking, the load 
rating specified in any of the publications of any of the organizations 
listed in FMVSS No. 119 (49 CFR 571.119, S5.1(b)).
    (h) Tire inflation pressure. (1) No motor vehicle shall be operated 
on a tire which has a cold inflation pressure less than that specified 
for the load being carried.
    (2) If the inflation pressure of the tire has been increased by heat 
because of the recent operation of the vehicle, the cold inflation 
pressure shall be estimated by subtracting the inflation buildup factor 
shown in Table 1 from the measured inflation pressure.

       Table 1--Inflation Pressure Measurement Correction for Heat
------------------------------------------------------------------------
                                    Minimum inflation pressure buildup
                                 ---------------------------------------
 Average speed of vehicle in the   Tires with 1,814
          previous hour             kg (4,000 lbs.)     Tires with over
                                     maximum load       1,814 kg (4,000
                                    rating or less     lbs.) load rating
------------------------------------------------------------------------
66-88.5 km/hr (41-55 mph).......  34.5 kPa (5 psi)..  103.4 kPa (15
                                                       psi).
------------------------------------------------------------------------


[34 FR 9344, June 13, 1969, as amended at 40 FR 44557, Sept. 29, 1975; 
41 FR 36657, Aug. 31, 1976; 44 FR 25455, May 1, 1979; 44 FR 47938, Aug. 
16, 1979; 53 FR 18057, May 19, 1988; 53 FR 49401, Dec. 7, 1988; 63 FR 
8339, Feb. 18, 1998; 65 FR 70220, Nov. 21, 2000; 66 FR 67694, Dec. 31, 
2001; 70 FR 48054, Aug. 15, 2005]

[[Page 492]]



Sec.393.76  Sleeper berths.

    (a) Dimensions--(1) Size. A sleeper berth must be at least the 
following size:

------------------------------------------------------------------------
                                                                Height
                                       Length        Width     measured
                                     measured on   measured      from
                                     centerline       on        highest
   Date of installation on motor         of       centerline   point of
              vehicle               longitudinal      of        top of
                                        axis      transverse   mattress
                                      (inches)       axis      (inches)
                                                   (inches)       \1\
------------------------------------------------------------------------
Before January 1, 1953............           72           18          18
After December 31, 1952, and                 75           21          21
 before October 1, 1975...........
After September 30, 1975..........           75           24          24
------------------------------------------------------------------------
\1\ In the case of a sleeper berth which utilizes an adjustable
  mechanical suspension system, the required clearance can be measured
  when the suspension system is adjusted to the height to which it would
  settle when occupied by a driver.

    (2) Shape. A sleeper berth installed on a motor vehicle on or after 
January 1, 1953 must be of generally rectangular shape, except that the 
horizontal corners and the roof corners may be rounded to radii not 
exceeding 10\1/2\ inches.
    (3) Access. A sleeper berth must be constructed so that an 
occupant's ready entrance to, and exit from, the sleeper berth is not 
unduly hindered.
    (b) Location. (1) A sleeper berth must not be installed in or on a 
semitrailer or a full trailer other than a house trailer.
    (2) A sleeper berth located within the cargo space of a motor 
vehicle must be securely compartmentalized from the remainder of the 
cargo space. A sleeper berth installed on or after January 1, 1953 must 
be located in the cab or immediately adjacent to the cab and must be 
securely fixed with relation to the cab.
    (c) Exit from the berth. (1) Except as provided in paragraph (c)(2) 
of this section, there must be a direct and ready means of exit from a 
sleeper berth into the driver's seat or compartment. If the sleeper 
berth was installed on or after January 1, 1963, the exit must be a 
doorway or opening at least 18 inches high and 36 inches wide. If the 
sleeper berth was installed before January 1, 1963, the exit must have 
sufficient area to contain an ellipse having a major axis of 24 inches 
and a minor axis of 16 inches.
    (2) A sleeper berth installed before January 1, 1953 must either:
    (i) Conform to the requirements of paragraph (c)(1) of this section; 
or
    (ii) Have at least two exits, each of which is at least 18 inches 
high and 21 inches wide, located at opposite ends of the vehicle and 
useable by the occupant without the assistance of any other person.
    (d) Communication with the driver. A sleeper berth which is not 
located within the driver's compartment and has no direct entrance into 
the driver's compartment must be equipped with a means of communication 
between the occupant and the driver. The means of communication may 
consist of a telephone, speaker tube, buzzer, pull cord, or other 
mechanical or electrical device.
    (e) Equipment. A sleeper berth must be properly equipped for 
sleeping. Its equipment must include:
    (1) Adequate bedclothing and blankets; and
    (2) Either:
    (i) Springs and a mattress; or
    (ii) An innerspring mattress; or
    (iii) A cellular rubber or flexible foam mattress at least four 
inches thick; or
    (iv) A mattress filled with a fluid and of sufficient thickness when 
filled to prevent ``bottoming-out'' when occupied while the vehicle is 
in motion.
    (f) Ventilation. A sleeper berth must have louvers or other means of 
providing adequate ventilation. A sleeper berth must be reasonably tight 
against dust and rain.
    (g) Protection against exhaust and fuel leaks and exhaust heat. A 
sleeper berth must be located so that leaks in the vehicle's exhaust 
system or fuel system do not permit fuel, fuel system gases, or exhaust 
gases to enter the sleeper berth. A sleeper berth must be located so 
that it will not be overheated or damaged by reason of its proximity to 
the vehicle's exhaust system.
    (h) Occupant restraint. A motor vehicle manufactured on or after 
July 1, 1971, and equipped with a sleeper berth must be equipped with a 
means of preventing ejection of the occupant of the sleeper berth during 
deceleration of the vehicle. The restraint system must be designed, 
installed, and maintained to

[[Page 493]]

withstand a minimum total force of 6,000 pounds applied toward the front 
of the vehicle and parallel to the longitudinal axis of the vehicle.

[39 FR 14711, Apr. 26, 1974; 39 FR 17233, May 14, 1974, as amended at 53 
FR 49401, Dec. 7, 1988]



Sec.393.77  Heaters.

    On every motor vehicle, every heater shall comply with the following 
requirements:
    (a) Prohibited types of heaters. The installation or use of the 
following types of heaters is prohibited:
    (1) Exhaust heaters. Any type of exhaust heater in which the engine 
exhaust gases are conducted into or through any space occupied by 
persons or any heater which conducts engine compartment air into any 
such space.
    (2) Unenclosed flame heaters. Any type of heater employing a flame 
which is not fully enclosed, except that such heaters are not prohibited 
when used for heating the cargo of tank motor vehicles.
    (3) Heaters permitting fuel leakage. Any type of heater from the 
burner of which there could be spillage or leakage of fuel upon the 
tilting or overturning of the vehicle in which it is mounted.
    (4) Heaters permitting air contamination. Any heater taking air, 
heated or to be heated, from the engine compartment or from direct 
contact with any portion of the exhaust system; or any heater taking air 
in ducts from the outside atmosphere to be conveyed through the engine 
compartment, unless said ducts are so constructed and installed as to 
prevent contamination of the air so conveyed by exhaust or engine 
compartment gases.
    (5) Solid fuel heaters except wood charcoal. Any stove or other 
heater employing solid fuel except wood charcoal.
    (6) Portable heaters. Portable heaters shall not be used in any 
space occupied by persons except the cargo space of motor vehicles which 
are being loaded or unloaded.
    (b) Heater specifications. All heaters shall comply with the 
following specifications:
    (1) Heating elements, protection. Every heater shall be so located 
or protected as to prevent contact therewith by occupants, unless the 
surface temperature of the protecting grilles or of any exposed portions 
of the heaters, inclusive of exhaust stacks, pipes, or conduits shall be 
lower than would cause contact burns. Adequate protection shall be 
afforded against igniting parts of the vehicle or burning occupants by 
direct radiation. Wood charcoal heaters shall be enclosed within a metal 
barrel, drum, or similar protective enclosure which enclosure shall be 
provided with a securely fastened cover.
    (2) Moving parts, guards. Effective guards shall be provided for the 
protection of passengers or occupants against injury by fans, belts, or 
any other moving parts.
    (3) Heaters, secured. Every heater and every heater enclosure shall 
be securely fastened to the vehicle in a substantial manner so as to 
provide against relative motion within the vehicle during normal usage 
or in the event the vehicle overturns. Every heater shall be so 
designed, constructed, and mounted as to minimize the likelihood of 
disassembly of any of its parts, including exhaust stacks, pipes, or 
conduits, upon overturn of the vehicle in or on which it is mounted. 
Wood charcoal heaters shall be secured against relative motion within 
the enclosure required by paragraph (c)(1) of this section, and the 
enclosure shall be securely fastened to the motor vehicle.
    (4) Relative motion between fuel tank and heater. When either in 
normal operation or in the event of overturn, there is or is likely to 
be relative motion between the fuel tank for a heater and the heater, or 
between either of such units and the fuel lines between them, a suitable 
means shall be provided at the point of greatest relative motion so as 
to allow this motion without causing failure of the fuel lines.
    (5) Operating controls to be protected. On every bus designed to 
transport more than 15 passengers, including the driver, means shall be 
provided to prevent unauthorized persons from tampering with the 
operating controls. Such means may include remote control by the driver; 
installation of controls at inaccessible places; control of adjustments 
by key or keys; enclosure of controls in a locked space, locking of 
controls, or other means of accomplishing this purpose.

[[Page 494]]

    (6) Heater hoses. Hoses for all hot water and steam heater systems 
shall be specifically designed and constructed for that purpose.
    (7) Electrical apparatus. Every heater employing any electrical 
apparatus shall be equipped with electrical conductors, switches, 
connectors, and other electrical parts of ample current-carrying 
capacity to provide against overheating; any electric motor employed in 
any heater shall be of adequate size and so located that it will not be 
overheated; electrical circuits shall be provided with fuses and/or 
circuit breakers to provide against electrical overloading; and all 
electrical conductors employed in or leading to any heater shall be 
secured against dangling, chafing, and rubbing and shall have suitable 
protection against any other condition likely to produce short or open 
circuits.

    Note: Electrical parts certified as proper for use by Underwriters' 
Laboratories, Inc., shall be deemed to comply with the foregoing 
requirements.

    (8) Storage battery caps. If a separate storage battery is located 
within the personnel or cargo space, such battery shall be securely 
mounted and equipped with nonspill filler caps.
    (9) Combustion heater exhaust construction. Every heater employing 
the combustion of oil, gas, liquefied petroleum gas, or any other 
combustible material shall be provided with substantial means of 
conducting the products of combustion to the outside of the vehicle: 
Provided, however, That this requirement shall not apply to heaters used 
solely to heat the cargo space of motor vehicles where such motor 
vehicles or heaters are equipped with means specifically designed and 
maintained so that the carbon monoxide concentration will never exceed 
0.2 percent in the cargo space. The exhaust pipe, stack, or conduit if 
required shall be sufficiently substantial and so secured as to provide 
reasonable assurance against leakage or discharge of products of 
combustion within the vehicle and, if necessary, shall be so insulated 
as to make unlikely the burning or charring of parts of the vehicle by 
radiation or by direct contact. The place of discharge of the products 
of combustion to the atmosphere and the means of discharge of such 
products shall be such as to minimize the likelihood of their reentry 
into the vehicle under all operating conditions.
    (10) Combustion chamber construction. The design and construction of 
any combustion-type heater except cargo space heaters permitted by the 
proviso of paragraph (c)(9) of this section and unenclosed flame heaters 
used for heating cargo of tank motor vehicles shall be such as to 
provide against the leakage of products of combustion into air to be 
heated and circulated. The material employed in combustion chambers 
shall be such as to provide against leakage because of corrosion, 
oxidation, or other deterioration. Joints between combustion chambers 
and the air chambers with which they are in thermal and mechanical 
contact shall be so designed and constructed as to prevent leakage 
between the chambers and the materials employed in such joints shall 
have melting points substantially higher than the maximum temperatures 
likely to be attained at the points of jointure.
    (11) Heater fuel tank location. Every bus designed to transport more 
than 15 passengers, including the driver, with heaters of the combustion 
type shall have fuel tanks therefor located outside of and lower than 
the passenger space. When necessary, suitable protection shall be 
afforded by shielding or other means against the puncturing of any such 
tank or its connections by flying stones or other objects.
    (12) Heater, automatic fuel control. Gravity or siphon feed shall 
not be permitted for heaters using liquid fuels. Heaters using liquid 
fuels shall be equipped with automatic means for shutting off the fuel 
or for reducing such flow of fuel to the smallest practicable magnitude, 
in the event of overturn of the vehicle. Heaters using liquefied 
petroleum gas as fuel shall have the fuel line equipped with automatic 
means at the source of supply for shutting off the fuel in the event of 
separation, breakage, or disconnection of any of the fuel lines between 
the supply source and the heater.
    (13) ``Tell-tale'' indicators. Heaters subject to paragraph (b)(14) 
of this section and not provided with automatic controls shall be 
provided with ``tell-

[[Page 495]]

tale'' means to indicate to the driver that the heater is properly 
functioning. This requirement shall not apply to heaters used solely for 
the cargo space in semitrailers or full trailers.
    (14) Shut-off control. Automatic means, or manual means if the 
control is readily accessible to the driver without moving from the 
driver's seat, shall be provided to shut off the fuel and electrical 
supply in case of failure of the heater to function for any reason, or 
in case the heater should function improperly or overheat. This 
requirement shall not apply to wood charcoal heaters or to heaters used 
solely to heat the contents of cargo tank motor vehicles, but wood 
charcoal heaters must be provided with a controlled method of regulating 
the flow of combustion air.
    (15) Certification required. Every combustion-type heater, except 
wood charcoal heaters, the date of manufacture of which is subsequent to 
December 31, 1952, and every wood charcoal heater, the date of 
manufacture of which is subsequent to September 1, 1953, shall be marked 
plainly to indicate the type of service for which such heater is 
designed and with a certification by the manufacturer that the heater 
meets the applicable requirements for such use. For example, ``Meets 
I.C.C. Bus Heater Requirements,'' Meets I.C.C. Flue-Vented Cargo Space 
Heater Requirements,'' and after December 31, 1967, such certification 
shall read ``Meets FMCSA Bus Heater Requirements,'' ``Meets FMCSA Flue-
Vented Cargo Space Heater Requirements,'' etc.
    (c) Exception. The certification for a catalytic heater which is 
used in transporting flammable liquid or gas shall be as prescribed 
under Sec.177.834(1) of this title.

[33 FR 19735, Dec. 25, 1968, as amended at 40 FR 51198, Nov. 4, 1975; 53 
FR 49401, Dec. 7, 1988; 77 FR 59828, Oct. 1, 2012; 78 FR 58484, Sept. 
24, 2013]



Sec.393.78  Windshield wiping and washing systems.

    (a) Vehicles manufactured on or after December 25, 1968. Each bus, 
truck, and truck-tractor manufactured on or after December 25, 1968, 
must have a windshield wiping system that meets the requirements of 
FMVSS No. 104 (S4.1) in effect on the date of manufacture. Each of these 
vehicles must have a windshield washing system that meets the 
requirements of FMVSS No. 104 (S4.2.2) in effect on the date of 
manufacture.
    (b) Vehicles manufactured between June 30, 1953, and December 24, 
1968. Each truck, truck-tractor, and bus manufactured between June 30, 
1953, and December 24, 1968, shall be equipped with a power-driven 
windshield wiping system with at least two wiper blades, one on each 
side of the centerline of the windshield. Motor vehicles which depend 
upon vacuum to operate the windshield wipers, shall have the wiper 
system constructed and maintained such that the performance of the 
wipers will not be adversely affected by a change in the intake manifold 
pressure.
    (c) Driveaway-towaway operations. Windshield wiping and washing 
systems need not be in working condition while a commercial motor 
vehicle is being towed in a driveaway-towaway operation.

[70 FR 48054, Aug. 15, 2005]



Sec.393.79  Windshield defrosting and defogging systems.

    (a) Vehicles manufactured on or after December 25, 1968. Each bus, 
truck, and truck-tractor manufactured on or after December 25, 1968, 
must have a windshield defrosting and defogging system that meets the 
requirements of FMVSS No. 103 in effect on the date of manufacture.
    (b) Vehicles manufactured before December 25, 1968. Each bus, truck, 
and truck-tractor shall be equipped with a means for preventing the 
accumulation of ice, snow, frost, or condensation that could obstruct 
the driver's view through the windshield while the vehicle is being 
driven.

[70 FR 48054, Aug. 15, 2005]



Sec.393.80  Rear-vision mirrors.

    (a) Every bus, truck, and truck tractor shall be equipped with two 
rear-vision mirrors, one at each side, firmly attached to the outside of 
the motor vehicle, and so located as to reflect to the driver a view of 
the highway to the rear, along both sides of the vehicle. All such 
regulated rear-vision mirrors

[[Page 496]]

and their replacements shall meet, as a minimum, the requirements of 
FMVSS No. 111 (49 CFR 571.111) in force at the time the vehicle was 
manufactured.
    (b) Exceptions. (1) Mirrors installed on a vehicle manufactured 
prior to January 1, 1981, may be continued in service, provided that if 
the mirrors are replaced they shall be replaced with mirrors meeting, as 
a minimum, the requirements of FMVSS No. 111 (49 CFR 571.111) in force 
at the time the vehicle was manufactured.
    (2) Only one outside mirror shall be required, which shall be on the 
driver's side, on trucks which are so constructed that the driver has a 
view to the rear by means of an interior mirror.
    (3) In driveway-towaway operations, the driven vehicle shall have at 
least one mirror furnishing a clear view to the rear.

[48 FR 57139, Dec. 28, 1983]



Sec.393.81  Horn.

    Every bus, truck, truck-tractor, and every driven motor vehicle in 
driveaway-towaway operations shall be equipped with a horn and actuating 
elements which shall be in such condition as to give an adequate and 
reliable warning signal.



Sec.393.82  Speedometer.

    Each bus, truck, and truck-tractor must be equipped with a 
speedometer indicating vehicle speed in miles per hour and/or kilometers 
per hour. The speedometer must be accurate to within plus or minus 8 km/
hr (5 mph) at a speed of 80 km/hr (50 mph).

[70 FR 48054, Aug. 15, 2005]



Sec.393.83  Exhaust systems.

    (a) Every motor vehicle having a device (other than as part of its 
cargo) capable of expelling harmful combustion fumes shall have a system 
to direct the discharge of such fumes. No part shall be located where 
its location would likely result in burning, charring, or damaging the 
electrical wiring, the fuel supply, or any combustible part of the motor 
vehicle.
    (b) No exhaust system shall discharge to the atmosphere at a 
location immediately below the fuel tank or the fuel tank filler pipe.
    (c) The exhaust system of a bus powered by a gasoline engine shall 
discharge to the atmosphere at or within 6 inches forward of the 
rearmost part of the bus.
    (d) The exhaust system of a bus using fuels other than gasoline 
shall discharge to the atmosphere either:
    (1) At or within 15 inches forward of the rearmost part of the 
vehicle; or
    (2) To the rear of all doors or windows designed to be open, except 
windows designed to be opened solely as emergency exits.
    (e) The exhaust system of every truck and truck tractor shall 
discharge to the atmosphere at a location to the rear of the cab or, if 
the exhaust projects above the cab, at a location near the rear of the 
cab.
    (f) No part of the exhaust system shall be temporarily repaired with 
wrap or patches.
    (g) No part of the exhaust system shall leak or discharge at a point 
forward of or directly below the driver/sleeper compartment. The exhaust 
outlet may discharge above the cab/sleeper roofline.
    (h) The exhaust system must be securely fastened to the vehicle.
    (i) Exhaust systems may use hangers which permit required movement 
due to expansion and contraction caused by heat of the exhaust and 
relative motion between engine and chassis of a vehicle.

[53 FR 49401, Dec. 7, 1988]



Sec.393.84  Floors.

    The flooring in all motor vehicles shall be substantially 
constructed, free of unnecessary holes and openings, and shall be 
maintained so as to minimize the entrance of fumes, exhaust gases, or 
fire. Floors shall not be permeated with oil or other substances likely 
to cause injury to persons using the floor as a traction surface.

[53 FR 49401, Dec. 7, 1988]



Sec.393.85      [Reserved]



Sec.393.86  Rear impact guards and rear end protection.

    (a)(1) General requirements for trailers and semitrailers 
manufactured on or after

[[Page 497]]

January 26, 1998. Each trailer and semitrailer with a gross vehicle 
weight rating of 4,536 kg (10,000 pounds) or more, and manufactured on 
or after January 26, 1998, must be equipped with a rear impact guard 
that meets the requirements of Federal Motor Vehicle Safety Standard No. 
223 (49 CFR 571.223) in effect at the time the vehicle was manufactured. 
When the rear impact guard is installed on the trailer or semitrailer, 
the vehicle must, at a minimum, meet the requirements of FMVSS No. 224 
(49 CFR 571.224) in effect at the time the vehicle was manufactured. The 
requirements of paragraph (a) of this section do not apply to pole 
trailers (as defined in Sec.390.5 of this chapter); pulpwood trailers, 
low chassis vehicles, special purpose vehicles, wheels back vehicles (as 
defined in Sec.393.5); and trailers towed in driveaway-towaway 
operations (as defined in Sec.390.5).
    (2) Impact guard width. The outermost surfaces of the horizontal 
member of the guard must extend to within 100 mm (4 inches) of the side 
extremities of the vehicle. The outermost surface of the horizontal 
member shall not extend beyond the side extremity of the vehicle.
    (3) Guard height. The vertical distance between the bottom edge of 
the horizontal member of the guard and the ground shall not exceed 560 
mm (22 inches) at any point across the full width of the member. Guards 
with rounded corners may curve upward within 255 mm (10 inches) of the 
longitudinal vertical planes that are tangent to the side extremities of 
the vehicle.
    (4) Guard rear surface. At any height 560 mm (22 inches) or more 
above the ground, the rearmost surface of the horizontal member of the 
guard must be within 305 mm (12 inches) of the rear extremity of the 
vehicle. This paragraph shall not be construed to prohibit the rear 
surface of the guard from extending beyond the rear extremity of the 
vehicle. Guards with rounded corners may curve forward within 255 mm (10 
inches) of the side extremity.
    (5) Cross-sectional vertical height. The horizontal member of each 
guard must have a cross sectional vertical height of at least 100 mm 
(3.94 inches) at any point across the guard width.
    (6) Certification and labeling requirements for rear impact 
protection guards. Each rear impact guard used to satisfy the 
requirements of paragraph (a)(1) of this section must be permanently 
marked or labeled as required by FMVSS No. 223 (49 CFR 571.223, S5.3). 
The label must be on the forward-facing surface of the horizontal member 
of the guard, 305 mm (12 inches) inboard of the right end of the guard. 
The certification label must contain the following information:
    (i) The impact guard manufacturer's name and address;
    (ii) The statement ``Manufactured in ----'' (inserting the month and 
year that the guard was manufactured); and,
    (iii) The letters ``DOT'', constituting a certification by the guard 
manufacturer that the guard conforms to all requirements of FMVSS No. 
223.
    (b)(1) Requirements for motor vehicles manufactured after December 
31, 1952 (except trailers or semitrailers manufactured on or after 
January 26, 1998). Each motor vehicle manufactured after December 31, 
1952, (except truck tractors, pole trailers, pulpwood trailers, or 
vehicles in driveaway-towaway operations) in which the vertical distance 
between the rear bottom edge of the body (or the chassis assembly if the 
chassis is the rearmost part of the vehicle) and the ground is greater 
than 76.2 cm (30 inches) when the motor vehicle is empty, shall be 
equipped with a rear impact guard(s). The rear impact guard(s) must be 
installed and maintained in such a manner that:
    (i) The vertical distance between the bottom of the guard(s) and the 
ground does not exceed 76.2 cm (30 inches) when the motor vehicle is 
empty;
    (ii) The maximum lateral distance between the closest points between 
guards, if more than one is used, does not exceed 61 cm (24 inches);
    (iii) The outermost surfaces of the horizontal member of the guard 
are no more than 45.7 cm (18 inches) from each side extremity of the 
motor vehicle;
    (iv) The impact guard(s) are no more than 61 cm (24 inches) forward 
of the rear extremity of the motor vehicle.

[[Page 498]]

    (2) Construction and attachment. The rear impact guard(s) must be 
substantially constructed and attached by means of bolts, welding, or 
other comparable means.
    (3) Vehicle components and structures that may be used to satisfy 
the requirements of paragraph (b) of this section. Low chassis vehicles, 
special purpose vehicles, or wheels back vehicles constructed and 
maintained so that the body, chassis, or other parts of the vehicle 
provide the rear end protection comparable to impact guard(s) conforming 
to the requirements of paragraph (b)(1) of this section shall be 
considered to be in compliance with those requirements.

[64 FR 47708, Sept. 1, 1999, as amended at 67 FR 61824, Oct. 2, 2002]



Sec.393.87  Warning flags on projecting loads.

    (a) Any commercial motor vehicle transporting a load which extends 
beyond the sides by more than 102 mm (4 inches) or more than 1,219 mm (4 
feet) beyond the rear must have the extremities of the load marked with 
red or orange fluorescent warning flags. Each warning flag must be at 
least 457 mm (18 inches) square.
    (b) Position of flags. There must be a single flag at the extreme 
rear if the projecting load is two feet wide or less. Two warning flags 
are required if the projecting load is wider than two feet. Flags must 
be located to indicate maximum width of loads which extend beyond the 
sides and/or rear of the vehicle.

[70 FR 48054, Aug. 15, 2005]



Sec.393.88  Television receivers.

    Any motor vehicle equipped with a television viewer, screen or other 
means of visually receiving a television broadcast shall have the viewer 
or screen located in the motor vehicle at a point to the rear of the 
back of the driver's seat if such viewer or screen is in the same 
compartment as the driver and the viewer or screen shall be so located 
as not to be visible to the driver, while he/she is driving the motor 
vehicle. The operating controls for the television receiver shall be so 
located that the driver cannot operate them without leaving the driver's 
seat.



Sec.393.89  Buses, driveshaft protection.

    Any driveshaft extending lengthways under the floor of the passenger 
compartment of a bus shall be protected by means of at least one guard 
or bracket at that end of the shaft which is provided with a sliding 
connection (spline or other such device) to prevent the whipping of the 
shaft in the event of failure thereof or of any of its component parts. 
A shaft contained within a torque tube shall not require any such 
device.

[33 FR 19735, Dec. 25, 1968, as amended at 53 FR 49402, Dec. 7, 1988]



Sec.393.90  Buses, standee line or bar.

    Except as provided below, every bus, which is designed and 
constructed so as to allow standees, shall be plainly marked with a line 
of contrasting color at least 2 inches wide or equipped with some other 
means so as to indicate to any person that he/she is prohibited from 
occupying a space forward of a perpendicular plane drawn through the 
rear of the driver's seat and perpendicular to the longitudinal axis of 
the bus. Every bus shall have clearly posted at or near the front, a 
sign with letters at least one-half inch high stating that it is a 
violation of the Federal Motor Carrier Safety Administration's 
regulations for a bus to be operated with persons occupying the 
prohibited area. The requirements of this section shall not apply to any 
bus being transported in driveaway-towaway operation or to any level of 
the bus other that the level in which the driver is located nor shall 
they be construed to prohibit any seated person from occupying permanent 
seats located in the prohibited area provided such seats are so located 
that persons sitting therein will not interfere with the driver's safe 
operation of the bus.



Sec.393.91  Buses, aisle seats prohibited.

    No bus shall be equipped with aisle seats unless such seats are so 
designed and installed as to automatically fold and leave a clear aisle 
when they are unoccupied. No bus shall be operated if

[[Page 499]]

any seat therein is not securely fastened to the vehicle.

[53 FR 49402, Dec. 7, 1988]



Sec.393.92      [Reserved]



Sec.393.93  Seats, seat belt assemblies, and seat belt assembly anchorages.

    (a) Buses--(1) Buses manufactured on or after January 1, 1965, and 
before July 1, 1971. After June 30, 1972, every bus manufactured on or 
after January 1, 1965, and before July 1, 1971, must be equipped with a 
Type 1 or Type 2 seat belt assembly that conforms to Federal Motor 
Vehicle Safety Standard No. 209 \1\ (Sec.571.209) installed at the 
driver's seat and seat belt assembly anchorages that conform to the 
location and geometric requirements of Federal Motor Vehicle Safety 
Standard No. 210 \1\ (Sec.571.210) for that seat belt assembly.
---------------------------------------------------------------------------

    \1\ Individual copies of Federal Motor Vehicle Safety Standards may 
be obtained from the National Highway Traffic Safety Administration. 
1200 New Jersey Ave., SE., Washington, DC 20590-0001.
---------------------------------------------------------------------------

    (2) Buses manufactured on or after July 1, 1971. Every bus 
manufactured on or after July 1, 1971, must conform to the requirements 
of Federal Motor Vehicle Safety Standard No. 208 \1\ (Sec.571.208) 
(relating to installation of seat belt assemblies) and Federal Motor 
Vehicle Safety Standard No. 210 \1\ (Sec.571.210) (relating to 
installation of seat belt assembly anchorages).
    (3) Buses manufactured on or after January 1, 1972. Every bus 
manufactured on or after January 1, 1972, must conform to the 
requirements of Federal Motor Vehicle Safety Standard No. 207 \1\ (Sec.
571.207) (relating to seating systems).
    (b) Trucks and truck tractors--(1) Trucks and truck tractors 
manufactured on and after January 1, 1965, and before July 1, 1971. 
Except as provided in paragraph (d) of this section, after June 30, 
1972, every truck and truck tractor manufactured on or after January 1, 
1965, and before July 1, 1971, must be equipped with a Type 1 or Type 2 
seat belt assembly that conforms to Federal Motor Vehicle Safety 
Standard No. 209 (Sec.571.209) installed at the driver's seat and at 
the right front outboard seat, if the vehicle has one, and seat belt 
assembly anchorages that conform to the location and geometric 
requirements of Federal Motor Vehicle Safety Standard No. 210 (Sec.
571.210) for each seat belt assembly that is required by this 
subparagraph.
    (2) Trucks and truck tractors manufactured on or after July 1, 1971. 
Every truck and truck tractor manufactured on or after July 1, 1971, 
except a truck or truck tractor being transported in driveaway-towaway 
operation and having an incomplete vehicle seating and cab 
configuration, must conform to the requirements of Federal Motor Vehicle 
Safety Standard No. 208 \1\ (Sec.571.208) (relating to installation of 
seat belt assemblies) and Federal Motor Vehicle Safety Standard No. 210 
\1\ (Sec.571.210) (relating to installation of seat belt assembly 
anchorages).
---------------------------------------------------------------------------

    \1\ See footnote to Sec.393.93(a).
---------------------------------------------------------------------------

    (3) Trucks and truck tractors manufactured on or after January 1, 
1972. Every truck and truck tractor manufactured on or after January 1, 
1972, except a truck or truck tractor being transported in driveaway-
towaway operation and having an incomplete vehicle seating and cab 
configuration, must conform to the requirements of Federal Motor Vehicle 
Safety Standard No. 207 \1\ (Sec.571.207) (relating to seating 
systems).
    (c) Effective date of standards. Whenever paragraph (a) or (b) of 
this section requires conformity to a Federal Motor Vehicle Safety 
Standard, the vehicle or equipment must conform to the version of the 
Standard that is in effect on the date the vehicle is manufactured or on 
the date the vehicle is modified to conform to the requirements of 
paragraph (a) or (b) of this section, whichever is later.
    (d) Trucks and truck tractors manufactured on or after January 1, 
1965, and before July 1, 1971, and operated in the State of Hawaii, must 
comply with the provisions of paragraph (b) of this section on and after 
January 1, 1976.

[35 FR 16839, Oct. 30, 1970, as amended at 39 FR 32561, Sept. 9, 1974; 
40 FR 32336, Aug. 1, 1975; 72 FR 55703, Oct. 1, 2007]

[[Page 500]]



Sec.393.94  Interior noise levels in power units.

    (a) Applicability of this section. The interior noise level 
requirements apply to all trucks, truck-tractors, and buses.
    (b) General rule. The interior sound level at the driver's seating 
position of a motor vehicle must not exceed 90 dB(A) when measured in 
accordance with paragraph (c) of this section.
    (c) Test procedure. (1) Park the vehicle at a location so that no 
large reflecting surfaces, such as other vehicles, signboards, 
buildings, or hills, are within 50 feet of the driver's seating 
position.
    (2) Close all vehicle doors, windows, and vents. Turn off all power-
operated accessories.
    (3) Place the driver in his/her normal seated position at the 
vehicle's controls. Evacuate all occupants except the driver and the 
person conducting the test.
    (4) The sound level meters used to determine compliance with the 
requirements of this section must meet the American National Standards 
Institute ``Specification for Sound Level Meters,'' ANSI S1.4--1983. 
(See Sec.393.7(b) for information on the incorporation by reference 
and availability of this document.)
    (5) Locate the microphone, oriented vertically upward, 6 inches to 
the right of, in the same plane as, and directly in line with, the 
driver's right ear.
    (6) With the vehicle's transmission in neutral gear, accelerate its 
engine to either its maximum governed engine speed, if it is equipped 
with an engine governor, or its speed at its maximum rated horsepower, 
if it is not equipped with an engine governor. Stabilize the engine at 
that speed.
    (7) Observe the A-weighted sound level reading on the meter for the 
stabilized engine speed condition. Record that reading, if the reading 
has not been influenced by extraneous noise sources such as motor 
vehicles operating on adjacent roadways.
    (8) Return the vehicle's engine speed to idle and repeat the 
procedures specified in paragraphs (c) (6) and (7) of this section until 
two maximum sound levels within 2 dB of each other are recorded. 
Numerically average those two maximum sound level readings.
    (9) The average obtained in accordance with paragraph (c)(8) of this 
section is the vehicle's interior sound level at the driver's seating 
position for the purpose of determining whether the vehicle conforms to 
the rule in paragraph (b) of this section. However, a 2 dB tolerance 
over the sound level limitation specified in that paragraph is permitted 
to allow for variations in test conditions and variations in the 
capabilities of meters.
    (10) If the motor vehicle's engine radiator fan drive is equipped 
with a clutch or similar device that automatically either reduces the 
rotational speed of the fan or completely disengages the fan from its 
power source in response to reduced engine cooling loads the vehicle may 
be parked before testing with its engine running at high idle or any 
other speed the operator may choose, for sufficient time but not more 
than 10 minutes, to permit the engine radiator fan to automatically 
disengage.

[38 FR 30881, Nov. 8, 1973, as amended at 40 FR 32336, Aug. 1, 1975; 41 
FR 28268, July 9, 1976; 70 FR 48054, Aug. 15, 2005]



                      Subpart H_Emergency Equipment



Sec.393.95  Emergency equipment on all power units.

    Each truck, truck tractor, and bus (except those towed in driveaway-
towaway operations) must be equipped as follows:
    (a) Fire extinguishers--(1) Minimum ratings. (i) A power unit that 
is used to transport hazardous materials in a quantity that requires 
placarding (See Sec.177.823 of this title) must be equipped with a 
fire extinguisher having an Underwriters' Laboratories rating of 10 B:C 
or more.
    (ii) A power unit that is not used to transport hazardous materials 
must be equipped with either:
    (A) A fire extinguisher having an Underwriters' Laboratories rating 
of 5 B:C or more; or
    (B) Two fire extinguishers, each of which has an Underwriters' 
Laboratories rating of 4 B:C or more.
    (2) Labeling and marking. Each fire extinguisher required by this 
section

[[Page 501]]

must be labeled or marked by the manufacturer with its Underwriters' 
Laboratories rating.
    (3) Visual Indicators. The fire extinguisher must be designed, 
constructed, and maintained to permit visual determination of whether it 
is fully charged.
    (4) Condition, location, and mounting. The fire extinguisher(s) must 
be filled and located so that it is readily accessible for use. The 
extinguisher(s) must be securely mounted to prevent sliding, rolling, or 
vertical movement relative to the motor vehicle.
    (5) Extinguishing agents. The fire extinguisher must use an 
extinguishing agent that does not need protection from freezing. 
Extinguishing agents must comply with the toxicity provisions of the 
Environmental Protection Agency's Significant New Alternatives Policy 
(SNAP) regulations under 40 CFR Part 82, Subpart G.
    (6) Exception. This paragraph (a) does not apply to the driven unit 
in a driveaway-towaway operation.
    (b) Spare fuses. Power units for which fuses are needed to operate 
any required parts and accessories must have at least one spare fuse for 
each type/size of fuse needed for those parts and accessories.
    (c)-(e) [Reserved]
    (f) Warning devices for stopped vehicles. Except as provided in 
paragraph (g) of this section, one of the following options must be 
used:
    (1) Three bidirectional emergency reflective triangles that conform 
to the requirements of Federal Motor Vehicle Safety Standard No. 125, 
Sec.571.125 of this title; or
    (2) At least 6 fusees or 3 liquid-burning flares. The vehicle must 
have as many additional fusees or liquid-burning flares as are necessary 
to satisfy the requirements of Sec.392.22.
    (3) Other warning devices may be used in addition to, but not in 
lieu of, the required warning devices, provided those warning devices do 
not decrease the effectiveness of the required warning devices.
    (g) Restrictions on the use of flame-producing devices. Liquid-
burning flares, fusees, oil lanterns, or any signal produced by a flame 
shall not be carried on any commercial motor vehicle transporting 
Division 1.1, 1.2, 1.3 (explosives) hazardous materials; any cargo tank 
motor vehicle used for the transportation of Division 2.1 (flammable 
gas) or Class 3 (flammable liquid) hazardous materials whether loaded or 
empty; or any commercial motor vehicle using compressed gas as a motor 
fuel.
    (h)-(i) [Reserved]
    (j) Requirements for fusees and liquid-burning flares. Each fusee 
shall be capable of burning for 30 minutes, and each liquid-burning 
flare shall contain enough fuel to burn continuously for at least 60 
minutes. Fusees and liquid-burning flares shall conform to the 
requirements of Underwriters Laboratories, Inc., UL No. 912, Highway 
Emergency Signals, Fourth Edition, July 30, 1979, (with an amendment 
dated November 9, 1981). (See Sec.393.7 for information on the 
incorporation by reference and availability of this document.) Each 
fusee and liquid-burning flare shall be marked with the UL symbol in 
accordance with the requirements of UL 912.
    (k) Requirements for red flags. Red flags shall be not less than 12 
inches square, with standards adequate to maintain the flags in an 
upright position.

(49 U.S.C. 304, 1655; 49 CFR 1.48(b) and 301.60)

[33 FR 19735, Dec. 25, 1968, as amended at 35 FR 13019, Aug. 15, 1970; 
35 FR 14619, Sept. 18, 1970; 37 FR 17176, Aug. 25, 1972; 40 FR 10685, 
Mar. 7, 1975; 41 FR 53031, Dec. 3, 1976; 47 FR 47837, Oct. 28, 1982; 59 
FR 34712, July 6, 1994; 67 FR 61225, Sept. 27, 2002; 70 FR 48054, Aug. 
15, 2005; 72 FR 44036, Aug. 7, 2007; 78 FR 58484, Sept. 24, 2013]



         Subpart I_Protection Against Shifting and Falling Cargo

    Source: 67 FR 61225, Sept. 27, 2002, unless otherwise noted.



Sec.393.100  Which types of commercial motor vehicles are subject 
to the cargo securement standards of this subpart, and what general 
requirements apply?

    (a) Applicability. The rules in this subpart are applicable to 
trucks, truck tractors, semitrailers, full trailers, and pole trailers.
    (b) Prevention against loss of load. Each commercial motor vehicle 
must,

[[Page 502]]

when transporting cargo on public roads, be loaded and equipped, and the 
cargo secured, in accordance with this subpart to prevent the cargo from 
leaking, spilling, blowing or falling from the motor vehicle.
    (c) Prevention against shifting of load. Cargo must be contained, 
immobilized or secured in accordance with this subpart to prevent 
shifting upon or within the vehicle to such an extent that the vehicle's 
stability or maneuverability is adversely affected.



Sec.393.102  What are the minimum performance criteria for cargo 
securement devices and systems?

    (a) Performance criteria--(1) Breaking strength. Tiedown assemblies 
(including chains, wire rope, steel strapping, synthetic webbing, and 
cordage) and other attachment or fastening devices used to secure 
articles of cargo to, or in, commercial motor vehicles must be designed, 
installed, and maintained to ensure that the maximum forces acting on 
the devices or systems do not exceed the manufacturer's breaking 
strength rating under the following conditions, applied separately:
    (i) 0.8 g deceleration in the forward direction;
    (ii) 0.5 g acceleration in the rearward direction; and
    (iii) 0.5 g acceleration in a lateral direction.
    (2) Working Load limit. Tiedown assemblies (including chains, wire 
rope, steel strapping, synthetic webbing, and cordage) and other 
attachment or fastening devices used to secure articles of cargo to, or 
in, commercial motor vehicles must be designed, installed, and 
maintained to ensure that the forces acting on the devices or systems do 
not exceed the working load limit for the devices under the following 
conditions, applied separately:
    (i) 0.435 g deceleration in the forward direction;
    (ii) 0.5 g acceleration in the rearward direction; and
    (iii) 0.25 g acceleration in a lateral direction.
    (b) Performance criteria for devices to prevent vertical movement of 
loads that are not contained within the structure of the vehicle. 
Securement systems must provide a downward force equivalent to at least 
20 percent of the weight of the article of cargo if the article is not 
fully contained within the structure of the vehicle. If the article is 
fully contained within the structure of the vehicle, it may be secured 
in accordance with Sec.393.106(b).
    (c) Equivalent means of securement. The means of securing articles 
of cargo are considered to meet the performance requirements of this 
section if the cargo is:
    (1) Immobilized, such so that it cannot shift or tip to the extent 
that the vehicle's stability or maneuverability is adversely affected; 
or
    (2) Transported in a sided vehicle that has walls of adequate 
strength, such that each article of cargo within the vehicle is in 
contact with, or sufficiently close to a wall or other articles, so that 
it cannot shift or tip to the extent that the vehicle's stability or 
maneuverability is adversely affected; or
    (3) Secured in accordance with the applicable requirements of 
Sec. Sec.393.104 through 393.136.

[71 FR 35832, June 22, 2006, as amended at 78 FR 58484, Sept. 24, 2013]



Sec.393.104  What standards must cargo securement devices and 
systems meet in order to satisfy the requirements of this subpart?

    (a) General. All devices and systems used to secure cargo to or 
within a vehicle must be capable of meeting the requirements of Sec.
393.102.
    (b) Prohibition on the use of damaged securement devices. All 
tiedowns, cargo securement systems, parts and components used to secure 
cargo must be in proper working order when used to perform that function 
with no damaged or weakened components, such as, but not limited to, 
cracks or cuts that will adversely affect their performance for cargo 
securement purposes, including reducing the working load limit.
    (c) Vehicle structures and anchor points. Vehicle structures, 
floors, walls, decks, tiedown anchor points, headerboards, bulkheads, 
stakes, posts, and associated mounting pockets used to contain or secure 
articles of cargo must be strong enough to meet the performance criteria 
of Sec.393.102, with no damaged or weakened components, such as, but 
not limited to, cracks or

[[Page 503]]

cuts that will adversely affect their performance for cargo securement 
purposes, including reducing the working load limit.
    (d) Material for dunnage, chocks, cradles, shoring bars, blocking 
and bracing. Material used as dunnage or dunnage bags, chocks, cradles, 
shoring bars, or used for blocking and bracing, must not have damage or 
defects which would compromise the effectiveness of the securement 
system.
    (e) Manufacturing standards for tiedown assemblies. Tiedown 
assemblies (including chains, wire rope, steel strapping, synthetic 
webbing, and cordage) and other attachment or fastening devices used to 
secure articles of cargo to, or in, commercial motor vehicles must 
conform to the following applicable standards:

------------------------------------------------------------------------
   An assembly component of . . .            Must conform to . . .
------------------------------------------------------------------------
(1) Steel strapping \1 2\...........  Standard Specification for
                                       Strapping, Flat Steel and Seals,
                                       American Society for Testing and
                                       Materials (ASTM) D3953-97,
                                       February 1998. \4\
(2) Chain...........................  National Association of Chain
                                       Manufacturers' Welded Steel Chain
                                       Specifications, dated September
                                       28, 2005. \4\
(3) Webbing.........................  Web Sling and Tiedown
                                       Association's Recommended
                                       Standard Specification for
                                       Synthetic Web Tiedowns, WSTDA-T1,
                                       1998. \4\
(4) Wire rope \3\...................  Wire Rope Technical Board's Wire
                                       Rope Users Manual, 2nd Edition,
                                       November 1985. \4\
(5) Cordage.........................  Cordage Institute rope standard:
                                         (i) PETRS-2, Polyester Fiber
                                          Rope, three-Strand and eight-
                                          Strand Constructions, January
                                          1993; \4\
                                         (ii) PPRS-2, Polypropylene
                                          Fiber Rope, three-Strand and
                                          eight-Strand Constructions,
                                          August 1992; \4\
                                         (iii) CRS-1, Polyester/
                                          Polypropylene Composite Rope
                                          Specifications, three-Strand
                                          and eight-Strand Standard
                                          Construction, May 1979; \4\
                                         (iv) NRS-1, Nylon Rope
                                          Specifications, three-Strand
                                          and eight-Strand Standard
                                          Construction, May 1979; \4\
                                          and
                                         (v) C-1, Double Braided Nylon
                                          Rope Specifications DBN,
                                          January 1984. \4\
------------------------------------------------------------------------
\1\ Steel strapping not marked by the manufacturer with a working load
  limit will be considered to have a working load limit equal to one-
  fourth of the breaking strength listed in ASTM D3953-97.
\2\ Steel strapping 25.4 mm (1 inch) or wider must have at least two
  pairs of crimps in each seal and, when an end-over-end lap joint is
  formed, must be sealed with at least two seals.
\3\ Wire rope which is not marked by the manufacturer with a working
  load limit shall be considered to have a working load limit equal to
  one-fourth of the nominal strength listed in the manual.
\4\ See Sec. 393.7 for information on the incorporation by reference
  and availability of this document.

    (f) Use of tiedowns. (1) Tiedowns and securing devices must not 
contain knots.
    (2) If a tiedown is repaired, it must be repaired in accordance with 
the applicable standards in paragraph (e) of this section, or the 
manufacturer's instructions.
    (3) Each tiedown must be attached and secured in a manner that 
prevents it from becoming loose, unfastening, opening or releasing while 
the vehicle is in transit.
    (4) Edge protection must be used whenever a tiedown would be subject 
to abrasion or cutting at the point where it touches an article of 
cargo. The edge protection must resist abrasion, cutting and crushing.

[67 FR 61225, Sept. 27, 2002, as amended at 71 FR 35833, June 22, 2006]



Sec.393.106  What are the general requirements for securing
articles of cargo?

    (a) Applicability. The rules in this section are applicable to the 
transportation of all types of articles of cargo, except commodities in 
bulk that lack structure or fixed shape (e.g., liquids, gases, grain, 
liquid concrete, sand, gravel, aggregates) and are transported in a 
tank, hopper, box, or similar device that forms part of the structure of 
a commercial motor vehicle. The rules in this section apply to the cargo 
types covered by the commodity-specific rules of Sec.393.116 through 
Sec.393.136. The commodity-specific rules take precedence over the 
general requirements of this section when additional requirements are 
given for a commodity listed in those sections.
    (b) General. Cargo must be firmly immobilized or secured on or 
within a vehicle by structures of adequate

[[Page 504]]

strength, dunnage or dunnage bags, shoring bars, tiedowns or a 
combination of these.
    (c) Cargo placement and restraint. (1) Articles of cargo that are 
likely to roll must be restrained by chocks, wedges, a cradle or other 
equivalent means to prevent rolling. The means of preventing rolling 
must not be capable of becoming unintentionally unfastened or loose 
while the vehicle is in transit.
    (2) Articles or cargo placed beside each other and secured by 
transverse tiedowns must either:
    (i) Be placed in direct contact with each other, or
    (ii) Be prevented from shifting towards each other while in transit.
    (d) Aggregate working load limit for tiedowns. The aggregate working 
load limit of tiedowns used to secure an article or group of articles 
against movement must be at least one-half times the weight of the 
article or group of articles. The aggregate working load limit is the 
sum of:
    (1) One-half the working load limit of each tiedown that goes from 
an anchor point on the vehicle to an anchor point on an article of 
cargo;
    (2) One-half the working load limit of each tiedown that is attached 
to an anchor point on the vehicle, passes through, over, or around the 
article of cargo, and is then attached to an anchor point on the same 
side of the vehicle.
    (3) The working load limit for each tiedown that goes from an anchor 
point on the vehicle, through, over, or around the article of cargo, and 
then attaches to another anchor point on the other side of the vehicle.

[67 FR 61225, Sept. 27, 2002, as amended at 68 FR 56208, Sept. 30, 2003; 
71 FR 35833, June 22, 2006]



Sec.393.108  How is the working load limit of a tiedown, or the load
restraining value of a friction mat, determined?

    (a) The working load limit (WLL) of a tiedown, associated connector 
or attachment mechanism is the lowest working load limit of any of its 
components (including tensioner), or the working load limit of the 
anchor points to which it is attached, whichever is less.
    (b) The working load limits of tiedowns may be determined by using 
either the tiedown manufacturer's markings or by using the tables in 
this section. The working load limits listed in the tables are to be 
used when the tiedown material is not marked by the manufacturer with 
the working load limit. Tiedown materials which are marked by the 
manufacturer with working load limits that differ from the tables, shall 
be considered to have a working load limit equal to the value for which 
they are marked.
    (c) Synthetic cordage (e.g., nylon, polypropylene, polyester) which 
is not marked or labeled to enable identification of its composition or 
working load limit shall be considered to have a working load limit 
equal to that for polypropylene fiber rope.
    (d) Welded steel chain which is not marked or labeled to enable 
identification of its grade or working load limit shall be considered to 
have a working load limit equal to that for grade 30 proof coil chain.
    (e)(1) Wire rope which is not marked by the manufacturer with a 
working load limit shall be considered to have a working load limit 
equal to one-fourth of the nominal strength listed in the Wire Rope 
Users Manual.
    (2) Wire which is not marked or labeled to enable identification of 
its construction type shall be considered to have a working load limit 
equal to that for 6 x 37, fiber core wire rope.
    (f) Manila rope which is not marked by the manufacturer with a 
working load limit shall be considered to have a working load limit 
based on its diameter as provided in the tables of working load limits.
    (g) Friction mats which are not marked or rated by the manufacturer 
shall be considered to provide resistance to horizontal movement equal 
to 50 percent of the weight placed on the mat.

[[Page 505]]



                                                                Tables to Sec. 393.108
                                                           [Working Load Limits (WLL), Chain]
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                   WLL in kg (pounds)
                                                               -----------------------------------------------------------------------------------------
                       Size mm (inches)                          Grade 30 proof     Grade 43 high       Grade 70
                                                                      coil              test            transport      Grade 80 alloy    Grade 100 alloy
--------------------------------------------------------------------------------------------------------------------------------------------------------
1. 7 (1/4)....................................................       580 (1,300)     1,180 (2,600)     1,430 (3,150)     1,570 (3,500)     1,950 (4,300)
2. 8 (5/16)...................................................       860 (1,900)     1,770 (3,900)     2,130 (4,700)     2,000 (4,500)     2,600 (5,700)
3. 10 (3/8)...................................................     1,200 (2,650)     2,450 (5,400)     2,990 (6,600)     3,200 (7,100)     4,000 (8,800)
4. 11 (7/16)..................................................     1,680 (3,700)     3,270 (7,200)     3,970 (8,750)
5. 13 (1/2)...................................................     2,030 (4,500)     4,170 (9,200)    5,130 (11,300)    5,400 (12,000)    6,800 (15,000)
6. 16 (5/8)...................................................     3,130 (6,900)    5,910 (13,000)    7,170 (15,800)    8,200 (18,100)   10,300 (22,600)
Chain Mark Examples:
    Example 1.................................................                 3                 4                 7                 8                10
    Example 2.................................................                30                43                70                80               100
    Example 3.................................................               300               430               700               800              1000
--------------------------------------------------------------------------------------------------------------------------------------------------------


                            Synthetic Webbing
------------------------------------------------------------------------
                   Width mm (inches)                     WLL kg (pounds)
------------------------------------------------------------------------
45 (1\3/4\)...........................................       790 (1,750)
50 (2)................................................       910 (2,000)
75 (3)................................................     1,360 (3,000)
100 (4)...............................................     1,810 (4,000)
------------------------------------------------------------------------


                     Wire Rope (6 x 37, Fiber Core)
------------------------------------------------------------------------
                 Diameter mm (inches)                    WLL kg (pounds)
------------------------------------------------------------------------
7 (1/4)...............................................       640 (1,400)
8 (5/16)..............................................       950 (2,100)
10 (3/8)..............................................     1,360 (3,000)
11 (7/16).............................................     1,860 (4,100)
13 (1/2)..............................................     2,400 (5,300)
16 (5/8)..............................................     3,770 (8,300)
20 (3/4)..............................................    4,940 (10,900)
22 (7/8)..............................................    7,300 (16,100)
25 (1)................................................    9,480 (20,900)
------------------------------------------------------------------------


                               Manila Rope
------------------------------------------------------------------------
                 Diameter mm (inches)                    WLL kg (pounds)
------------------------------------------------------------------------
10 (3/8)..............................................          90 (205)
11 (7/16).............................................         120 (265)
13 (1/2)..............................................         150 (315)
16 (5/8)..............................................         210 (465)
20 (3/4)..............................................         290 (640)
25 (1)................................................       480 (1,050)
------------------------------------------------------------------------


   Polypropylene Fiber Rope WLL (3-Strand and 8-Strand Constructions)
------------------------------------------------------------------------
                 Diameter mm (inches)                    WLL kg (pounds)
------------------------------------------------------------------------
10 (3/8)..............................................         180 (400)
11 (7/16).............................................         240 (525)
13 (1/2)..............................................         280 (625)
16 (5/8)..............................................         420 (925)
20 (3/4)..............................................       580 (1,275)
25 (1)................................................       950 (2,100)
------------------------------------------------------------------------


     Polyester Fiber Rope WLL (3-Strand and 8-Strand Constructions)
------------------------------------------------------------------------
                 Diameter mm (inches)                    WLL kg (pounds)
------------------------------------------------------------------------
10 (3/8)..............................................         250 (555)
11 (7/16).............................................         340 (750)
13 (1/2)..............................................         440 (960)
16 (5/8)..............................................       680 (1,500)
20 (3/4)..............................................       850 (1,880)
25 (1)................................................     1,500 (3,300)
------------------------------------------------------------------------


                               Nylon Rope
------------------------------------------------------------------------
                 Diameter mm (inches)                    WLL kg (pounds)
------------------------------------------------------------------------
10 (3/8)..............................................         130 (278)
11 (7/16).............................................         190 (410)
13 (1/2)..............................................         240 (525)
16 (5/8)..............................................         420 (935)
20 (3/4)..............................................       640 (1,420)
25 (1)................................................     1,140 (2,520)
------------------------------------------------------------------------


                        Double Braided Nylon Rope
------------------------------------------------------------------------
                 Diameter mm (inches)                    WLL kg (pounds)
------------------------------------------------------------------------
10 (3/8)..............................................         150 (336)
11 (7/16).............................................         230 (502)
13 (1/2)..............................................         300 (655)
16 (5/8)..............................................       510 (1,130)
20 (3/4)..............................................       830 (1,840)
25 (1)................................................     1,470 (3,250)
------------------------------------------------------------------------


                             Steel Strapping
------------------------------------------------------------------------
             Width x thickness mm (inches)               WLL kg (pounds)
------------------------------------------------------------------------
31.7 x .74 (1\1/4\ x 0.029)...........................       540 (1,190)
31.7 x .79 (1\1/4\ x 0.031)...........................       540 (1,190)
31.7 x .89 (1\1/4\ x 0.035)...........................       540 (1,190)
31.7 x 1.12 (1\1/4\ x 0.044)..........................       770 (1,690)
31.7 x 1.27 (1\1/4\ x 0.05)...........................       770 (1,690)
31.7 x 1.5 (1\1/4\ x 0.057)...........................       870 (1,925)
50.8 x 1.12 (2 x 0.044)...............................     1,200 (2,650)
50.8 x 1.27 (2 x 0.05)................................     1,200 (2,650)
------------------------------------------------------------------------



Sec.393.110  What else do I have to do to determine the minimum number of tiedowns?

    (a) When tiedowns are used as part of a cargo securement system, the 
minimum number of tiedowns required to

[[Page 506]]

secure an article or group of articles against movement depends on the 
length of the article(s) being secured, and the requirements of 
paragraphs (b) and (c) of this section. These requirements are in 
addition to the rules under Sec.393.106.
    (b) When an article is not blocked or positioned to prevent movement 
in the forward direction by a headerboard, bulkhead, other cargo that is 
positioned to prevent movement, or other appropriate blocking devices, 
it must be secured by at least:
    (1) One tiedown for articles 5 feet (1.52 meters) or less in length, 
and 1,100 pounds (500 kg) or less in weight;
    (2) Two tiedowns if the article is:
    (i) 5 feet (1.52 meters) or less in length and more than 1,100 
pounds (500 kg) in weight; or
    (ii) Longer than 5 feet (1.52 meters) but less than or equal to 10 
feet (3.04 meters) in length, irrespective of the weight.
    (3) Two tiedowns if the article is longer than 10 feet (3.04 
meters), and one additional tiedown for every 10 feet (3.04 meters) of 
article length, or fraction thereof, beyond the first 10 feet (3.04 
meters) of length.
    (c) If an individual article is blocked, braced, or immobilized to 
prevent movement in the forward direction by a headerboard, bulkhead, 
other articles which are adequately secured or by an appropriate 
blocking or immobilization method, it must be secured by at least one 
tiedown for every 3.04 meters (10 feet) of article length, or fraction 
thereof.
    (d) Special rule for special purpose vehicles. The rules in this 
section do not apply to a vehicle transporting one or more articles of 
cargo such as, but not limited to, machinery or fabricated structural 
items (e.g., steel or concrete beams, crane booms, girders, and trusses, 
etc.) which, because of their design, size, shape, or weight, must be 
fastened by special methods. However, any article of cargo carried on 
that vehicle must be securely and adequately fastened to the vehicle.

[67 FR 61225, Sept. 27, 2002, as amended at 71 FR 35833, June 22, 2006]



Sec.393.112  Must a tiedown be adjustable?

    Each tiedown, or its associated connectors, or its attachment 
mechanisms must be designed, constructed, and maintained so the driver 
of an in-transit commercial motor vehicle can tighten them. However, 
this requirement does not apply to the use of steel strapping.



Sec.393.114  What are the requirements for front end structures
used as part of a cargo securement system?

    (a) Applicability. The rules in this section are applicable to 
commercial motor vehicles transporting articles of cargo that are in 
contact with the front end structure of the vehicle. The front end 
structure on these cargo-carrying vehicles must meet the performance 
requirements of this section.
    (b) Height and width. (1) The front end structure must extend either 
to a height of 4 feet above the floor of the vehicle or to a height at 
which it blocks forward movement of any item or article of cargo being 
carried on the vehicle, whichever is lower.
    (2) The front end structure must have a width which is at least 
equal to the width of the vehicle or which blocks forward movement of 
any article of cargo being transported on the vehicle, whichever is 
narrower.
    (c) Strength. The front end structure must be capable of 
withstanding the following horizontal forward static load:
    (1) For a front end structure less than 6 feet in height, a 
horizontal forward static load equal to one-half (0.5) of the weight of 
the articles of cargo being transported on the vehicle uniformly 
distributed over the entire portion of the front end structure that is 
within 4 feet above the vehicle's floor or that is at or below a height 
above the vehicle's floor at which it blocks forward movement of any 
article of the vehicle's cargo, whichever is less; or
    (2) For a front end structure 6 feet in height or higher, a 
horizontal forward static load equal to four-tenths (0.4) of the weight 
of the articles of cargo being transported on the vehicle uniformly 
distributed over the entire front end structure.

[[Page 507]]

    (d) Penetration resistance. The front end structure must be 
designed, constructed, and maintained so that it is capable of resisting 
penetration by any article of cargo that contacts it when the vehicle 
decelerates at a rate of 20 feet per second, per second. The front end 
structure must have no aperture large enough to permit any article of 
cargo in contact with the structure to pass through it.
    (e) Substitute devices. The requirements of this section may be met 
by the use of devices performing the same functions as a front end 
structure, if the devices are at least as strong as, and provide 
protection against shifting articles of cargo at least equal to, a front 
end structure which conforms to those requirements.

[67 FR 61225, Sept. 27, 2002, as amended at 71 FR 35833, June 22, 2006]

           Specific Securement Requirements by Commodity Type



Sec.393.116  What are the rules for securing logs?

    (a) Applicability. The rules in this section are applicable to the 
transportation of logs with the following exceptions:
    (1) Logs that are unitized by banding or other comparable means may 
be transported in accordance with the general cargo securement rules of 
Sec. Sec.393.100 through 393.114.
    (2) Loads that consist of no more than four processed logs may be 
transported in accordance with the general cargo securement rules of 
Sec. Sec.393.100 through 393.114.
    (3) Firewood, stumps, log debris and other such short logs must be 
transported in a vehicle or container enclosed on both sides, front, and 
rear and of adequate strength to contain them. Longer logs may also be 
so loaded.
    (b) Components of a securement system. (1) Logs must be transported 
on a vehicle designed and built, or adapted, for the transportation of 
logs. Any such vehicle must be fitted with bunks, bolsters, stakes or 
standards, or other equivalent means, that cradle the logs and prevent 
them from rolling.
    (2) All vehicle components involved in securement of logs must be 
designed and built to withstand all anticipated operational forces 
without failure, accidental release or permanent deformation. Stakes or 
standards that are not permanently attached to the vehicle must be 
secured in a manner that prevents unintentional separation from the 
vehicle in transit.
    (3) Tiedowns must be used in combination with the stabilization 
provided by bunks, stakes, and bolsters to secure the load unless the 
logs:
    (i) are transported in a crib-type log trailer (as defined in 49 CFR 
393.5), and
    (ii) are loaded in compliance with paragraphs (b)(2) and (c) of this 
section.
    (4) The aggregate working load limit for tiedowns used to secure a 
stack of logs on a frame vehicle, or a flatbed vehicle equipped with 
bunks, bolsters, or stakes must be at least one-sixth the weight of the 
stack of logs.
    (c) Use of securement system. (1) Logs must be solidly packed, and 
the outer bottom logs must be in contact with and resting solidly 
against the bunks, bolsters, stakes or standards.
    (2) Each outside log on the side of a stack of logs must touch at 
least two stakes, bunks, bolsters, or standards. If one end does not 
actually touch a stake, it must rest on other logs in a stable manner 
and must extend beyond the stake, bunk, bolster or standard.
    (3) The center of the highest outside log on each side or end must 
be below the top of each stake, bunk or standard.
    (4) Each log that is not held in place by contact with other logs or 
the stakes, bunks, or standards must be held in place by a tiedown. 
Additional tiedowns or securement devices must be used when the 
condition of the wood results in such low friction between logs that 
they are likely to slip upon each other.
    (d) Securement of shortwood logs loaded crosswise on frame, rail and 
flatbed vehicles. In addition to the requirements of paragraphs (b) and 
(c) of this section, each stack of logs loaded crosswise must meet the 
following rules:
    (1) In no case may the end of a log in the lower tier extend more 
than one-third of the log's total length beyond the nearest supporting 
structure on the vehicle.

[[Page 508]]

    (2) When only one stack of shortwood is loaded crosswise, it must be 
secured with at least two tiedowns. The tiedowns must attach to the 
vehicle frame at the front and rear of the load, and must cross the load 
in this direction.
    (3) When two tiedowns are used, they must be positioned at 
approximately one-third and two-thirds of the length of the logs.
    (4) A vehicle that is more than 10 meters (33 feet) long must be 
equipped with center stakes, or comparable devices, to divide it into 
sections approximately equal in length. Where a vehicle is so divided, 
each tiedown must secure the highest log on each side of the center 
stake, and must be fastened below these logs. It may be fixed at each 
end and tensioned from the middle, or fixed in the middle and tensioned 
from each end, or it may pass through a pulley or equivalent device in 
the middle and be tensioned from one end.
    (5) Any structure or stake that is subjected to an upward force when 
the tiedowns are tensioned must be anchored to resist that force.
    (6) If two stacks of shortwood are loaded side-by-side, in addition 
to meeting the requirements of paragraphs (d)(1) through (d)(5) of this 
section, they must be loaded so that:
    (i) There is no space between the two stacks of logs;
    (ii) The outside of each stack is raised at least 2.5 cm (1 in) 
within 10 cm (4 in) of the end of the logs or the side of the vehicle;
    (iii) The highest log is no more than 2.44 m (8 ft) above the deck; 
and
    (iv) At least one tiedown is used lengthwise across each stack of 
logs.
    (e) Securement of logs loaded lengthwise on flatbed and frame 
vehicles--(1) Shortwood. In addition to meeting the requirements of 
paragraphs (b) and (c) of this section, each stack of shortwood loaded 
lengthwise on a frame vehicle or on a flatbed must be cradled in a bunk 
unit or contained by stakes and
    (i) Secured to the vehicle by at least two tiedowns, or
    (ii) If all the logs in any stack are blocked in the front by a 
front-end structure strong enough to restrain the load, or by another 
stack of logs, and blocked in the rear by another stack of logs or 
vehicle end structure, the stack may be secured with one tiedown. If one 
tiedown is used, it must be positioned about midway between the stakes, 
or
    (iii) Be bound by at least two tiedown-type devices such as wire 
rope, used as wrappers that encircle the entire load at locations along 
the load that provide effective securement. If wrappers are being used 
to bundle the logs together, the wrappers are not required to be 
attached to the vehicle.
    (2) Longwood. Longwood must be cradled in two or more bunks and must 
either:
    (i) Be secured to the vehicle by at least two tiedowns at locations 
that provide effective securement, or
    (ii) Be bound by at least two tiedown-type devices, such as wire 
rope, used as wrappers that encircle the entire load at locations along 
the load that provide effective securement. If a wrapper(s) is being 
used to bundle the logs together, the wrapper is not required to be 
attached to the vehicle.
    (f) Securement of logs transported on pole trailers. (1) The load 
must be secured by at least one tiedown at each bunk, or alternatively, 
by at least two tiedowns used as wrappers that encircle the entire load 
at locations along the load that provide effective securement.
    (2) The front and rear wrappers must be at least 3.04 meters (10 
feet) apart.
    (3) Large diameter single and double log loads must be immobilized 
with chock blocks or other equivalent means to prevent shifting.
    (4) Large diameter logs that rise above bunks must be secured to the 
underlying load with at least two additional wrappers.

[67 FR 61225, Sept. 27, 2002, as amended at 71 FR 35833, June 22, 2006]



Sec.393.118  What are the rules for securing dressed lumber or
similar building products?

    (a) Applicability. The rules in this section apply to the 
transportation of bundles of dressed lumber, packaged lumber, building 
products such as plywood, gypsum board or other materials of similar 
shape. Lumber or building products which are not bundled or

[[Page 509]]

packaged must be treated as loose items and transported in accordance 
with Sec. Sec.393.100 through 393.114 of this subpart. For the purpose 
of this section, ``bundle'' refers to packages of lumber, building 
materials or similar products which are unitized for securement as a 
single article of cargo.
    (b) Positioning of bundles. Bundles must be placed side by side in 
direct contact with each other, or a means must be provided to prevent 
bundles from shifting towards each other.
    (c) Securement of bundles transported using no more than one tier. 
Bundles carried on one tier must be secured in accordance with the 
general provisions of Sec. Sec.393.100 through 393.114.
    (d) Securement of bundles transported using more than one tier. 
Bundles carried in more than one tier must be either:
    (1) Blocked against lateral movement by stakes on the sides of the 
vehicle and secured by tiedowns laid out over the top tier, as outlined 
in the general provisions of Sec. Sec.393.100 through 393.114; or
    (2) Restrained from lateral movement by blocking or high friction 
devices between tiers and secured by tiedowns laid out over the top 
tier, as outlined in the general provisions of Sec. Sec.393.100 
through 393.114; or
    (3) Placed directly on top of other bundles or on spacers and 
secured in accordance with the following:
    (i) The length of spacers between bundles must provide support to 
all pieces in the bottom row of the bundle.
    (ii) The width of individual spacers must be equal to or greater 
than the height.
    (iii) If spacers are comprised of layers of material, the layers 
must be unitized or fastened together in a manner which ensures that the 
spacer performs as a single piece of material.
    (iv) The arrangement of the tiedowns for the bundles must be:
    (A) Secured by tiedowns over the top tier of bundles, in accordance 
with the general provisions of Sec. Sec.393.100 through 393.114 with a 
minimum of two tiedowns for bundles longer than 1.52 meters (5 ft); and
    (B) Secured by tiedowns as follows:
    (1) If there are 3 tiers, the middle and top bundles must be secured 
by tiedowns in accordance with the general provisions of Sec. Sec.
393.100 through 393.114; or
    (2)(i) If there are more than 3 tiers, then one of the middle 
bundles and the top bundle must be secured by tiedown devices in 
accordance with the general provision of Sec. Sec.393.100 through 
393.114, and the maximum height for the middle tier that must be secured 
may not exceed 6 feet above the deck of the trailer; or
    (ii) Otherwise, the second tier from the bottom must be secured in 
accordance with the general provisions of Sec. Sec.393.100 through 
393.114; or
    (4) Secured by tiedowns over each tier of bundles, in accordance 
with Sec. Sec.393.100 through 393.114 using a minimum of two tiedowns 
over each of the top bundles longer than 1.52 meters (5 ft), in all 
circumstances; or
    (e) When loaded in a sided vehicle or container of adequate 
strength, dressed lumber or similar building products may be secured in 
accordance with the general provisions of Sec. Sec.393.100 through 
393.114.

[67 FR 61225, Sept. 27, 2002, as amended at 71 FR 35834, June 22, 2006; 
78 FR 58484, Sept. 24, 2013]



Sec.393.120  What are the rules for securing metal coils?

    (a) Applicability. The rules in this section apply to the 
transportation of one or more metal coils which, individually or grouped 
together, weigh 2268 kg (5000 pounds) or more. Shipments of metal coils 
that weigh less than 2268 kg (5000 pounds) may be secured in accordance 
with the provisions of Sec. Sec.393.100 through 393.114.
    (b) Securement of coils transported with eyes vertical on a flatbed 
vehicle, in a sided vehicle or in an intermodal container with anchor 
points--(1) An individual coil. Each coil must be secured by tiedowns 
arranged in a manner to prevent the coils from tipping in the forward, 
rearward, and lateral directions. The restraint system must include the 
following:
    (i) At least one tiedown attached diagonally from the left side of 
the vehicle or intermodal container (near the forwardmost part of the 
coil), across the eye of the coil, to the right side of

[[Page 510]]

the vehicle or intermodal container (near the rearmost part of the 
coil);
    (ii) At least one tiedown attached diagonally from the right side of 
the vehicle or intermodal container (near the forwardmost part of the 
coil), across the eye of the coil, to the left side of the vehicle or 
intermodal container (near the rearmost part of the coil);
    (iii) At least one tiedown attached transversely over the eye of the 
coil; and
    (iv) Either blocking and bracing, friction mats or tiedowns to 
prevent longitudinal movement in the forward direction.
    (2) Coils grouped in rows. When coils are grouped and loaded side by 
side in a transverse or longitudinal row, then each row of coils must be 
secured by the following:
    (i) At least one tiedown attached to the front of the row of coils, 
restraining against forward motion, and whenever practicable, making an 
angle no more than 45 degrees with the floor of the vehicle or 
intermodal container when viewed from the side of the vehicle or 
container;
    (ii) At least one tiedown attached to the rear of the row of coils, 
restraining against rearward motion, and whenever practicable, making an 
angle no more than 45 degrees with the floor of the vehicle or 
intermodal container when viewed from the side of the vehicle or 
container;
    (iii) At least one tiedown over the top of each coil or transverse 
row of coils, restraining against vertical motion. Tiedowns going over 
the top of a coil(s) must be as close as practicable to the eye of the 
coil and positioned to prevent the tiedown from slipping or becoming 
unintentionally unfastened while the vehicle is in transit; and
    (iv) Tiedowns must be arranged to prevent shifting or tipping in the 
forward, rearward and lateral directions.
    (c) Securement of coils transported with eyes crosswise on a flatbed 
vehicle, in a sided vehicle or in an intermodal container with anchor 
points--(1) An individual coil. Each coil must be secured by the 
following:
    (i) A means (e.g., timbers, chocks or wedges, a cradle, etc.) to 
prevent the coil from rolling. The means of preventing rolling must 
support the coil off the deck, and must not be capable of becoming 
unintentionally unfastened or loose while the vehicle is in transit. If 
timbers, chocks or wedges are used, they must be held in place by coil 
bunks or similar devices to prevent them from coming loose. The use of 
nailed blocking or cleats as the sole means to secure timbers, chocks or 
wedges, or a nailed wood cradle, is prohibited;
    (ii) At least one tiedown through its eye, restricting against 
forward motion, and whenever practicable, making an angle no more than 
45 degrees with the floor of the vehicle or intermodal container when 
viewed from the side of the vehicle or container; and
    (iii) At least one tiedown through its eye, restricting against 
rearward motion, and whenever practicable, making an angle no more than 
45 degrees with the floor of the vehicle or intermodal container when 
viewed from the side of the vehicle or container.
    (2) Prohibition on crossing of tiedowns when coils are transported 
with eyes crosswise. Attaching tiedowns diagonally through the eye of a 
coil to form an X-pattern when viewed from above the vehicle is 
prohibited.
    (d) Securement of coils transported with eyes lengthwise on a 
flatbed vehicle, in a sided vehicle or in an intermodal container with 
anchor points--(1) An individual coil-option 1. Each coil must be 
secured by:
    (i) A means (e.g., timbers, chocks or wedges, a cradle, etc.) to 
prevent the coil from rolling. The means of preventing rolling must 
support the coil off the deck, and must not be capable of becoming 
unintentionally unfastened or loose while the vehicle is in transit. If 
timbers, chocks or wedges are used, they must be held in place by coil 
bunks or similar devices to prevent them from coming loose. The use of 
nailed blocking or cleats as the sole means to secure timbers, chocks or 
wedges, or a nailed wood cradle, is prohibited;
    (ii) At least one tiedown attached diagonally through its eye from 
the left side of the vehicle or intermodal container (near the forward-
most part of the coil), to the right side of the vehicle or intermodal 
container (near the rearmost part of the coil), making an

[[Page 511]]

angle no more than 45 degrees, whenever practicable, with the floor of 
the vehicle or intermodal container when viewed from the side of the 
vehicle or container;
    (iii) At least one tiedown attached diagonally through its eye, from 
the right side of the vehicle or intermodal container (near the forward-
most part of the coil), to the left side of the vehicle or intermodal 
container (near the rearmost part of the coil), making an angle no more 
than 45 degrees, whenever practicable, with the floor of the vehicle or 
intermodal container when viewed from the side of the vehicle or 
container;
    (iv) At least one tiedown attached transversely over the top of the 
coil; and
    (v) Either blocking or friction mats to prevent longitudinal 
movement.
    (2) An individual coil--option 2. Each coil must be secured by:
    (i) A means (e.g., timbers, chocks or wedges, a cradle, etc.) to 
prevent the coil from rolling. The means of preventing rolling must 
support the coil off the deck, and must not be capable of becoming 
unintentionally unfastened or loose while the vehicle is in transit. If 
timbers, chocks or wedges are used, they must be held in place by coil 
bunks or similar devices to prevent them from coming loose. The use of 
nailed blocking or cleats as the sole means to secure timbers, chocks or 
wedges, or a nailed wood cradle, is prohibited;
    (ii) At least one tiedown attached straight through its eye from the 
left side of the vehicle or intermodal container (near the forward-most 
part of the coil), to the left side of the vehicle or intermodal 
container (near the rearmost part of the coil), and, whenever 
practicable, making an angle no more than 45 degrees with the floor of 
the vehicle or intermodal container when viewed from the side of the 
vehicle or container;
    (iii) At least one tiedown attached straight through its eye, from 
the right side of the vehicle or intermodal container (near the forward-
most part of the coil), to the right side of the vehicle or intermodal 
container (near the rearmost part of the coil), and whenever 
practicable, making an angle no more than 45 degrees with the floor of 
the vehicle or intermodal container when viewed from the side of the 
vehicle or container;
    (iv) At least one tiedown attached transversely over the top of the 
coil; and
    (v) Either blocking or friction mats to prevent longitudinal 
movement.
    (3) An individual coil--option 3. Each coil must be secured by:
    (i) A means (e.g., timbers, chocks or wedges, a cradle, etc.) to 
prevent the coil from rolling. The means of preventing rolling must 
support the coil off the deck, and must not be capable of becoming 
unintentionally unfastened or loose while the vehicle is in transit. If 
timbers, chocks or wedges are used, they must be held in place by coil 
bunks or similar devices to prevent them from coming loose. The use of 
nailed blocking or cleats as the sole means to secure timbers, chocks or 
wedges, or a nailed wood cradle, is prohibited;
    (ii) At least one tiedown over the top of the coil, located near the 
forward-most part of the coil;
    (iii) At least one tiedown over the top of the coil located near the 
rearmost part of the coil; and
    (iv) Either blocking or friction mats to prevent longitudinal 
movement.
    (4) Rows of coils. Each transverse row of coils having approximately 
equal outside diameters must be secured with:
    (i) A means (e.g., timbers, chocks or wedges, a cradle, etc.) to 
prevent each coil in the row of coils from rolling. The means of 
preventing rolling must support each coil off the deck, and must not be 
capable of becoming unintentionally unfastened or loose while the 
vehicle is in transit. If timbers, chocks or wedges are used, they must 
be held in place by coil bunks or similar devices to prevent them from 
coming loose. The use of nailed blocking or cleats as the sole means to 
secure timbers, chocks or wedges, or a nailed wood cradle, is 
prohibited;
    (ii) At least one tiedown over the top of each coil or transverse 
row, located near the forward-most part of the coil;
    (iii) At least one tiedown over the top of each coil or transverse 
row, located near the rearmost part of the coil; and

[[Page 512]]

    (iv) Either blocking, bracing or friction mats to prevent 
longitudinal movement.
    (e) Securement of coils transported in a sided vehicle without 
anchor points or an intermodal container without anchor points. Metal 
coils transported in a vehicle with sides without anchor points or an 
intermodal container without anchor points must be loaded in a manner to 
prevent shifting and tipping. The coils may also be secured using a 
system of blocking and bracing, friction mats, tiedowns, or a 
combination of these to prevent any horizontal movement and tipping.

[67 FR 61225, Sept. 27, 2002, as amended at 78 FR 58484, Sept. 24, 2013]



Sec.393.122  What are the rules for securing paper rolls?

    (a) Applicability. The rules in this section apply to shipments of 
paper rolls which, individually or together, weigh 2268 kg (5000 lb) or 
more. Shipments of paper rolls that weigh less than 2268 kg (5000 lb), 
and paper rolls that are unitized on a pallet, may either be secured in 
accordance with the rules in this section or the requirements of 
Sec. Sec.393.100 through 393.114.
    (b) Securement of paper rolls transported with eyes vertical in a 
sided vehicle. (1) Paper rolls must be placed tightly against the walls 
of the vehicle, other paper rolls, or other cargo, to prevent movement 
during transit.
    (2) If there are not enough paper rolls in the shipment to reach the 
walls of the vehicle, lateral movement must be prevented by filling the 
void, blocking, bracing, tiedowns or friction mats. The paper rolls may 
also be banded together.
    (3) When any void behind a group of paper rolls, including that at 
the rear of the vehicle, exceeds the diameter of the paper rolls, 
rearward movement must be prevented by friction mats, blocking, bracing, 
tiedowns, or banding to other rolls.
    (4)(i) If a paper roll is not prevented from tipping or falling 
sideways or rearwards by vehicle structure or other cargo, and its width 
is more than 2 times its diameter, it must be prevented from tipping or 
falling by banding it to other rolls, bracing, or tiedowns.
    (ii) If the forwardmost roll(s) in a group of paper rolls has a 
width greater than 1.75 times its diameter and it is not prevented from 
tipping or falling forwards by vehicle structure or other cargo, then it 
must be prevented from tipping or falling forwards by banding it to 
other rolls, bracing, or tiedowns.
    (iii) If the forwardmost roll(s) in a group of paper rolls has a 
width equal to or less than 1.75 times its diameter, and it is 
restrained against forward movement by friction mat(s) alone, then 
banding, bracing, or tiedowns are not required to prevent tipping or 
falling forwards.
    (iv) If a paper roll or the forwardmost roll in a group of paper 
rolls has a width greater than 1.25 times its diameter, and it is not 
prevented from tipping or falling forwards by vehicle structure or other 
cargo, and it is not restrained against forward movement by friction 
mat(s) alone, then it must be prevented from tipping or falling by 
banding it to other rolls, bracing or tiedowns.
    (5) If paper rolls are banded together, the rolls must be placed 
tightly against each other to form a stable group. The bands must be 
applied tightly, and must be secured so that they cannot fall off the 
rolls or to the deck.
    (6) A friction mat used to provide the principal securement for a 
paper roll must protrude from beneath the roll in the direction in which 
it is providing that securement.
    (c) Securement of split loads of paper rolls transported with eyes 
vertical in a sided vehicle. (1) If a paper roll in a split load is not 
prevented from forward movement by vehicle structure or other cargo, it 
must be prevented from forward movement by filling the open space, or by 
blocking, bracing, tiedowns, friction mats, or some combination of 
these.
    (2) A friction mat used to provide the principal securement for a 
paper roll must protrude from beneath the roll in the direction in which 
it is providing that securement.
    (d) Securement of stacked loads of paper rolls transported with eyes 
vertical in a sided vehicle. (1) Paper rolls must not be loaded on a 
layer of paper rolls beneath unless the lower layer extends to the front 
of the vehicle.

[[Page 513]]

    (2) Paper rolls in the second and subsequent layers must be 
prevented from forward, rearward or lateral movement by means as allowed 
for the bottom layer, or by use of a blocking roll from a lower layer.
    (3) The blocking roll must be at least 38 mm (1.5 in) taller than 
other rolls, or must be raised at least 38 mm (1.5 in) using dunnage.
    (4) A roll in the rearmost row of any layer raised using dunnage may 
not be secured by friction mats alone.
    (e) Securement of paper rolls transported with eyes crosswise in a 
sided vehicle. (1) The paper rolls must be prevented from rolling or 
shifting longitudinally by contact with vehicle structure or other 
cargo, by chocks, wedges or blocking and bracing of adequate size, or by 
tiedowns.
    (2) Chocks, wedges or blocking must be held securely in place by 
some means in addition to friction, so they cannot become 
unintentionally unfastened or loose while the vehicle is in transit.
    (3) The rearmost roll must not be secured using the rear doors of 
the vehicle or intermodal container, or by blocking held in place by 
those doors.
    (4) If there is more than a total of 203 mm (8 in) of space between 
the ends of a paper roll, or a row of rolls, and the walls of the 
vehicle, void fillers, blocking, bracing, friction mats, or tiedowns 
must be used to prevent the roll from shifting towards either wall.
    (f) Securement of stacked loads of paper rolls transported with eyes 
crosswise in a sided vehicle. (1) Rolls must not be loaded in a second 
layer unless the bottom layer extends to the front of the vehicle.
    (2) Rolls must not be loaded in a third or higher layer unless all 
wells in the layer beneath are filled.
    (3) The foremost roll in each upper layer, or any roll with an empty 
well in front of it, must be secured against forward movement by:
    (i) Banding it to other rolls, or
    (ii) Blocking against an adequately secured eye-vertical blocking 
roll resting on the floor of the vehicle which is at least 1.5 times 
taller than the diameter of the roll being blocked, or
    (iii) Placing it in a well formed by two rolls on the lower row 
whose diameter is equal to or greater than that of the roll on the upper 
row.
    (4) The rearmost roll in each upper layer must be secured by banding 
it to other rolls if it is located in either of the last two wells 
formed by the rearmost rolls in the layer below.
    (5) Rolls must be secured against lateral movement by the same means 
allowed for the bottom layer when there is more than a total of 203 mm 
(8 in) of space between the ends of a paper roll, or a row of rolls, and 
the walls of the vehicle.
    (g) Securement of paper rolls transported with the eyes lengthwise 
in a sided vehicle. (1) Each roll must be prevented from forward 
movement by contact with vehicle structure, other cargo, blocking or 
tiedowns.
    (2) Each roll must be prevented from rearward movement by contact 
with other cargo, blocking, friction mats or tiedowns.
    (3) The paper rolls must be prevented from rolling or shifting 
laterally by contact with the wall of the vehicle or other cargo, or by 
chocks, wedges or blocking of adequate size.
    (4) Chocks, wedges or blocking must be held securely in place by 
some means in addition to friction, so they cannot become 
unintentionally unfastened or loose while the vehicle is in transit.
    (h) Securement of stacked loads of paper rolls transported with the 
eyes lengthwise in a sided vehicle. (1) Rolls must not be loaded in a 
higher layer if another roll will fit in the layer beneath.
    (2) An upper layer must be formed by placing paper rolls in the 
wells formed by the rolls beneath.
    (3) A roll in an upper layer must be secured against forward and 
rearward movement by any of the means allowed for the bottom layer, by 
use of a blocking roll, or by banding to other rolls.
    (i) Securement of paper rolls transported on a flatbed vehicle or in 
a curtain-sided vehicle--(1) Paper rolls with eyes vertical or with eyes 
lengthwise. (i) The paper rolls must be loaded and secured as described 
for a sided vehicle, and the entire load must be secured by tiedowns in 
accordance with the requirements of Sec. Sec.393.100 through 393.114.

[[Page 514]]

    (ii) Stacked loads of paper rolls with eyes vertical are prohibited.
    (2) Paper rolls with eyes crosswise. (i) The paper rolls must be 
prevented from rolling or shifting longitudinally by contact with 
vehicle structure or other cargo, by chocks, wedges or blocking and 
bracing of adequate size, or by tiedowns.
    (ii) Chocks, wedges or blocking must be held securely in place by 
some means in addition to friction so that they cannot become 
unintentionally unfastened or loose while the vehicle is in transit.
    (iii) Tiedowns must be used in accordance with the requirements of 
Sec. Sec.393.100 through 393.114 to prevent lateral movement.

[67 FR 61225, Sept. 27, 2002, as amended at 71 FR 35834, June 22, 2006]



Sec.393.124  What are the rules for securing concrete pipe?

    (a) Applicability. (1) The rules in this section apply to the 
transportation of concrete pipe on flatbed trailers and vehicles, and 
lowboy trailers.
    (2) Concrete pipe bundled tightly together into a single rigid 
article that has no tendency to roll, and concrete pipe loaded in a 
sided vehicle or container must be secured in accordance with the 
provisions of Sec. Sec.393.100 through 393.114.
    (b) General specifications for tiedowns. (1) The aggregate working 
load limit of all tiedowns on any group of pipes must not be less than 
half the total weight of all the pipes in the group.
    (2) A transverse tiedown through a pipe on an upper tier or over 
longitudinal tiedowns is considered to secure all those pipes beneath on 
which that tiedown causes pressure.
    (c) Blocking. (1) Blocking may be one or more pieces placed 
symmetrically about the center of a pipe.
    (2) One piece must extend at least half the distance from the center 
to each end of the pipe, and two pieces must be placed on the opposite 
side, one at each end of the pipe.
    (3) Blocking must be placed firmly against the pipe, and must be 
secured to prevent it moving out from under the pipe.
    (4) Timber blocking must have minimum dimensions of at least 10 x 15 
cm (4 x 6 in).
    (d) Arranging the load--(1) Pipe of different diameter. If pipe of 
more than one diameter are loaded on a vehicle, groups must be formed 
that consist of pipe of only one size, and each group must be separately 
secured.
    (2) Arranging a bottom tier. The bottom tier must be arranged to 
cover the full length of the vehicle, or as a partial tier in one group 
or two groups.
    (3) Arranging an upper tier. Pipe must be placed only in the wells 
formed by adjacent pipes in the tier beneath. A third or higher tier 
must not be started unless all wells in the tier beneath are filled.
    (4) Arranging the top tier. The top tier must be arranged as a 
complete tier, a partial tier in one group, or a partial tier in two 
groups.
    (5) Arranging bell pipe. (i) Bell pipe must be loaded on at least 
two longitudinal spacers of sufficient height to ensure that the bell is 
clear of the deck.
    (ii) Bell pipe loaded in one tier must have the bells alternating on 
opposite sides of the vehicle.
    (iii) The ends of consecutive pipe must be staggered, if possible, 
within the allowable width, otherwise they must be aligned.
    (iv) Bell pipe loaded in more than one tier must have the bells of 
the bottom tier all on the same side of the vehicle.
    (v) Pipe in every upper tier must be loaded with bells on the 
opposite side of the vehicle to the bells of the tier below.
    (vi) If the second tier is not complete, pipe in the bottom tier 
which do not support a pipe above must have their bells alternating on 
opposite sides of the vehicle.
    (e) Securing pipe with an inside diameter up to 1,143 mm (45 in). In 
addition to the requirements of paragraphs (b), (c) and (d) of this 
section, the following rules must be satisfied:
    (1) Stabilizing the bottom tier. (i) The bottom tier must be 
immobilized longitudinally at each end by blocking, vehicle end 
structure, stakes, a locked pipe unloader, or other equivalent means.

[[Page 515]]

    (ii) Other pipe in the bottom tier may also be held in place by 
blocks and/or wedges; and
    (iii) Every pipe in the bottom tier must also be held firmly in 
contact with the adjacent pipe by tiedowns though the front and rear 
pipes:
    (A) At least one tiedown through the front pipe of the bottom tier 
must run aft at an angle not more than 45 degrees with the horizontal, 
whenever practicable.
    (B) At least one tiedown through the rear pipe of the bottom tier 
must run forward at an angle not more than 45 degrees with the 
horizontal, whenever practicable.
    (2) Use of tiedowns. (i) Each pipe may be secured individually with 
tiedowns through the pipe.
    (ii) If each pipe is not secured individually with a tiedown, then:
    (A) Either one 1/2-inch diameter chain or wire rope, or two 3/8-inch 
diameter chain or wire rope, must be placed longitudinally over the 
group of pipes;
    (B) One transverse tiedown must be used for every 3.04 m (10 ft) of 
load length. The transverse tiedowns may be placed through a pipe, or 
over both longitudinal tiedowns between two pipes on the top tier;
    (C) If the first pipe of a group in the top tier is not placed in 
the first well formed by pipes at the front of the tier beneath, it must 
be secured by an additional tiedown that runs rearward at an angle not 
more than 45 degrees to the horizontal, whenever practicable. This 
tiedown must pass either through the front pipe of the upper tier, or 
outside it and over both longitudinal tiedowns; and
    (D) If the last pipe of a group in the top tier is not placed in the 
last well formed by pipes at the rear of the tier beneath, it must be 
secured by an additional tiedown that runs forward at an angle not more 
than 45 degrees to the horizontal, whenever practicable. This tiedown 
must pass either through the rear pipe of the upper tier or outside it 
and over both longitudinal tiedowns.
    (f) Securing large pipe, with an inside diameter over 1143 mm (45 
in). In addition to the requirements of paragraphs (b), (c) and (d) of 
this section, the following rules must be satisfied:
    (1) The front pipe and the rear pipe must be immobilized by 
blocking, wedges, vehicle end structure, stakes, locked pipe unloader, 
or other equivalent means.
    (2) Each pipe must be secured by tiedowns through the pipe:
    (i) At least one tiedown through each pipe in the front half of the 
load, which includes the middle one if there is an odd number, and must 
run rearward at an angle not more than 45 degrees with the horizontal, 
whenever practicable;
    (ii) At least one tiedown through each pipe in the rear half of the 
load, and must run forward at an angle not more than 45 degrees with the 
horizontal, whenever practicable, to hold each pipe firmly in contact 
with adjacent pipe; and
    (iii) If the front or rear pipe is not also in contact with vehicle 
end structure, stakes, a locked pipe unloader, or other equivalent 
means, at least two tiedowns positioned as described in paragraphs 
(f)(2)(i) and (ii) of this section, must be used through that pipe.
    (3) If only one pipe is transported, or if several pipes are 
transported without contact between other pipes, the requirements in 
this paragraph apply to each pipe as a single front and rear article.

[67 FR 61225, Sept. 27, 2002, as amended at 78 FR 58484, Sept. 24, 2013]



Sec.393.126  What are the rules for securing intermodal containers?

    (a) Applicability. The rules in this section apply to the 
transportation of intermodal containers. Cargo contained within an 
intermodal container must be secured in accordance with the provisions 
of Sec. Sec.393.100 through 393.114 or, if applicable, the commodity 
specific rules of this part.
    (b) Securement of intermodal containers transported on container 
chassis vehicle(s). (1) All lower corners of the intermodal container 
must be secured to the container chassis with securement devices or 
integral locking devices that cannot unintentionally become unfastened 
while the vehicle is in transit.
    (2) The securement devices must restrain the container from moving 
more than 1.27 cm (1/2 in) forward, more than 1.27 cm (1/2 in) aft, more 
than 1.27 cm (1/2 in) to the right, more than 1.27 cm

[[Page 516]]

(1/2 in) to the left, or more than 2.54 cm (1 in) vertically.
    (3) The front and rear of the container must be secured 
independently.
    (c) Securement of loaded intermodal containers transported on 
vehicles other than container chassis vehicle(s). (1) All lower corners 
of the intermodal container must rest upon the vehicle, or the corners 
must be supported by a structure capable of bearing the weight of the 
container and that support structure must be independently secured to 
the motor vehicle.
    (2) Each container must be secured to the vehicle by:
    (i) Chains, wire ropes or integral devices which are fixed to all 
lower corners; or
    (ii) Crossed chains which are fixed to all upper corners; and,
    (3) The front and rear of the container must be secured 
independently. Each chain, wire rope, or integral locking device must be 
attached to the container in a manner that prevents it from being 
unintentionally unfastened while the vehicle is in transit.
    (d) Securement of empty intermodal containers transported on 
vehicles other than container chassis vehicle(s). Empty intermodal 
containers transported on vehicles other than container chassis vehicles 
do not have to have all lower corners of the intermodal container 
resting upon the vehicle, or have all lower corners supported by a 
structure capable of bearing the weight of the empty container, 
provided:
    (1) The empty intermodal container is balanced and positioned on the 
vehicle in a manner such that the container is stable before the 
addition of tiedowns or other securement equipment; and,
    (2) The amount of overhang for the empty container on the trailer 
does not exceed five feet on either the front or rear of the trailer;
    (3) The empty intermodal container must not interfere with the 
vehicle's maneuverability; and,
    (4) The empty intermodal container is secured to prevent lateral, 
longitudinal, or vertical shifting.

[67 FR 61225, Sept. 27, 2002, as amended at 71 FR 35834, June 22, 2006]



Sec.393.128  What are the rules for securing automobiles, light trucks and vans?

    (a) Applicability. The rules in this section apply to the 
transportation of automobiles, light trucks, and vans which individually 
weigh 4,536 kg. (10,000 lb) or less. Vehicles which individually are 
heavier than 4,536 kg (10,000 lb) must be secured in accordance with the 
provisions of Sec.393.130 of this part.
    (b) Securement of automobiles, light trucks, and vans. (1) 
Automobiles, light trucks, and vans must be restrained at both the front 
and rear to prevent lateral, forward, rearward, and vertical movement 
using a minimum of two tiedowns.
    (2) Tiedowns that are designed to be affixed to the structure of the 
automobile, light truck, or van must use the mounting points on those 
vehicles that have been specifically designed for that purpose.
    (3) Tiedowns that are designed to fit over or around the wheels of 
an automobile, light truck, or van must provide restraint in the 
lateral, longitudinal and vertical directions.
    (4) Edge protectors are not required for synthetic webbing at points 
where the webbing comes in contact with the tires.



Sec.393.130  What are the rules for securing heavy vehicles, equipment and machinery?

    (a) Applicability. The rules in this section apply to the 
transportation of heavy vehicles, equipment and machinery which operate 
on wheels or tracks, such as front end loaders, bulldozers, tractors, 
and power shovels and which individually weigh 4,536 kg (10,000 lb.) or 
more. Vehicles, equipment and machinery which is lighter than 4,536 kg 
(10,000 lb.) may also be secured in accordance with the provisions of 
this section, with Sec.393.128, or in accordance with the provisions 
of Sec. Sec.393.100 through 393.114.
    (b) Preparation of equipment being transported. (1) Accessory 
equipment, such as hydraulic shovels, must be completely lowered and 
secured to the vehicle.

[[Page 517]]

    (2) Articulated vehicles shall be restrained in a manner that 
prevents articulation while in transit.
    (c) Securement of heavy vehicles, equipment or machinery with 
crawler tracks or wheels. (1) In addition to the requirements of 
paragraph (b) of this section, heavy equipment or machinery with crawler 
tracks or wheels must be restrained against movement in the lateral, 
forward, rearward, and vertical direction using a minimum of four 
tiedowns.
    (2) Each of the tiedowns must be affixed as close as practicable to 
the front and rear of the vehicle, or mounting points on the vehicle 
that have been specifically designed for that purpose.



Sec.393.132  What are the rules for securing flattened or crushed vehicles?

    (a) Applicability. The rules in this section apply to the 
transportation of vehicles such as automobiles, light trucks, and vans 
that have been flattened or crushed.
    (b) Prohibition on the use of synthetic webbing. The use of 
synthetic webbing to secure flattened or crushed vehicles is prohibited 
except that such webbing may be used to connect wire rope or chain to 
anchor points on the commercial motor vehicle. However, the webbing 
(regardless of whether edge protection is used) must not come into 
contact with the flattened or crushed cars.
    (c) Securement of flattened or crushed vehicles. Flattened or 
crushed vehicles must be transported on vehicles which have:
    (1) Containment walls or comparable means on four sides which extend 
to the full height of the load and which block against movement of the 
cargo in the forward, rearward and lateral directions; or
    (2)(i) Containment walls or comparable means on three sides which 
extend to the full height of the load and which block against movement 
of the cargo in the direction for which there is a containment wall or 
comparable means, and
    (ii) A minimum of two tiedowns are required per vehicle stack; or
    (3)(i) Containment walls on two sides which extend to the full 
height of the load and which block against movement of the cargo in the 
forward and rearward directions, and
    (ii) A minimum of three tiedowns are required per vehicle stack; or
    (4) A minimum of four tiedowns per vehicle stack.
    (5) In addition to the requirements of paragraphs (c)(2), (3), and 
(4), the following rules must be satisfied:
    (i) Vehicles used to transport flattened or crushed vehicles must be 
equipped with a means to prevent liquids from leaking from the bottom of 
the vehicle, and loose parts from falling from the bottom and all four 
sides of the vehicle extending to the full height of the cargo.
    (ii) The means used to contain loose parts may consist of structural 
walls, sides or sideboards, or suitable covering material, alone or in 
combinations.
    (iii) The use of synthetic material for containment of loose parts 
is permitted.

[67 FR 61225, Sept. 27, 2002, as amended at 71 FR 35834, June 22, 2006]



Sec.393.134  What are the rules for securing roll-on/roll-off or 
hook lift containers?

    (a) Applicability. The rules in this section apply to the 
transportation of roll-on/roll-off or hook lift containers.
    (b) Securement of a roll-on/roll-off and hook lift container. Each 
roll-on/roll-off and hook lift container carried on a vehicle which is 
not equipped with an integral securement system must be:
    (1) Blocked against forward movement by the lifting device, stops, a 
combination of both or other suitable restraint mechanism;
    (2) Secured to the front of the vehicle by the lifting device or 
other suitable restraint against lateral and vertical movement;
    (3) Secured to the rear of the vehicle with at least one of the 
following mechanisms:
    (i) One tiedown attached to both the vehicle chassis and the 
container chassis;
    (ii) Two tiedowns installed lengthwise, each securing one side of 
the container to one of the vehicle's side rails; or

[[Page 518]]

    (iii) Two hooks, or an equivalent mechanism, securing both sides of 
the container to the vehicle chassis at least as effectively as the 
tiedowns in the two previous items.
    (4) The mechanisms used to secure the rear end of a roll-on/roll off 
or hook lift container must be installed no more than two meters (6 ft 7 
in) from the rear of the container.
    (5) In the event that one or more of the front stops or lifting 
devices are missing, damaged or not compatible, additional manually 
installed tiedowns must be used to secure the container to the vehicle, 
providing the same level of securement as the missing, damaged or 
incompatible components.



Sec.393.136  What are the rules for securing large boulders?

    (a) Applicability. (1) The rules in this section are applicable to 
the transportation of any large piece of natural, irregularly shaped 
rock weighing in excess of 5,000 kg (11,000 lb.) or with a volume in 
excess of 2 cubic-meters on an open vehicle, or in a vehicle whose sides 
are not designed and rated to contain such cargo.
    (2) Pieces of rock weighing more than 100 kg (220 lb.), but less 
than 5,000 kg (11,000 lb.) must be secured, either in accordance with 
this section, or in accordance with the provisions of Sec. Sec.393.100 
through 393.114, including:
    (i) Rock contained within a vehicle which is designed to carry such 
cargo; or
    (ii) Secured individually by tiedowns, provided each piece can be 
stabilized and adequately secured.
    (3) Rock which has been formed or cut to a shape and which provides 
a stable base for securement must also be secured, either in accordance 
with the provisions of this section, or in accordance with the 
provisions of Sec. Sec.393.100 through 393.114.
    (b) General requirements for the positioning of boulders on the 
vehicle. (1) Each boulder must be placed with its flattest and/or 
largest side down.
    (2) Each boulder must be supported on at least two pieces of 
hardwood blocking at least 10 cm x 10 cm (4 inches x 4 inches) side 
dimensions extending the full width of the boulder.
    (3) Hardwood blocking pieces must be placed as symmetrically as 
possible under the boulder and should support at least three-fourths of 
the length of the boulder.
    (4) If the flattest side of a boulder is rounded or partially 
rounded, so that the boulder may roll, it must be placed in a crib made 
of hardwood timber fixed to the deck of the vehicle so that the boulder 
rests on both the deck and the timber, with at least three well-
separated points of contact that prevent its tendency to roll in any 
direction.
    (5) If a boulder is tapered, the narrowest end must point towards 
the front of the vehicle.
    (c) General tiedown requirements. (1) Only chain may be used as 
tiedowns to secure large boulders.
    (2) Tiedowns which are in direct contact with the boulder should, 
where possible, be located in valleys or notches across the top of the 
boulder, and must be arranged to prevent sliding across the rock 
surface.
    (d) Securement of a cubic shaped boulder. In addition to the 
requirements of paragraphs (b) and (c) of this section, the following 
rules must be satisfied:
    (1) Each boulder must be secured individually with at least two 
chain tiedowns placed transversely across the vehicle.
    (2) The aggregate working load limit of the tiedowns must be at 
least half the weight of the boulder.
    (3) The tiedowns must be placed as closely as possible to the wood 
blocking used to support the boulder.
    (e) Securement of a non-cubic shaped boulder--with a stable base. In 
addition to the requirements of paragraphs (b) and (c) of this section, 
the following rules must be satisfied:
    (1) The boulder must be secured individually with at least two chain 
tiedowns forming an ``X'' pattern over the boulder.
    (2) The aggregate working load limit of the tiedowns must be at 
least half the weight of the boulder.
    (3) The tiedowns must pass over the center of the boulder and must 
be attached to each other at the intersection by a shackle or other 
connecting device.

[[Page 519]]

    (f) Securement of a non-cubic shaped boulder--with an unstable base. 
In addition to the requirements of paragraphs (b) and (c) of this 
section, each boulder must be secured by a combination of chain tiedowns 
as follows:
    (1) One chain must surround the top of the boulder (at a point 
between one-half and two-thirds of its height). The working load limit 
of the chain must be at least half the weight of the boulder.
    (2) Four chains must be attached to the surrounding chain and the 
vehicle to form a blocking mechanism which prevents any horizontal 
movement. Each chain must have a working load limit of at least one-
fourth the weight of the boulder. Whenever practicable, the angle of the 
chains must not exceed 45 degrees from the horizontal.

[67 FR 61225, Sept. 27, 2002, as amended at 78 FR 58484, Sept. 24, 2013]



    Subpart J_Frames, Cab and Body Components, Wheels, Steering, and 
                           Suspension Systems

    Source: 53 FR 49402, Dec. 7, 1988, unless otherwise noted.



Sec.393.201  Frames.

    (a) The frame or chassis of each commercial motor vehicle shall not 
be cracked, loose, sagging or broken.
    (b) Bolts or brackets securing the cab or the body of the vehicle to 
the frame must not be loose, broken, or missing.
    (c) The frame rail flanges between the axles shall not be bent, cut 
or notched, except as specified by the manufacturer.
    (d) Parts and accessories shall not be welded to the frame or 
chassis of a commercial motor vehicle except in accordance with the 
vehicle manufacturer's recommendations. Any welded repair of the frame 
must also be in accordance with the vehicle manufacturer's 
recommendations.
    (e) No holes shall be drilled in the top or bottom rail flanges, 
except as specified by the manufacturer.

[53 FR 49402, Dec. 7, 1988, as amended at 70 FR 48055, Aug. 15, 2005]



Sec.393.203  Cab and body components.

    (a) The cab compartment doors or door parts used as an entrance or 
exit shall not be missing or broken. Doors shall not sag so that they 
cannot be properly opened or closed. No door shall be wired shut or 
otherwise secured in the closed position so that it cannot be readily 
opened. Exception: When the vehicle is loaded with pipe or bar stock 
that blocks the door and the cab has a roof exit.
    (b) Bolts or brackets securing the cab or the body of the vehicle to 
the frame shall not be loose, broken, or missing.
    (c) The hood must be securely fastened.
    (d) All seats must be securely mounted.
    (e) The front bumper must not be missing, loosely attached, or 
protruding beyond the confines of the vehicle so as to create a hazard.

[53 FR 49402, Dec. 7, 1988, as amended at 78 FR 58484, Sept. 24, 2013]



Sec.393.205  Wheels.

    (a) Wheels and rims shall not be cracked or broken.
    (b) Stud or bolt holes on the wheels shall shall not be elongated 
(out of round).
    (c) Nuts or bolts shall not be missing or loose.



Sec.393.207  Suspension systems.

    (a) Axles. No axle positioning part shall be cracked, broken, loose 
or missing. All axles must be in proper alignment.
    (b) Adjustable axles. Adjustable axle assemblies shall not have 
locking pins missing or disengaged.
    (c) Leaf springs. No leaf spring shall be cracked, broken, or 
missing nor shifted out of position.
    (d) Coil springs. No coil spring shall be cracked or broken.
    (e) Torsion bar. No torsion bar or torsion bar suspension shall be 
cracked or broken.
    (f) Air suspensions. The air pressure regulator valve shall not 
allow air into the suspension system until at least 55 psi is in the 
braking system. The vehicle shall be level (not tilting to the left or 
right). Air leakage shall not be greater than 3 psi in a 5-minute time

[[Page 520]]

period when the vehicle's air pressure gauge shows normal operating 
pressure.
    (g) Air suspension exhaust controls. The air suspension exhaust 
controls must not have the capability to exhaust air from the suspension 
system of one axle of a two-axle air suspension trailer unless the 
controls are either located on the trailer, or the power unit and 
trailer combination are not capable of traveling at a speed greater than 
10 miles per hour while the air is exhausted from the suspension system. 
This paragraph shall not be construed to prohibit--
    (1) Devices that could exhaust air from both axle systems 
simultaneously; or
    (2) Lift axles on multi-axle units.

[53 FR 49402, Dec. 7, 1988, as amended at 70 FR 48055, Aug. 15, 2005]



Sec.393.209  Steering wheel systems.

    (a) The steering wheel shall be secured and must not have any spokes 
cracked through or missing.
    (b) Steering wheel lash. (1) The steering wheel lash shall not 
exceed the following parameters:

------------------------------------------------------------------------
                                 Manual steering       Power steering
   Steering wheel diameter           system                system
------------------------------------------------------------------------
406 mm or less (16 inches or  51 mm (2 inches)....  108 mm (4\1/4\
 less).                                              inches).
457 mm (18 inches)..........  57 mm (2\1/4\         121 mm (4\3/4\
                               inches).              inches).
483 mm (19 inches)..........  60 mm (2\3/8\         127 mm (5 inches).
                               inches).
508 mm (20 inches)..........  64 mm (2\1/2\         133 mm (5\1/4\
                               inches).              inches).
533 mm (21 inches)..........  67 mm (2\5/8\         140 mm (5\1/2\
                               inches).              inches).
559 mm (22 inches)..........  70 mm (2\3/4\         146 mm (5\3/4\
                               inches).              inches).
------------------------------------------------------------------------

    (2) For steering wheel diameters not listed in paragraph (b)(1) of 
this section the steering wheel lash shall not exceed 14 degrees angular 
rotation for manual steering systems, and 30 degrees angular rotation 
for power steering systems.
    (c) Steering column. The steering column must be securely fastened.
    (d) Steering system. Universal joints and ball-and-socket joints 
shall not be worn, faulty or repaired by welding. The steering gear box 
shall not have loose or missing mounting bolts or cracks in the gear box 
or mounting brackets. The pitman arm on the steering gear output shaft 
shall not be loose. Steering wheels shall turn freely through the limit 
of travel in both directions.
    (e) Power steering systems. All components of the power system must 
be in operating condition. No parts shall be loose or broken. Belts 
shall not be frayed, cracked or slipping. The system shall not leak. The 
power steering system shall have sufficient fluid in the reservoir.

[53 FR 49402, Dec. 7, 1988, as amended at 70 FR 48055, Aug. 15, 2005]

                           PART 394 [RESERVED]



PART 395_HOURS OF SERVICE OF DRIVERS--Table of Contents



Sec.
395.1 Scope of rules in this part.
395.2 Definitions.
395.3 Maximum driving time for property-carrying vehicles.
395.5 Maximum driving time for passenger-carrying vehicles.
395.7 [Reserved]
395.8 Driver's record of duty status.
395.10--395.12 [Reserved]
395.13 Drivers declared out of service.
395.15 Automatic on-board recording devices.

    Authority: 49 U.S.C. 504, 31133, 31136, 31137, and 31502; sec. 113, 
Pub. L. 103-311, 108 Stat. 1673, 1676; sec. 229, Pub. L. 106-159 (as 
transferred by sec. 4115 and amended by secs. 4130-4132, Pub. L. 109-59, 
119 Stat. 1144, 1726, 1743, 1744); sec. 4133, Pub. L. 109-59, 119 Stat. 
1144, 1744; sec. 108, Pub. L. 110-432, 122 Stat. 4860-4866; sec. 32934, 
Pub. L. 112-141, 126 Stat. 405, 830; and 49 CFR 1.87.

    Source: 33 FR 19758, Dec. 25, 1968, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 395 appear at 66 FR 
49874, Oct. 1, 2001.



Sec.395.1  Scope of rules in this part.

    (a) General. (1) The rules in this part apply to all motor carriers 
and drivers, except as provided in paragraphs (b) through (r) of this 
section.

[[Page 521]]

    (2) The exceptions from Federal requirements contained in paragraphs 
(l) and (m) of this section do not preempt State laws and regulations 
governing the safe operation of commercial motor vehicles.
    (b) Driving conditions--(1) Adverse driving conditions. Except as 
provided in paragraph (h)(2) of this section, a driver who encounters 
adverse driving conditions, as defined in Sec.395.2, and cannot, 
because of those conditions, safely complete the run within the maximum 
driving time permitted by Sec. Sec.395.3(a) or 395.5(a) may drive and 
be permitted or required to drive a commercial motor vehicle for not 
more than 2 additional hours beyond the maximum time allowed under 
Sec. Sec.395.3(a) or 395.5(a) to complete that run or to reach a place 
offering safety for the occupants of the commercial motor vehicle and 
security for the commercial motor vehicle and its cargo.
    (2) Emergency conditions. In case of any emergency, a driver may 
complete his/her run without being in violation of the provisions of the 
regulations in this part, if such run reasonably could have been 
completed absent the emergency.
    (c) Driver-salesperson. The provisions of Sec.395.3(b) shall not 
apply to any driver-salesperson whose total driving time does not exceed 
40 hours in any period of 7 consecutive days.
    (d) Oilfield operations. (1) In the instance of drivers of 
commercial motor vehicles used exclusively in the transportation of 
oilfield equipment, including the stringing and picking up of pipe used 
in pipelines, and servicing of the field operations of the natural gas 
and oil industry, any period of 8 consecutive days may end with the 
beginning of any off-duty period of 24 or more successive hours.
    (2) In the case of specially trained drivers of commercial motor 
vehicles that are specially constructed to service oil wells, on-duty 
time shall not include waiting time at a natural gas or oil well site. 
Such waiting time shall be recorded as ``off duty'' for purposes of 
Sec. Sec.395.8 and 395.15, with remarks or annotations to indicate the 
specific off-duty periods that are waiting time, or on a separate 
``waiting time'' line on the record of duty status to show that off-duty 
time is also waiting time. Waiting time shall not be included in 
calculating the 14-hour period in Sec.395.3(a)(2). Specially trained 
drivers of such commercial motor vehicles are not eligible to use the 
provisions of Sec.395.1(e)(1).
    (e) Short-haul operations--(1) 100 air-mile radius driver. A driver 
is exempt from the requirements of Sec.395.8 if:
    (i) The driver operates within a 100 air-mile radius of the normal 
work reporting location;
    (ii) The driver, except a driver-salesperson, returns to the work 
reporting location and is released from work within 12 consecutive 
hours;
    (iii)(A) A property-carrying commercial motor vehicle driver has at 
least 10 consecutive hours off duty separating each 12 hours on duty;
    (B) A passenger-carrying commercial motor vehicle driver has at 
least 8 consecutive hours off duty separating each 12 hours on duty;
    (iv)(A) A property-carrying commercial motor vehicle driver does not 
exceed the maximum driving time specified in Sec.395.3(a)(3) following 
10 consecutive hours off duty; or
    (B) A passenger-carrying commercial motor vehicle driver does not 
exceed 10 hours maximum driving time following 8 consecutive hours off 
duty; and
    (v) The motor carrier that employs the driver maintains and retains 
for a period of 6 months accurate and true time records showing:
    (A) The time the driver reports for duty each day;
    (B) The total number of hours the driver is on duty each day;
    (C) The time the driver is released from duty each day; and
    (D) The total time for the preceding 7 days in accordance with Sec.
395.8(j)(2) for drivers used for the first time or intermittently.
    (2) Operators of property-carrying commercial motor vehicles not 
requiring a commercial driver's license. Except as provided in this 
paragraph, a driver is exempt from the requirements of Sec.395.3(a)(2) 
and Sec.395.8 and ineligible to use the provisions of Sec.
395.1(e)(1), (g), and (o) if:
    (i) The driver operates a property-carrying commercial motor vehicle 
for which a commercial driver's license is

[[Page 522]]

not required under part 383 of this subchapter;
    (ii) The driver operates within a 150 air-mile radius of the 
location where the driver reports to and is released from work, i.e., 
the normal work reporting location;
    (iii) The driver returns to the normal work reporting location at 
the end of each duty tour;
    (iv) The driver does not drive:
    (A) After the 14th hour after coming on duty on 5 days of any period 
of 7 consecutive days; and
    (B) After the 16th hour after coming on duty on 2 days of any period 
of 7 consecutive days;
    (v) The motor carrier that employs the driver maintains and retains 
for a period of 6 months accurate and true time records showing:
    (A) The time the driver reports for duty each day;
    (B) The total number of hours the driver is on duty each day;
    (C) The time the driver is released from duty each day;
    (D) The total time for the preceding 7 days in accordance with Sec.
395.8(j)(2) for drivers used for the first time or intermittently.
    (f) Retail store deliveries. The provisions of Sec.395.3 (a) and 
(b) shall not apply with respect to drivers of commercial motor vehicles 
engaged solely in making local deliveries from retail stores and/or 
retail catalog businesses to the ultimate consumer, when driving solely 
within a 100-air mile radius of the driver's work-reporting location, 
during the period from December 10 to December 25, both inclusive, of 
each year.
    (g) Sleeper berths--(1) Property-carrying commercial motor vehicle--
(i) In general. A driver who operates a property-carrying commercial 
motor vehicle equipped with a sleeper berth, as defined in Sec. Sec.
395.2 and 393.76 of this subchapter,
    (A) Must, before driving, accumulate
    (1) At least 10 consecutive hours off duty;
    (2) At least 10 consecutive hours of sleeper-berth time;
    (3) A combination of consecutive sleeper-berth and off-duty time 
amounting to at least 10 hours; or
    (4) The equivalent of at least 10 consecutive hours off duty if the 
driver does not comply with paragraph (g)(1)(i)(A)(1), (2), or (3) of 
this section;
    (B) May not drive more than the driving limit specified in Sec.
395.3(a)(3)(i), or, in the case of drivers in Alaska, the driving limit 
specified in Sec.395.1(h)(1)(i)-(ii), following one of the 10-hour 
off-duty periods specified in paragraph (g)(1)(i)(A)(1) through (4) of 
this section. However, driving is permitted only if 8 hours or fewer 
have passed since the end of the driver's last off-duty break or 
sleeper-berth period of at least 30 minutes; and
    (C) May not drive for more than the period specified in Sec.
395.3(a)(2), or in the case of drivers in Alaska, the period specified 
in Sec.395.1(h)(1)(ii), after coming on duty following one of the 10-
hour off-duty periods specified in paragraph (g)(1)(i)(A)(1)-(4) of this 
section; and
    (D) Must exclude from the calculation of the 14-hour period in Sec.
395.3(a)(2) any sleeper-berth period of at least 8 but less than 10 
consecutive hours.
    (ii) Specific requirements. The following rules apply in determining 
compliance with paragraph (g)(1)(i) of this section:
    (A) The term ``equivalent of at least 10 consecutive hours off 
duty'' means a period of
    (1) At least 8 but less than 10 consecutive hours in a sleeper 
berth, and
    (2) A separate period of at least 2 but less than 10 consecutive 
hours either in the sleeper berth or off duty, or any combination 
thereof.
    (B) Calculation of the driving limit includes all driving time; 
compliance must be re-calculated from the end of the first of the two 
periods used to comply with paragraph (g)(1)(ii)(A) of this section.
    (C) Calculation of the 14-hour period in Sec.395.3(a)(2) includes 
all time--or, for calculation of the 20-hour period in Sec.
395.1(h)(1)(ii) for drivers in Alaska, all on-duty time--except any 
sleeper-berth period of at least 8 but less than 10 consecutive hours 
and up to 2 hours riding in the passenger seat of a property-carrying 
vehicle moving on the highway immediately before or after a period of at 
least 8 but less than 10 consecutive hours in the sleeper berth; 
compliance

[[Page 523]]

must be recalculated from the end of the first of the two periods used 
to comply with the requirements of paragraph (g)(1)(ii)(A) of this 
section.
    (2) Specially trained driver of a specially constructed oil well 
servicing commercial motor vehicle at a natural gas or oil well 
location. A specially trained driver who operates a commercial motor 
vehicle specially constructed to service natural gas or oil wells that 
is equipped with a sleeper berth, as defined in Sec. Sec.395.2 and 
393.76 of this subchapter, or who is off duty at a natural gas or oil 
well location, may accumulate the equivalent of 10 consecutive hours off 
duty time by taking a combination of at least 10 consecutive hours of 
off-duty time, sleeper-berth time, or time in other sleeping 
accommodations at a natural gas or oil well location; or by taking two 
periods of rest in a sleeper berth, or other sleeping accommodation at a 
natural gas or oil well location, providing:
    (i) Neither rest period is shorter than 2 hours;
    (ii) The driving time in the period immediately before and after 
each rest period, when added together, does not exceed the limit 
specified in Sec.395.3(a)(3);
    (iii) The driver does not drive after the 14th hour after coming on 
duty following 10 hours off duty, where the 14th hour is calculated:
    (A) By excluding any sleeper berth or other sleeping accommodation 
period of at least 2 hours which, when added to a subsequent sleeper 
berth or other sleeping accommodation period, totals at least 10 hours, 
and
    (B) By including all on-duty time, all off-duty time not spent in 
the sleeper berth or other sleeping accommodations, all such periods of 
less than 2 hours, and any period not described in paragraph 
(g)(2)(iii)(A) of this section; and
    (iv) The driver may not return to driving subject to the normal 
limits under Sec.395.3 without taking at least 10 consecutive hours 
off duty, at least 10 consecutive hours in the sleeper berth or other 
sleeping accommodations, or a combination of at least 10 consecutive 
hours off duty, sleeper berth time, or time in other sleeping 
accommodations.
    (3) Passenger-carrying commercial motor vehicles. A driver who is 
driving a passenger-carrying commercial motor vehicle that is equipped 
with a sleeper berth, as defined in Sec. Sec.395.2 and 393.76 of this 
subchapter, may accumulate the equivalent of 8 consecutive hours of off-
duty time by taking a combination of at least 8 consecutive hours off-
duty and sleeper berth time; or by taking two periods of rest in the 
sleeper berth, providing:
    (i) Neither rest period is shorter than two hours;
    (ii) The driving time in the period immediately before and after 
each rest period, when added together, does not exceed 10 hours;
    (iii) The on-duty time in the period immediately before and after 
each rest period, when added together, does not include any driving time 
after the 15th hour; and
    (iv) The driver may not return to driving subject to the normal 
limits under Sec.395.5 without taking at least 8 consecutive hours off 
duty, at least 8 consecutive hours in the sleeper berth, or a 
combination of at least 8 consecutive hours off duty and sleeper berth 
time.
    (h) State of Alaska--(1) Property-carrying commercial motor vehicle. 
The provisions of Sec.395.3(a) and (b) do not apply to any driver who 
is driving a commercial motor vehicle in the State of Alaska. A driver 
who is driving a property-carrying commercial motor vehicle in the State 
of Alaska must not drive or be required or permitted to drive--
    (i) More than 15 hours following 10 consecutive hours off duty; or
    (ii) After being on duty for 20 hours or more following 10 
consecutive hours off duty.
    (iii) After having been on duty for 70 hours in any period of 7 
consecutive days, if the motor carrier for which the driver drives does 
not operate every day in the week; or
    (iv) After having been on duty for 80 hours in any period of 8 
consecutive days, if the motor carrier for which the driver drives 
operates every day in the week.
    (2) Passenger-carrying commercial motor vehicle. The provisions of 
Sec.395.5 do not apply to any driver who is driving a passenger-
carrying commercial

[[Page 524]]

motor vehicle in the State of Alaska. A driver who is driving a 
passenger-carrying commercial motor vehicle in the State of Alaska must 
not drive or be required or permitted to drive--
    (i) More than 15 hours following 8 consecutive hours off duty;
    (ii) After being on duty for 20 hours or more following 8 
consecutive hours off duty;
    (iii) After having been on duty for 70 hours in any period of 7 
consecutive days, if the motor carrier for which the driver drives does 
not operate every day in the week; or
    (iv) After having been on duty for 80 hours in any period of 8 
consecutive days, if the motor carrier for which the driver drives 
operates every day in the week.
    (3) A driver who is driving a commercial motor vehicle in the State 
of Alaska and who encounters adverse driving conditions (as defined in 
Sec.395.2) may drive and be permitted or required to drive a 
commercial motor vehicle for the period of time needed to complete the 
run.
    (i) After a property-carrying commercial motor vehicle driver 
completes the run, that driver must be off duty for at least 10 
consecutive hours before he/she drives again; and
    (ii) After a passenger-carrying commercial motor vehicle driver 
completes the run, that driver must be off duty for at least 8 
consecutive hours before he/she drives again.
    (i) State of Hawaii. The rules in Sec.395.8 do not apply to a 
driver who drives a commercial motor vehicle in the State of Hawaii, if 
the motor carrier who employs the driver maintains and retains for a 
period of 6 months accurate and true records showing--
    (1) The total number of hours the driver is on duty each day; and
    (2) The time at which the driver reports for, and is released from, 
duty each day.
    (j) Travel time--(1) When a property-carrying commercial motor 
vehicle driver at the direction of the motor carrier is traveling, but 
not driving or assuming any other responsibility to the carrier, such 
time must be counted as on-duty time unless the driver is afforded at 
least 10 consecutive hours off duty when arriving at destination, in 
which case he/she must be considered off duty for the entire period.
    (2) When a passenger-carrying commercial motor vehicle driver at the 
direction of the motor carrier is traveling, but not driving or assuming 
any other responsibility to the carrier, such time must be counted as 
on-duty time unless the driver is afforded at least 8 consecutive hours 
off duty when arriving at destination, in which case he/she must be 
considered off duty for the entire period.
    (k) Agricultural operations. The provisions of this part shall not 
apply during planting and harvesting periods, as determined by each 
State, to drivers transporting
    (1) Agricultural commodities from the source of the agricultural 
commodities to a location within a 150 air-mile radius from the source;
    (2) Farm supplies for agricultural purposes from a wholesale or 
retail distribution point of the farm supplies to a farm or other 
location where the farm supplies are intended to be used within a 150 
air-mile radius from the distribution point; or
    (3) Farm supplies for agricultural purposes from a wholesale 
distribution point of the farm supplies to a retail distribution point 
of the farm supplies within a 150 air-mile radius from the wholesale 
distribution point.
    (l) Ground water well drilling operations. In the instance of a 
driver of a commercial motor vehicle who is used primarily in the 
transportation and operations of a ground water well drilling rig, any 
period of 7 or 8 consecutive days may end with the beginning of any off-
duty period of 24 or more successive hours.
    (m) Construction materials and equipment. In the instance of a 
driver of a commercial motor vehicle who is used primarily in the 
transportation of construction materials and equipment, any period of 7 
or 8 consecutive days may end with the beginning of any off-duty period 
of 24 or more successive hours.
    (n) Utility service vehicles. The provisions of this part shall not 
apply to a driver of a utility service vehicle as defined in Sec.
395.2.

[[Page 525]]

    (o) Property-carrying driver. A property-carrying driver is exempt 
from the requirements of Sec.395.3(a)(2) if:
    (1) The driver has returned to the driver's normal work reporting 
location and the carrier released the driver from duty at that location 
for the previous five duty tours the driver has worked;
    (2) The driver has returned to the normal work reporting location 
and the carrier releases the driver from duty within 16 hours after 
coming on duty following 10 consecutive hours off duty; and
    (3) The driver has not taken this exemption within the previous 6 
consecutive days, except when the driver has begun a new 7- or 8-
consecutive day period with the beginning of any off-duty period of 34 
or more consecutive hours as allowed by Sec.395.3(c).
    (p) Commercial motor vehicle transportation to or from a motion 
picture production site. A driver of a commercial motor vehicle 
providing transportation of property or passengers to or from a 
theatrical or television motion picture production site is exempt from 
the requirements of Sec.395.3(a) if the driver operates within a 100 
air-mile radius of the location where the driver reports to and is 
released from work, i.e., the normal work-reporting location. With 
respect to the maximum daily hours of service, such a driver may not 
drive--
    (1) More than 10 hours following 8 consecutive hours off duty;
    (2) For any period after having been on duty 15 hours following 8 
consecutive hours off duty.
    (3) If a driver of a commercial motor vehicle providing 
transportation of property or passengers to or from a theatrical or 
television motion picture production site operates beyond a 100 air-mile 
radius of the normal work-reporting location, the driver is subject to 
Sec.395.3(a), and paragraphs (p)(1) and (2) of this section do not 
apply.
    (q) Attendance on commercial motor vehicles containing Division 1.1, 
1.2, or 1.3 explosives. Operators who are required by 49 CFR 397.5 to be 
in attendance on commercial motor vehicles containing Division 1.1, 1.2, 
or 1.3 explosives are on duty at all times while performing attendance 
functions or any other work for a motor carrier. Operators of commercial 
motor vehicles containing Division 1.1, 1.2, or 1.3 explosives subject 
to the requirements for a 30-minute rest break in Sec.395.3(a)(3)(ii) 
may use 30 minutes or more of attendance time to meet the requirement 
for a rest break, providing they perform no other work during the break. 
Such drivers must record the rest break as on-duty time in their record 
of duty status with remarks or annotations to indicate the specific on-
duty periods that are used to meet the requirement for break.
    (r) Railroad signal employees. The provisions of this part shall not 
apply to a signal employee, as defined in Sec.395.2, who operates a 
commercial motor vehicle, is engaged in installing, repairing, or 
maintaining signal systems, is employed by a railroad carrier or a 
contractor or subcontractor to a railroad carrier, while regulated by 
the Federal Railroad Administration.
    (s) Covered farm vehicles. The rules in this part do not apply to 
drivers of ``covered farm vehicles,'' as defined in 49 CFR 390.5.

[57 FR 33647, July 30, 1992]

    Editorial Note: For Federal Register citations affecting Sec.
395.1, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and at www.fdsys.gov.



Sec.395.2  Definitions.

    As used in this part, the following words and terms are construed to 
mean:
    Adverse driving conditions means snow, sleet, fog, other adverse 
weather conditions, a highway covered with snow or ice, or unusual road 
and traffic conditions, none of which were apparent on the basis of 
information known to the person dispatching the run at the time it was 
begun.
    Agricultural commodity means any agricultural commodity, 
nonprocessed food, feed, fiber, or livestock (including livestock as 
defined in sec. 602 of the Emergency Livestock Feed Assistance Act of 
1988 [7 U.S.C. 1471] and insects).
    Automatic on-board recording device means an electric, electronic, 
electromechanical, or mechanical device capable of recording driver's 
duty status information accurately and automatically as required by 
Sec.395.15.

[[Page 526]]

The device must be integrally synchronized with specific operations of 
the commercial motor vehicle in which it is installed. At a minimum, the 
device must record engine use, road speed, miles driven, the date, and 
time of day.
    Driver-salesperson means any employee who is employed solely as such 
by a private carrier of property by commercial motor vehicle, who is 
engaged both in selling goods, services, or the use of goods, and in 
delivering by commercial motor vehicle the goods sold or provided or 
upon which the services are performed, who does so entirely within a 
radius of 100 miles of the point at which he/she reports for duty, who 
devotes not more than 50 percent of his/her hours on duty to driving 
time. The term selling goods for purposes of this section shall include 
in all cases solicitation or obtaining of reorders or new accounts, and 
may also include other selling or merchandising activities designed to 
retain the customer or to increase the sale of goods or services, in 
addition to solicitation or obtaining of reorders or new accounts.
    Driving time means all time spent at the driving controls of a 
commercial motor vehicle in operation.
    Eight consecutive days means the period of 8 consecutive days 
beginning on any day at the time designated by the motor carrier for a 
24-hour period.
    Farm supplies for agricultural purposes means products directly 
related to the growing or harvesting of agricultural commodities during 
the planting and harvesting seasons within each State, as determined by 
the State, and livestock feed at any time of the year.
    Ground water well drilling rig means any vehicle, machine, tractor, 
trailer, semi-trailer, or specialized mobile equipment propelled or 
drawn by mechanical power and used on highways to transport water well 
field operating equipment, including water well drilling and pump 
service rigs equipped to access ground water.
    Multiple stops means all stops made in any one village, town, or 
city may be computed as one.
    On-duty time means all time from the time a driver begins to work or 
is required to be in readiness to work until the time the driver is 
relieved from work and all responsibility for performing work. On-duty 
time shall include:
    (1) All time at a plant, terminal, facility, or other property of a 
motor carrier or shipper, or on any public property, waiting to be 
dispatched, unless the driver has been relieved from duty by the motor 
carrier;
    (2) All time inspecting, servicing, or conditioning any commercial 
motor vehicle at any time;
    (3) All driving time as defined in the term driving time;
    (4) All time in or on a commercial motor vehicle, other than:
    (i) Time spent resting in or on a parked vehicle, except as 
otherwise provided in Sec.397.5 of this subchapter;
    (ii) Time spent resting in a sleeper berth; or
    (iii) Up to 2 hours riding in the passenger seat of a property-
carrying vehicle moving on the highway immediately before or after a 
period of at least 8 consecutive hours in the sleeper berth;
    (5) All time loading or unloading a commercial motor vehicle, 
supervising, or assisting in the loading or unloading, attending a 
commercial motor vehicle being loaded or unloaded, remaining in 
readiness to operate the commercial motor vehicle, or in giving or 
receiving receipts for shipments loaded or unloaded;
    (6) All time repairing, obtaining assistance, or remaining in 
attendance upon a disabled commercial motor vehicle;
    (7) All time spent providing a breath sample or urine specimen, 
including travel time to and from the collection site, to comply with 
the random, reasonable suspicion, post-crash, or follow-up testing 
required by part 382 of this subchapter when directed by a motor 
carrier;
    (8) Performing any other work in the capacity, employ, or service 
of, a motor carrier; and
    (9) Performing any compensated work for a person who is not a motor 
carrier.
    Seven consecutive days means the period of 7 consecutive days 
beginning on any day at the time designated by the motor carrier for a 
24-hour period.

[[Page 527]]

    Signal employee, as defined in 49 U.S.C. 21101(4), means an 
individual who is engaged in installing, repairing, or maintaining 
signal systems.
    Sleeper berth means a berth conforming to the requirements of Sec.
393.76 of this chapter.
    Transportation of construction materials and equipment means the 
transportation of construction and pavement materials, construction 
equipment, and construction maintenance vehicles, by a driver to or from 
an active construction site (a construction site between mobilization of 
equipment and materials to the site to the final completion of the 
construction project) within a 50 air mile radius of the normal work 
reporting location of the driver. This paragraph does not apply to the 
transportation of material found by the Secretary to be hazardous under 
49 U.S.C. 5103 in a quantity requiring placarding under regulations 
issued to carry out such section.
    Twenty-four-hour period means any 24-consecutive-hour period 
beginning at the time designated by the motor carrier for the terminal 
from which the driver is normally dispatched.
    Utility service vehicle means any commercial motor vehicle:
    (1) Used in the furtherance of repairing, maintaining, or operating 
any structures or any other physical facilities necessary for the 
delivery of public utility services, including the furnishing of 
electric, gas, water, sanitary sewer, telephone, and television cable or 
community antenna service;
    (2) While engaged in any activity necessarily related to the 
ultimate delivery of such public utility services to consumers, 
including travel or movement to, from, upon, or between activity sites 
(including occasional travel or movement outside the service area 
necessitated by any utility emergency as determined by the utility 
provider); and
    (3) Except for any occasional emergency use, operated primarily 
within the service area of a utility's subscribers or consumers, without 
regard to whether the vehicle is owned, leased, or rented by the 
utility.

[57 FR 33648, July 30, 1992, as amended at 59 FR 7515, Feb. 15, 1994; 59 
FR 60324, Nov. 23, 1994; 60 FR 38748, July 28, 1995; 61 FR 14679, Apr. 
3, 1996; 63 FR 33279, June 18, 1998; 72 FR 36790, July 5, 2007; 75 FR 
17245, Apr. 5, 2010; 76 FR 25590, May 5, 2011; 76 FR 81187, Dec. 27, 
2011; 77 FR 28451, May 14, 2012]



Sec.395.3  Maximum driving time for property-carrying vehicles.

    (a) Except as otherwise provided in Sec.395.1, no motor carrier 
shall permit or require any driver used by it to drive a property-
carrying commercial motor vehicle, nor shall any such driver drive a 
property-carrying commercial motor vehicle, regardless of the number of 
motor carriers using the driver's services, unless the driver complies 
with the following requirements:
    (1) Start of work shift. A driver may not drive without first taking 
10 consecutive hours off duty;
    (2) 14-hour period. A driver may drive only during a period of 14 
consecutive hours after coming on duty following 10 consecutive hours 
off duty. The driver may not drive after the end of the 14-consecutive-
hour period without first taking 10 consecutive hours off duty.
    (3) Driving time and rest breaks. (i) Driving time. A driver may 
drive a total of 11 hours during the 14-hour period specified in 
paragraph (a)(2) of this section.
    (ii) Rest breaks. After June 30, 2013, driving is not permitted if 
more than 8 hours have passed since the end of the driver's last off-
duty or sleeper-berth period of at least 30 minutes.
    (b) No motor carrier shall permit or require a driver of a property-
carrying commercial motor vehicle to drive, nor shall any driver drive a 
property-carrying commercial motor vehicle, regardless of the number of 
motor carriers using the driver's services, for any period after--
    (1) Having been on duty 60 hours in any period of 7 consecutive days 
if the employing motor carrier does not operate commercial motor 
vehicles every day of the week; or
    (2) Having been on duty 70 hours in any period of 8 consecutive days 
if the

[[Page 528]]

employing motor carrier operates commercial motor vehicles every day of 
the week.
    (c)(1) Through June 30, 2013, any period of 7 consecutive days may 
end with the beginning of an off-duty period of 34 or more consecutive 
hours. After June 30, 2013, any period of 7 consecutive days may end 
with the beginning of an off-duty period of 34 or more consecutive hours 
that includes two periods from 1 a.m. to 5 a.m.
    (2) Through June 30, 2013, any period of 8 consecutive days may end 
with the beginning of an off-duty period of 34 or more consecutive 
hours. After June 30, 2013, any period of 8 consecutive days may end 
with the beginning of an off-duty period of 34 or more consecutive hours 
that includes two periods from 1 a.m. to 5 a.m.
    (d) A driver may not take an off-duty period allowed by paragraph 
(c) of this section to restart the calculation of 60 hours in 7 
consecutive days or 70 hours in 8 consecutive days--or, in the case of 
drivers in Alaska, 70 hours in 7 consecutive days or 80 hours in 8 
consecutive days--until 168 or more consecutive hours have passed since 
the beginning of the last such off-duty period. When a driver takes more 
than one off-duty period of 34 or more consecutive hours within a period 
of 168 consecutive hours, he or she must indicate in the Remarks section 
of the record of duty status which such off-duty period is being used to 
restart the calculation of 60 hours in 7 consecutive days or 70 hours in 
8 consecutive days--or, in the case of drivers in Alaska, 70 hours in 7 
consecutive days or 80 hours in 8 consecutive days.

[76 FR 81188, Dec. 27, 2011, as amended at 78 FR 58485, Sept. 24, 2013]



Sec.395.5  Maximum driving time for passenger-carrying vehicles.

    Subject to the exceptions and exemptions in Sec.395.1:
    (a) No motor carrier shall permit or require any driver used by it 
to drive a passenger-carrying commercial motor vehicle, nor shall any 
such driver drive a passenger-carrying commercial motor vehicle:
    (1) More than 10 hours following 8 consecutive hours off duty; or
    (2) For any period after having been on duty 15 hours following 8 
consecutive hours off duty.
    (b) No motor carrier shall permit or require a driver of a 
passenger-carrying commercial motor vehicle to drive, nor shall any 
driver drive a passenger-carrying commercial motor vehicle, regardless 
of the number of motor carriers using the driver's services, for any 
period after--
    (1) Having been on duty 60 hours in any 7 consecutive days if the 
employing motor carrier does not operate commercial motor vehicles every 
day of the week; or
    (2) Having been on duty 70 hours in any period of 8 consecutive days 
if the employing motor carrier operates commercial motor vehicles every 
day of the week.

[70 FR 50073, Aug. 25, 2005]



Sec.395.7       [Reserved]



Sec.395.8  Driver's record of duty status.

    (a) Except for a private motor carrier of passengers (nonbusiness), 
every motor carrier shall require every driver used by the motor carrier 
to record his/her duty status for each 24 hour period using the methods 
prescribed in either paragraph (a)(1) or (2) of this section.
    (1) Every driver who operates a commercial motor vehicle shall 
record his/her duty status, in duplicate, for each 24-hour period. The 
duty status time shall be recorded on a specified grid, as shown in 
paragraph (g) of this section. The grid and the requirements of 
paragraph (d) of this section may be combined with any company forms.
    (2) Every driver who operates a commercial motor vehicle shall 
record his/her duty status by using an automatic on-board recording 
device that meets the requirements of Sec.395.15 of this part. The 
requirements of this section shall not apply, except paragraphs (e) and 
(k)(1) and (2) of this section.
    (b) The duty status shall be recorded as follows:
    (1) ``Off duty'' or ``OFF.''
    (2) ``Sleeper berth'' or ``SB'' (only if a sleeper berth used).
    (3) ``Driving'' or ``D.''
    (4) ``On-duty not driving'' or ``ON.''
    (c) For each change of duty status (e.g., the place of reporting for 
work,

[[Page 529]]

starting to drive, on-duty not driving and where released from work), 
the name of the city, town, or village, with State abbreviation, shall 
be recorded.

    Note: If a change of duty status occurs at a location other than a 
city, town, or village, show one of the following: (1) The highway 
number and nearest milepost followed by the name of the nearest city, 
town, or village and State abbreviation, (2) the highway number and the 
name of the service plaza followed by the name of the nearest city, 
town, or village and State abbreviation, or (3) the highway numbers of 
the nearest two intersecting roadways followed by the name of the 
nearest city, town, or village and State abbreviation.

    (d) The following information must be included on the form in 
addition to the grid:
    (1) Date;
    (2) Total miles driving today;
    (3) Truck or tractor and trailer number;
    (4) Name of carrier;
    (5) Driver's signature/certification;
    (6) 24-hour period starting time (e.g. midnight, 9:00 a.m., noon, 
3:00 p.m.);
    (7) Main office address;
    (8) Remarks;
    (9) Name of co-driver;
    (10) Total hours (far right edge of grid);
    (11) Shipping document number(s), or name of shipper and commodity;
    (e) Failure to complete the record of duty activities of this 
section or Sec.395.15, failure to preserve a record of such duty 
activities, or making of false reports in connection with such duty 
activities shall make the driver and/or the carrier liable for 
prosecution.
    (f) The driver's activities shall be recorded in accordance with the 
following provisions:
    (1) Entries to be current. Drivers shall keep their records of duty 
status current to the time shown for the last change of duty status.
    (2) Entries made by driver only. All entries relating to driver's 
duty status must be legible and in the driver's own handwriting.
    (3) Date. The month, day and year for the beginning of each 24-hour 
period shall be shown on the form containing the driver's duty status 
record.
    (4) Total miles driving today. Total mileage driven during the 24-
hour period shall be recorded on the form containing the driver's duty 
status record.
    (5) Commercial motor vehicle identification. The driver shall show 
the number assigned by the motor carrier, or the license number and 
licensing State of each commercial motor vehicle operated during each 
24-hour period on his/her record of duty status. The driver of an 
articulated (combination) commercial motor vehicle shall show the number 
assigned by the motor carrier, or the license number and licensing State 
of each motor vehicle used in each commercial motor vehicle combination 
operated during that 24-hour period on his/her record of duty status.
    (6) Name of motor carrier. The name(s) of the motor carrier(s) for 
which work is performed shall be shown on the form containing the 
driver's record of duty status. When work is performed for more than one 
motor carrier during the same 24-hour period, the beginning and 
finishing time, showing a.m. or p.m., worked for each motor carrier 
shall be shown after each motor carrier's name. Drivers of leased 
commercial motor vehicles shall show the name of the motor carrier 
performing the transportation.
    (7) Signature/certification. The driver shall certify to the 
correctness of all entries by signing the form containing the driver's 
duty status record with his/her legal name or name of record. The 
driver's signature certifies that all entries required by this section 
made by the driver are true and correct.
    (8) Time base to be used. (i) The driver's duty status record shall 
be prepared, maintained, and submitted using the time standard in effect 
at the driver's home terminal, for a 24-hour period beginning with the 
time specified by the motor carrier for that driver's home terminal.
    (ii) The term ``7 or 8 consecutive days'' means the 7 or 8 
consecutive 24-hour periods as designated by the carrier for the 
driver's home terminal.
    (iii) The 24-hour period starting time must be identified on the 
driver's duty status record. One-hour increments must appear on the 
graph, be identified, and preprinted. The words ``Midnight'' and 
``Noon'' must appear above or beside the appropriate one-hour increment.

[[Page 530]]

    (9) Main office address. The motor carrier's main office address 
shall be shown on the form containing the driver's duty status record.
    (10) Recording days off duty. Two or more consecutive 24-hour 
periods off duty may be recorded on one duty status record.
    (11) Total hours. The total hours in each duty status: off duty 
other than in a sleeper berth; off duty in a sleeper berth; driving, and 
on duty not driving, shall be entered to the right of the grid, the 
total of such entries shall equal 24 hours.
    (12) Shipping document number(s) or name of shipper and commodity 
shall be shown on the driver's record of duty status.
    (g) Graph grid. The following graph grid must be incorporated into a 
motor carrier recordkeeping system which must also contain the 
information required in paragraph (d) of this section.
[GRAPHIC] [TIFF OMITTED] TC01AP91.034

    (h) Graph grid preparation. The graph grid may be used horizontally 
or vertically and shall be completed as follows:

[[Page 531]]

    (1) Off duty. Except for time spent resting in a sleeper berth, a 
continuous line shall be drawn between the appropriate time markers to 
record the period(s) of time when the driver is not on duty, is not 
required to be in readiness to work, or is not under any responsibility 
for performing work.
    (2) Sleeper berth. A continuous line shall be drawn between the 
appropriate time markers to record the period(s) of time off duty 
resting in a sleeper berth, as defined in Sec.395.2. (If a non-sleeper 
berth operation, sleeper berth need not be shown on the grid.)
    (3) Driving. A continuous line shall be drawn between the 
appropriate time markers to record the period(s) of driving time, as 
defined in Sec.395.2.
    (4) On duty not driving. A continuous line shall be drawn between 
the appropriate time markers to record the period(s) of time on duty not 
driving specified in Sec.395.2.
    (5) Location--remarks. The name of the city, town, or village, with 
State abbreviation where each change of duty status occurs shall be 
recorded.

    Note: If a change of duty status occurs at a location other than a 
city, town, or village, show one of the following: (1) The highway 
number and nearest milepost followed by the name of the nearest city, 
town, or village and State abbreviation, (2) the highway number and the 
name of the service plaza followed by the name of the nearest city, 
town, or village and State abbreviation, or (3) the highway numbers of 
the nearest two intersecting roadways followed by the name of the 
nearest city, town, or village and State abbreviation.

    (i) Filing driver's record of duty status. The driver shall submit 
or forward by mail the original driver's record of duty status to the 
regular employing motor carrier within 13 days following the completion 
of the form.
    (j) Drivers used by more than one motor carrier. (1) When the 
services of a driver are used by more than one motor carrier during any 
24-hour period in effect at the driver's home terminal, the driver shall 
submit a copy of the record of duty status to each motor carrier. The 
record shall include:
    (i) All duty time for the entire 24-hour period;
    (ii) The name of each motor carrier served by the driver during that 
period; and
    (iii) The beginning and finishing time, including a.m. or p.m., 
worked for each carrier.
    (2) Motor carriers, when using a driver for the first time or 
intermittently, shall obtain from the driver a signed statement giving 
the total time on duty during the immediately preceding 7 days and the 
time at which the driver was last relieved from duty prior to beginning 
work for the motor carriers.
    (k) Retention of driver's record of duty status. (1) Each motor 
carrier shall maintain records of duty status and all supporting 
documents for each driver it employs for a period of six months from the 
date of receipt.
    (2) The driver shall retain a copy of each record of duty status for 
the previous 7 consecutive days which shall be in his/her possession and 
available for inspection while on duty.

    Note: Driver's Record of Duty Status.

    The graph grid, when incorporated as part of any form used by a 
motor carrier, must be of sufficient size to be legible.
    The following executed specimen grid illustrates how a driver's duty 
status should be recorded for a trip from Richmond, Virginia, to Newark, 
New Jersey. The grid reflects the midnight to midnight 24 hour period.

[[Page 532]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.035

               Graph Grid (Midnight to Midnight Operation)

    The driver in this instance reported for duty at the motor carrier's 
terminal. The driver reported for work at 6 a.m., helped load, checked 
with dispatch, made a pretrip inspection, and performed other duties 
until 7:30 a.m. when the driver began driving. At 9 a.m. the driver had 
a minor accident in Fredericksburg, Virginia, and spent one half hour 
handling details with the local police. The driver arrived at the 
company's Baltimore, Maryland, terminal at noon and went to lunch while 
minor repairs were made to the tractor. At 1 p.m. the driver resumed the 
trip and made a delivery in Philadelphia, Pennsylvania, between 3 p.m. 
and 3:30 p.m. at which time the driver started driving again. Upon 
arrival at Cherry Hill, New Jersey, at 4 p.m., the driver entered the 
sleeper berth for a rest break until 5:45 p.m. at which time the driver 
resumed driving again. At 7 p.m. the driver arrived at the company's 
terminal in Newark, New Jersey. Between 7 p.m. and 8 p.m. the driver 
prepared the required paperwork including completing the driver's record 
of duty status, driver vehicle inspection report, insurance report for 
the Fredericksburg, Virginia accident, checked for the next day's 
dispatch, etc. At 8 p.m., the driver went off duty.

(Approved by the Office of Management and Budget under control number 
2125-0016)

[47 FR 53389, Nov. 26, 1982, as amended at 49 FR 38290, Sept. 28, 1984; 
49 FR 46147, Nov. 23, 1984; 51 FR 12622, Apr. 14, 1986; 52 FR 41721, 
Oct. 30, 1987; 53 FR 18058, May 19, 1988; 53 FR 38670, Sept. 30, 1988; 
57 FR 33649, July 30, 1992; 58 FR 33777, June 21, 1993; 59 FR 8753, Feb. 
23, 1994; 60 FR 38748, July 28, 1995; 62 FR 16709, Apr. 8, 1997; 63 FR 
33279, June 18, 1998; 75 FR 17245, Apr. 5, 2010; 77 FR 28451, 28454, May 
14, 2012; 77 FR 59828, Oct. 1, 2012; 78 FR 58485, Sept. 24, 2013]



Sec. Sec.395.10-395.12  [Reserved]



Sec.395.13  Drivers declared out of service.

    (a) Authority to declare drivers out of service. Every special agent 
of the Federal Motor Carrier Safety Administration (as defined in 
appendix B to this subchapter) is authorized to declare a driver out of 
service and to notify the motor carrier of that declaration, upon 
finding at the time and place of examination that the driver has 
violated the out of service criteria as set forth in paragraph (b) of 
this section.
    (b) Out of service criteria. (1) No driver shall drive after being 
on duty in excess of the maximum periods permitted by this part.
    (2) No driver required to maintain a record of duty status under 
Sec.395.8 or Sec.395.15 of this part shall fail to have a record of 
duty status current on the day of examination and for the prior seven 
consecutive days.
    (3) Exception. A driver failing only to have possession of a record 
of duty status current on the day of examination and the prior day, but 
has completed records of duty status up to that time (previous 6 days), 
will be given the opportunity to make the duty status record current.
    (c) Responsibilities of motor carriers. (1) No motor carrier shall:
    (i) Require or permit a driver who has been declared out of service 
to operate a commercial motor vehicle until that driver may lawfully do 
so under the rules in this part.

[[Page 533]]

    (ii) Require a driver who has been declared out of service for 
failure to prepare a record of duty status to operate a commercial motor 
vehicle until that driver has been off duty for the appropriate number 
of consecutive hours required by this part and is in compliance with 
this section. The appropriate consecutive hours off-duty may include 
sleeper berth time.
    (2) A motor carrier shall complete the ``Motor Carrier Certification 
of Action Taken'' portion of the form MCS-63 (Driver-Vehicle Examination 
Report) and deliver the copy of the form either personally or by mail to 
the Division Administrator or State Director Federal Motor Carrier 
Safety Administration, at the address specified upon the form within 15 
days following the date of examination. If the motor carrier mails the 
form, delivery is made on the date it is postmarked.
    (d) Responsibilities of the driver. (1) No driver who has been 
declared out of service shall operate a commercial motor vehicle until 
that driver may lawfully do so under the rules of this part.
    (2) No driver who has been declared out of service, for failing to 
prepare a record of duty status, shall operate a commercial motor 
vehicle until the driver has been off duty for the appropriate number of 
consecutive hours required by this part and is in compliance with this 
section.
    (3) A driver to whom a form has been tendered declaring the driver 
out of service shall within 24 hours thereafter deliver or mail the copy 
to a person or place designated by motor carrier to receive it.
    (4) Section 395.13 does not alter the hazardous materials 
requirements prescribed in Sec.397.5 pertaining to attendance and 
surveillance of commercial motor vehicles.

[44 FR 34963, June 18, 1979, as amended at 47 FR 53392, Nov. 26, 1982; 
51 FR 12622, Apr. 14, 1986; 53 FR 18058, May 19, 1988; 53 FR 38670, 
Sept. 30, 1988; 53 FR 47544, Nov. 23, 1988; 60 FR 38748, July 28, 1995; 
68 FR 22516, Apr. 28, 2003; 70 FR 50073, Aug. 25, 2005; 75 FR 17245, 
Apr. 5, 2010; 77 FR 28451, May 14, 2012]



Sec.395.15  Automatic on-board recording devices.

    (a) Authority to use automatic on-board recording device. (1) A 
motor carrier may require a driver to use an automatic on-board 
recording device to record the driver's hours of service in lieu of 
complying with the requirements of Sec.395.8 of this part.
    (2) Every driver required by a motor carrier to use an automatic on-
board recording device shall use such device to record the driver's 
hours of service.
    (b) Information requirements. (1) Automatic on-board recording 
devices shall produce, upon demand, a driver's hours of service chart, 
electronic display, or printout showing the time and sequence of duty 
status changes including the drivers' starting time at the beginning of 
each day.
    (2) The device shall provide a means whereby authorized Federal, 
State, or local officials can immediately check the status of a driver's 
hours of service. This information may be used in conjunction with 
handwritten or printed records of duty status, for the previous 7 days.
    (3) Support systems used in conjunction with on-board recorders at a 
driver's home terminal or the motor carrier's principal place of 
business must be capable of providing authorized Federal, State or local 
officials with summaries of an individual driver's hours of service 
records, including the information specified in Sec.395.8(d) of this 
part. The support systems must also provide information concerning on-
board system sensor failures and identification of edited data. Such 
support systems should meet the information interchange requirements of 
the American National Standard Code for Information Interchange (ANSCII) 
(EIARS-232/CCITT V.24 port (National Bureau of Standards ``Code for 
Information Interchange,'' FIPS PUB 1-1)).
    (4) The driver shall have in his/her possession records of duty 
status for the previous 7 consecutive days available for inspection 
while on duty. These records shall consist of information stored in and 
retrievable from the automatic on-board recording device, handwitten 
records, computer generated records, or any combination thereof.

[[Page 534]]

    (5) All hard copies of the driver's record of duty status must be 
signed by the driver. The driver's signature certifies that the 
information contained thereon is true and correct.
    (c) The duty status and additional information shall be recorded as 
follows:
    (1) ``Off duty'' or ``OFF'', or by an identifiable code or 
character;
    (2) ``Sleeper berth'' or ``SB'' or by an identifiable code or 
character (only if the sleeper berth is used);
    (3) ``Driving'' or ``D'', or by an identifiable code or character; 
and
    (4) ``On-duty not driving'' or ``ON'', or by an identifiable code or 
character.
    (5) Date;
    (6) Total miles driving today;
    (7) Truck or tractor and trailer number;
    (8) Name of carrier;
    (9) Main office address;
    (10) 24-hour period starting time (e.g., midnight, 9:00 a.m., noon, 
3:00 p.m.)
    (11) Name of co-driver;
    (12) Total hours; and
    (13) Shipping document number(s), or name of shipper and commodity.
    (d) Location of duty status change. (1) For each change of duty 
status (e.g., the place and time of reporting for work, starting to 
drive, on-duty not driving and where released from work), the name of 
the city, town, or village, with State abbreviation, shall be recorded.
    (2) Motor carriers are permitted to use location codes in lieu of 
the requirements of paragraph (d)(1) of this section. A list of such 
codes showing all possible location identifiers shall be carried in the 
cab of the commercial motor vehicle and available at the motor carrier's 
principal place of business. Such lists shall be made available to an 
enforcement official on request.
    (e) Entries made by driver only. If a driver is required to make 
written entries relating to the driver's duty status, such entries must 
be legible and in the driver's own handwriting.
    (f) Reconstruction of records of duty status. Drivers are required 
to note any failure of automatic on-board recording devices, and to 
reconstruct the driver's record of duty status for the current day, and 
the past 7 days, less any days for which the drivers have records, and 
to continue to prepare a handwritten record of all subsequent duty 
status until the device is again operational.
    (g) On-board information. Each commercial motor vehicle must have 
on-board the commercial motor vehicle an information packet containing 
the following items:
    (1) An instruction sheet describing in detail how data may be stored 
and retrieved from an automatic on-board recording system; and
    (2) A supply of blank driver's records of duty status graph-grids 
sufficient to record the driver's duty status and other related 
information for the duration of the current trip.
    (h) Submission of driver's record of duty status. (1) The driver 
shall submit, electronically or by mail, to the employing motor carrier, 
each record of the driver's duty status within 13 days following the 
completion of each record;
    (2) The driver shall review and verify that all entries are accurate 
prior to submission to the employing motor carrier; and
    (3) The submission of the record of duty status certifies that all 
entries made by the driver are true and correct.
    (i) Performance of recorders. Motor carriers that use automatic on-
board recording devices for recording their drivers' records of duty 
status in lieu of the handwritten record shall ensure that:
    (1) A certificate is obtained from the manufacturer certifying that 
the design of the automatic on-board recorder has been sufficiently 
tested to meet the requirements of this section and under the conditions 
it will be used;
    (2) The automatic on-board recording device permits duty status to 
be updated only when the commercial motor vehicle is at rest, except 
when registering the time a commercial motor vehicle crosses a State 
boundary;
    (3) The automatic on-board recording device and associated support 
systems are, to the maximum extent practicable, tamperproof and do not 
permit altering of the information collected concerning the driver's 
hours of service;
    (4) The automatic on-board recording device warns the driver 
visually and/or

[[Page 535]]

audibly that the device has ceased to function. Devices installed and 
operational as of October 31, 1988, and authorized to be used in lieu of 
the handwritten record of duty status by the FMCSA are exempted from 
this requirement.
    (5) Automatic on-board recording devices with electronic displays 
shall have the capability of displaying the following:
    (i) Driver's total hours of driving today;
    (ii) The total hours on duty today;
    (iii) Total miles driving today;
    (iv) Total hours on duty for the 7 consecutive day period, including 
today;
    (v) Total hours on duty for the prior 8 consecutive day period, 
including the present day; and
    (vi) The sequential changes in duty status and the times the changes 
occurred for each driver using the device.
    (6) The on-board recorder is capable of recording separately each 
driver's duty status when there is a multiple-driver operation;
    (7) The on-board recording device/system identifies sensor failures 
and edited data when reproduced in printed form. Devices installed and 
operational as of October 31, 1988, and authorized to be used in lieu of 
the handwritten record of duty status by the FMCSA are exempted from 
this requirement.
    (8) The on-board recording device is maintained and recalibrated in 
accordance with the manufacturer's specifications;
    (9) The motor carrier's drivers are adequately trained regarding the 
proper operation of the device; and
    (10) The motor carrier must maintain a second copy (back-up copy) of 
the electronic hours-of-service files, by month, in a different physical 
location than where the original data is stored.
    (j) Rescission of authority. (1) The FMCSA may, after notice and 
opportunity to reply, order any motor carrier or driver to comply with 
the requirements of Sec.395.8 of this part.
    (2) The FMCSA may issue such an order if the FMCSA has determined 
that--
    (i) The motor carrier has been issued a conditional or 
unsatisfactory safety rating by the FMCSA;
    (ii) The motor carrier has required or permitted a driver to 
establish, or the driver has established, a pattern of exceeding the 
hours of service limitations of this part;
    (iii) The motor carrier has required or permitted a driver to fail, 
or the driver has failed, to accurately and completely record the 
driver's hours of service as required in this section; or
    (iv) The motor carrier or driver has tampered with or otherwise 
abused the automatic on-board recording device on any commercial motor 
vehicle.

[53 FR 38670, Sept. 30, 1988, as amended at 60 FR 38748, July 28, 1995; 
68 FR 22516, Apr. 28, 2003; 70 FR 50073, Aug. 25, 2005; 75 FR 17245, 
Apr. 5, 2010; 77 FR 28451, May 14, 2012]



PART 396_INSPECTION, REPAIR, AND MAINTENANCE--Table of Contents



Sec.
396.1 Scope.
396.3 Inspection, repair, and maintenance.
396.5 Lubrication.
396.7 Unsafe operations forbidden.
396.9 Inspection of motor vehicles and intermodal equipment in 
          operation.
396.11 Inspection of motor vehicles in operation.
396.12 Procedures for intermodal equipment providers to accept reports 
          required by Sec.390.42(b) of this chapter.
396.13 Driver inspection.
396.15 Driveaway-towaway operations and inspections.
396.17 Periodic inspection.
396.19 Inspector qualifications.
396.21 Periodic inspection recordkeeping requirements.
396.23 Equivalent to periodic inspection.
396.25 Qualifications of brake inspectors.

    Authority: 49 U.S.C. 504, 31133, 31136, 31151, and 31502; sec. 
32934, Pub. L. 112-141, 126 Stat. 405, 830; and 49 CFR 1.87.

    Source: 44 FR 38526, July 2, 1979, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 396 appear at 66 FR 
49874, Oct. 1, 2001.



Sec.396.1  Scope.

    (a) Every motor carrier, its officers, drivers, agents, 
representatives, and employees directly concerned with the inspection or 
maintenance of commercial motor vehicles must be knowledgeable of and 
comply with the rules of this part.

[[Page 536]]

    (b) Every intermodal equipment provider, its officers, agents, 
representatives, and employees directly concerned with the inspection or 
maintenance of intermodal equipment interchanged or offered for 
interchange to motor carriers must be knowledgeable of and comply with 
the rules of this part.
    (c) This part does not apply to ``covered farm vehicles,'' as 
defined in 49 CFR 390.5, or to the drivers of such vehicles.

[73 FR 76823, Dec. 17, 2008, as amended at 78 FR 16195, Mar. 14, 2013]



Sec.396.3  Inspection, repair, and maintenance.

    (a) General. Every motor carrier and intermodal equipment provider 
must systematically inspect, repair, and maintain, or cause to be 
systematically inspected, repaired, and maintained, all motor vehicles 
and intermodal equipment subject to its control.
    (1) Parts and accessories shall be in safe and proper operating 
condition at all times. These include those specified in part 393 of 
this subchapter and any additional parts and accessories which may 
affect safety of operation, including but not limited to, frame and 
frame assemblies, suspension systems, axles and attaching parts, wheels 
and rims, and steering systems.
    (2) Pushout windows, emergency doors, and emergency door marking 
lights in buses shall be inspected at least every 90 days.
    (b) Required records. Motor carriers, except for a private motor 
carrier of passengers (nonbusiness), must maintain, or cause to be 
maintained, records for each motor vehicle they control for 30 
consecutive days. Intermodal equipment providers must maintain or cause 
to be maintained, records for each unit of intermodal equipment they 
tender or intend to tender to a motor carrier. These records must 
include:
    (1) An identification of the vehicle including company number, if so 
marked, make, serial number, year, and tire size. In addition, if the 
motor vehicle is not owned by the motor carrier, the record shall 
identify the name of the person furnishing the vehicle;
    (2) A means to indicate the nature and due date of the various 
inspection and maintenance operations to be performed;
    (3) A record of inspection, repairs, and maintenance indicating 
their date and nature; and
    (4) A record of tests conducted on pushout windows, emergency doors, 
and emergency door marking lights on buses.
    (c) Record retention. The records required by this section shall be 
retained where the vehicle is either housed or maintained for a period 
of 1 year and for 6 months after the motor vehicle leaves the motor 
carrier's control.

[44 FR 38526, July 2, 1979, as amended at 48 FR 55868, Dec. 16, 1983; 53 
FR 18058, May 19, 1988; 59 FR 8753, Feb. 23, 1994; 59 FR 60324, Nov. 23, 
1994; 73 FR 75824, Dec. 17, 2008]



Sec.396.5  Lubrication.

    Every motor carrier shall ensure that each motor vehicle subject to 
its control is--
    (a) Properly lubricated; and
    (b) Free of oil and grease leaks.



Sec.396.7  Unsafe operations forbidden.

    (a) General. A motor vehicle shall not be operated in such a 
condition as to likely cause an accident or a breakdown of the vehicle.
    (b) Exemption. Any motor vehicle discovered to be in an unsafe 
condition while being operated on the highway may be continued in 
operation only to the nearest place where repairs can safely be 
effected. Such operation shall be conducted only if it is less hazardous 
to the public than to permit the vehicle to remain on the highway.



Sec.396.9  Inspection of motor vehicles and intermodal equipment in operation.

    (a) Personnel authorized to perform inspections. Every special agent 
of the FMCSA (as defined in appendix B to this subchapter) is authorized 
to enter upon and perform inspections of a motor carrier's vehicles in 
operation and intermodal equipment in operation.
    (b) Prescribed inspection report. The Driver Vehicle Examination 
Report shall be used to record results of motor

[[Page 537]]

vehicle inspections and results of intermodal equipment inspections 
conducted by authorized FMCSA personnel.(c) Motor vehicles and 
intermodal equipment declared ``out-of-service.'' (1) Authorized 
personnel shall declare and mark ``out-of-service'' any motor vehicle or 
intermodal equipment which by reason of its mechanical condition or 
loading would likely cause an accident or a breakdown. An ``Out-of-
Service Vehicle'' sticker shall be used to mark vehicles and intermodal 
equipment ``out-of-service.''
    (2) No motor carrier or intermodal equipment provider shall require 
or permit any person to operate nor shall any person operate any motor 
vehicle or intermodal equipment declared and marked ``out-of-service'' 
until all repairs required by the ``out-of-service notice'' have been 
satisfactorily completed. The term operate as used in this section shall 
include towing the vehicle or intermodal equipment, except that vehicles 
or intermodal equipment marked ``out-of-service'' may be towed away by 
means of a vehicle using a crane or hoist. A vehicle combination 
consisting of an emergency towing vehicle and an ``out-of-service'' 
vehicle shall not be operated unless such combination meets the 
performance requirements of this subchapter except for those conditions 
noted on the Driver Vehicle Examination Report.
    (3) No person shall remove the ``Out-of-Service Vehicle'' sticker 
from any motor vehicle or intermodal equipment prior to completion of 
all repairs required by the ``out-of-service notice.''
    (d) Motor carrier or intermodal equipment provider disposition. (1) 
The driver of any motor vehicle, including a motor vehicle transporting 
intermodal equipment, who receives an inspection report shall deliver a 
copy to both the motor carrier operating the vehicle and the intermodal 
equipment provider upon his/her arrival at the next terminal or 
facility. If the driver is not scheduled to arrive at a terminal or 
facility of the motor carrier operating the vehicle or at a facility of 
the intermodal equipment provider within 24 hours, the driver shall 
immediately mail, fax, or otherwise transmit the report to the motor 
carrier and intermodal equipment provider.
    (2) Motor carriers and intermodal equipment providers shall examine 
the report. Violations or defects noted thereon shall be corrected. 
Repairs of items of intermodal equipment placed out-of-service are also 
to be documented in the maintenance records for such equipment.
    (3) Within 15 days following the date of the inspection, the motor 
carrier or intermodal equipment provider shall--
    (i) Certify that all violations noted have been corrected by 
completing the ``Signature of Carrier/Intermodal Equipment Provider 
Official, Title, and Date Signed'' portions of the form; and
    (ii) Return the completed roadside inspection form to the issuing 
agency at the address indicated on the form and retain a copy at the 
motor carrier's principal place of business, at the intermodal equipment 
provider's principal place of business, or where the vehicle is housed 
for 12 months from the date of the inspection.

[73 FR 76824, Dec. 17, 2008, as amended at 75 FR 17252, Apr. 5, 2010; 77 
FR 28451, May 14, 2012; 78 FR 58485, Sept. 24, 2013]



Sec.396.11  Driver vehicle inspection report(s).

    (a) Equipment provided by motor carrier. (1) Report required. Every 
motor carrier shall require its drivers to report, and every driver 
shall prepare a report in writing at the completion of each day's work 
on each vehicle operated, except for intermodal equipment tendered by an 
intermodal equipment provider. The report shall cover at least the 
following parts and accessories:
    (i) Service brakes including trailer brake connections;
    (ii) Parking brake;
    (iii) Steering mechanism;
    (iv) Lighting devices and reflectors;
    (v) Tires;
    (vi) Horn;
    (vii) Windshield wipers;
    (viii) Rear vision mirrors;
    (ix) Coupling devices;
    (x) Wheels and rims;
    (xi) Emergency equipment.
    (2) Report content. The report shall identify the vehicle and list 
any defect or deficiency discovered by or reported to the driver which 
would affect the

[[Page 538]]

safety of operation of the vehicle or result in its mechanical 
breakdown. If no defect or deficiency is discovered by or reported to 
the driver, the report shall so indicate. In all instances, the driver 
shall sign the report. On two-driver operations, only one driver needs 
to sign the driver vehicle inspection report, provided both drivers 
agree as to the defects or deficiencies identified. If a driver operates 
more than one vehicle during the day, a report shall be prepared for 
each vehicle operated.
    (3) Corrective action. (i) Prior to requiring or permitting a driver 
to operate a vehicle, every motor carrier or its agent shall repair any 
defect or deficiency listed on the driver vehicle inspection report 
which would be likely to affect the safety of operation of the vehicle.
    (ii) Every motor carrier or its agent shall certify on the original 
driver vehicle inspection report which lists any defect or deficiency 
that the defect or deficiency has been repaired or that repair is 
unnecessary before the vehicle is operated again.
    (4) Retention period for reports. Every motor carrier shall maintain 
the original driver vehicle inspection report, the certification of 
repairs, and the certification of the driver's review for three months 
from the date the written report was prepared.
    (5) Exceptions. The rules in this section shall not apply to a 
private motor carrier of passengers (nonbusiness), a driveaway-towaway 
operation, or any motor carrier operating only one commercial motor 
vehicle.
    (b) Equipment provided by intermodal equipment provider. (1) Report 
required. Every intermodal equipment provider must have a process to 
receive driver reports of, and each driver or motor carrier transporting 
intermodal equipment must report to the intermodal equipment provider or 
its designated agent, any known damage, defects, or deficiencies in the 
intermodal equipment at the time the equipment is returned to the 
provider or the provider's designated agent. The report must include, at 
a minimum, the following parts and accessories:
    (i) Brakes;
    (ii) Lighting devices, lamps, markers, and conspicuity marking 
material;
    (iii) Wheels, rims, lugs, tires;
    (iv) Air line connections, hoses, and couplers;
    (v) King pin upper coupling device;
    (vi) Rails or support frames;
    (vii) Tie down bolsters;
    (viii) Locking pins, clevises, clamps, or hooks;
    (ix) Sliders or sliding frame lock.
    (2) Report content. (i) Name of the motor carrier responsible for 
the operation of the intermodal equipment at the time the damage, 
defects, or deficiencies were discovered by, or reported to, the driver.
    (ii) Motor carrier's USDOT number; intermodal equipment provider's 
USDOT number, and a unique identifying number for the item of intermodal 
equipment.
    (iii) Date and time the report was submitted.
    (iv) All damage, defects, or deficiencies of the intermodal 
equipment reported to the equipment provider and discovered by, or 
reported to, the motor carrier or its driver which would
    (A) Affect the safety of operation of the intermodal equipment, or
    (B) Result in its mechanical breakdown while transported on public 
roads.
    (v) The signature of the driver who prepared the report.
    (3) Corrective action. (i) Prior to allowing or permitting a motor 
carrier to transport a piece of intermodal equipment for which a motor 
carrier or driver has submitted a report about damage, defects or 
deficiencies, each intermodal equipment provider or its agent must 
repair the reported damage, defects, or deficiencies that are likely to 
affect the safety of operation of the vehicle.
    (ii) Each intermodal equipment provider or its agent must certify on 
the original driver's report which lists any damage, defects, or 
deficiencies of the intermodal equipment that the reported damage, 
defects, or deficiencies have been repaired, or that repair is 
unnecessary, before the vehicle is operated again.
    (4) Retention period for reports. Each intermodal equipment provider 
must maintain all documentation required by this section, including the 
original driver report and the certification of

[[Page 539]]

repairs on all intermodal equipment, for a period of three months from 
the date that a motor carrier or its driver submits the report to the 
intermodal equipment provider or its agent.
    (c) Corrective action. Prior to requiring or permitting a driver to 
operate a vehicle, every motor carrier or its agent shall repair any 
defect or deficiency listed on the driver vehicle inspection report 
which would be likely to affect the safety of operation of the vehicle.
    (1) Every motor carrier or its agent shall certify on the original 
driver vehicle inspection report which lists any defect or deficiency 
that the defect or deficiency has been repaired or that repair is 
unnecessary before the vehicle is operated again.
    (2) Every motor carrier shall maintain the original driver vehicle 
inspection report, the certification of repairs, and the certification 
of the driver's review for three months from the date the written report 
was prepared.
    (d) Exceptions. The rules in this section shall not apply to a 
private motor carrier of passengers (nonbusiness), a driveaway-towaway 
operation, or any motor carrier operating only one commercial motor 
vehicle.

[44 FR 38526, July 2, 1979, as amended at 45 FR 46425, July 10, 1980; 53 
FR 18058, May 19, 1988; 59 FR 8753, Feb. 23, 1994; 63 FR 33279, June 18, 
1998; 73 FR 76824, Dec. 17, 2008; 74 FR 68709, Dec. 29, 2009; 77 FR 
34852, June 12, 2012; 77 FR 59828, Oct. 1, 2012; 78 FR 58485, Sept. 24, 
2013]

    Editorial Note: At 78 FR 58485, Sept. 24, 2013, Sec.396.11 was 
amended; however, a portion of the amendment could not be incorporated 
due to inaccurate amendatory instruction.



Sec.396.12  Procedures for intermodal equipment providers to accept
reports required by Sec.390.42(b) of this chapter.

    (a) System for reports. Each intermodal equipment provider must 
establish a system for motor carriers and drivers to report to it any 
damage, defects, or deficiencies of intermodal equipment discovered by, 
or reported to, the motor carrier or driver which would--
    (1) Affect the safety of operation of the intermodal equipment, or
    (2) Result in its mechanical breakdown while transported on public 
roads.
    (b) Report content. The system required by paragraph (a) of this 
section must include documentation of all of the following:
    (1) Name of the motor carrier responsible for the operation of the 
intermodal equipment at the time the damage, defects, or deficiencies 
were discovered by, or reported to, the driver.
    (2) Motor carrier's USDOT number; intermodal equipment provider's 
USDOT number, and a unique identifying number for the item of intermodal 
equipment.
    (3) Date and time the report was submitted.
    (4) All damage, defects, or deficiencies of the intermodal equipment 
must be reported to the equipment provider by the motor carrier or its 
driver. If no defect or deficiency in the intermodal equipment is 
discovered by or reported to the driver, no written report is required.
    (5) The signature of the driver who prepared the report.
    (c) Corrective action. (1) Prior to allowing or permitting a motor 
carrier to transport a piece of intermodal equipment for which a motor 
carrier or driver has submitted a report about damage, defects or 
deficiencies, each intermodal equipment provider or its agent must 
repair the reported damage, defects, or deficiencies that are likely to 
affect the safety of operation of the vehicle.
    (2) Each intermodal equipment provider or its agent must certify on 
the original driver's report which lists any damage, defects, or 
deficiencies of the intermodal equipment that the reported damage, 
defects, or deficiencies have been repaired, or that repair is 
unnecessary, before the vehicle is operated again.
    (d) Retention period for reports. Each intermodal equipment provider 
must maintain all documentation required by this section, including the 
original driver report and the certification of repairs on all 
intermodal equipment, for a period of three months from the date that a 
motor carrier or its driver

[[Page 540]]

submits the report to the intermodal equipment provider or its agent.

[73 FR 76824, Dec. 17, 2008, as amended at 74 FR 68709, Dec. 29, 2009; 
77 FR 34852, June 12, 2012]



Sec.396.13  Driver inspection.

    Before driving a motor vehicle, the driver shall:
    (a) Be satisfied that the motor vehicle is in safe operating 
condition;
    (b) Review the last driver vehicle inspection report; and
    (c) Sign the report, only if defects or deficiencies were noted by 
the driver who prepared the report, to acknowledge that the driver has 
reviewed it and that there is a certification that the required repairs 
have been performed. The signature requirement does not apply to listed 
defects on a towed unit which is no longer part of the vehicle 
combination.

[44 FR 76526, Dec. 27, 1979, as amended at 48 FR 55868, Dec. 16, 1983; 
63 FR 33280, June 18, 1998]



Sec.396.15  Driveaway-towaway operations and inspections.

    (a) General. Effective December 7, 1989, every motor carrier, with 
respect to motor vehicles engaged in driveaway-towaway operations, shall 
comply with the requirements of this part. Exception: Maintenance 
records required by Sec.396.3, the vehicle inspection report required 
by Sec.396.11, and the periodic inspection required by Sec.396.17 of 
this part shall not be required for any vehicle which is part of the 
shipment being delivered.
    (b) Pre-trip inspection. Before the beginning of any driveaway-
towaway operation of motor vehicles in combination, the motor carrier 
shall make a careful inspection and test to ascertain that:
    (1) The tow-bar or saddle-mount connections are properly secured to 
the towed and towing vehicle;
    (2) They function adequately without cramping or binding of any of 
the parts; and
    (3) The towed motor vehicle follows substantially in the path of the 
towing vehicle without whipping or swerving.
    (c) Post-trip inspection. Motor carriers shall maintain practices to 
ensure that following completion of any trip in driveaway-towaway 
operation of motor vehicles in combination, and before they are used 
again, the tow-bars and saddle-mounts are disassembled and inspected for 
worn, bent, cracked, broken, or missing parts. Before reuse, suitable 
repair or replacement shall be made of any defective parts and the 
devices shall be properly reassembled.

[44 FR 38526, July 2, 1979, as amended at 53 FR 49410, Dec. 7, 1988; 53 
FR 49968, Dec. 12, 1988; 78 FR 58485, Sept. 24, 2013]



Sec.396.17  Periodic inspection.

    (a) Every commercial motor vehicle must be inspected as required by 
this section. The inspection must include, at a minimum, the parts and 
accessories set forth in appendix G of this subchapter. The term 
commercial motor vehicle includes each vehicle in a combination vehicle. 
For example, for a tractor semitrailer, full trailer combination, the 
tractor, semitrailer, and the full trailer (including the converter 
dolly if so equipped) must each be inspected.
    (b) Except as provided in Sec.396.23 and this paragraph, motor 
carriers must inspect or cause to be inspected all motor vehicles 
subject to their control. Intermodal equipment providers must inspect or 
cause to be inspected intermodal equipment that is interchanged or 
intended for interchange to motor carriers in intermodal transportation.
    (c) A motor carrier must not use a commercial motor vehicle, and an 
intermodal equipment provider must not tender equipment to a motor 
carrier for interchange, unless each component identified in appendix G 
of this subchapter has passed an inspection in accordance with the terms 
of this section at least once during the preceding 12 months and 
documentation of such inspection is on the vehicle. The documentation 
may be:
    (1) The inspection report prepared in accordance with Sec.
396.21(a), or
    (2) Other forms of documentation, based on the inspection report 
(e.g., sticker or decal), which contains the following information:
    (i) The date of inspection;
    (ii) Name and address of the motor carrier, intermodal equipment 
provider, or other entity where the inspection report is maintained;

[[Page 541]]

    (iii) Information uniquely identifying the vehicle inspected if not 
clearly marked on the motor vehicle; and
    (iv) A certification that the vehicle has passed an inspection in 
accordance with Sec.396.17.
    (d) A motor carrier may perform the required annual inspection for 
vehicles under the carrier's control which are not subject to an 
inspection under Sec.396.23(b)(1). An intermodal equipment provider 
may perform the required annual inspection for intermodal equipment 
interchanged or intended for interchange to motor carriers that are not 
subject to an inspection under Sec.396.23(b)(1).
    (e) In lieu of the self-inspection provided for in paragraph (d) of 
this section, a motor carrier or intermodal equipment provider 
responsible for the inspection may choose to have a commercial garage, 
fleet leasing company, truck stop, or other similar commercial business 
perform the inspection as its agent, provided that business operates and 
maintains facilities appropriate for commercial vehicle inspections and 
it employs qualified inspectors, as required by Sec.396.19.
    (f) Vehicles passing roadside or periodic inspections performed 
under the auspices of any State government or equivalent jurisdiction or 
the FMCSA, meeting the minimum standards contained in appendix G of this 
subchapter, will be considered to have met the requirements of an annual 
inspection for a period of 12 months commencing from the last day of the 
month in which the inspection was performed. If a vehicle is subject to 
a mandatory State inspection program, as provided in Sec.396.23(b)(1), 
a roadside inspection may only be considered equivalent if it complies 
with the requirements of that program.
    (g) It is the responsibility of the motor carrier or intermodal 
equipment provider to ensure that all parts and accessories on 
commercial motor vehicles intended for use in interstate commerce for 
which they are responsible are maintained at, or promptly repaired to, 
the minimum standards set forth in appendix G to this subchapter.
    (h) Failure to perform properly the annual inspection required by 
this section shall cause the motor carrier or intermodal equipment 
provider to be subject to the penalty provisions of 49 U.S.C. 521(b).

[73 FR 76825, Dec. 17, 2008]



Sec.396.19  Inspector qualifications.

    (a) Motor carriers and intermodal equipment providers must ensure 
that individuals performing annual inspections under Sec.396.17(d) or 
(e) are qualified as follows:
    (1) Understand the inspection criteria set forth in part 393 and 
appendix G of this subchapter and can identify defective components;
    (2) Are knowledgeable of and have mastered the methods, procedures, 
tools and equipment used when performing an inspection; and
    (3) Are capable of performing an inspection by reason of experience, 
training, or both as follows:
    (i) Successfully completed a Federal-or State-sponsored training 
program or have a certificate from a State or Canadian Province that 
qualifies the individuals to perform commercial motor vehicle safety 
inspections, or
    (ii) Have a combination of training or experience totaling at least 
1 year. Such training or experience may consist of:
    (A) Participation in a commercial motor vehicle manufacturer-
sponsored training program or similar commercial training program 
designed to train students in commercial motor vehicle operation and 
maintenance;
    (B) Experience as a mechanic or inspector in a motor carrier or 
intermodal equipment maintenance program;
    (C) Experience as a mechanic or inspector in commercial motor 
vehicle maintenance at a commercial garage, fleet leasing company, or 
similar facility; or
    (D) Experience as a commercial motor vehicle inspector for a State, 
Provincial or Federal government.
    (b) Motor carriers and intermodal equipment providers must retain 
evidence of that individual's qualifications under this section. They 
must retain this evidence for the period during which that individual is 
performing annual motor vehicle inspections for the motor carrier or 
intermodal equipment provider, and for one year thereafter.

[[Page 542]]

However, motor carriers and intermodal equipment providers do not have 
to maintain documentation of inspector qualifications for those 
inspections performed either as part of a State periodic inspection 
program or at the roadside as part of a random roadside inspection 
program.

[73 FR 76825, Dec. 17, 2008]



Sec.396.21  Periodic inspection recordkeeping requirements.

    (a) The qualified inspector performing the inspection shall prepare 
a report that:
    (1) Identifies the individual performing the inspection;
    (2) Identifies the motor carrier operating the vehicle or intermodal 
equipment provider intending to interchange the vehicle to a motor 
carrier;
    (3) Identifies the date of the inspection;
    (4) Identifies the vehicle inspected;
    (5) Identifies the vehicle components inspected and describes the 
results of the inspection, including the identification of those 
components not meeting the minimum standards set forth in appendix G to 
this subchapter; and
    (6) Certifies the accuracy and completeness of the inspection as 
complying with all the requirements of this section.
    (b)(1) The original or a copy of the inspection report shall be 
retained by the motor carrier, intermodal equipment provider, or other 
entity that is responsible for the inspection for a period of fourteen 
months from the date of the inspection report. The original or a copy of 
the inspection report must be retained where the vehicle is either 
housed or maintained.
    (2) The original or a copy of the inspection report must be 
available for inspection upon demand of an authorized Federal, State or 
local official.
    (3) Exception. If the motor carrier operating the commercial motor 
vehicles did not perform the commercial motor vehicle's last annual 
inspection, or if an intermodal equipment provider did not itself 
perform the annual inspection on equipment intended for interchange to a 
motor carrier, the motor carrier or intermodal equipment provider is 
responsible for obtaining the original or a copy of the last annual 
inspection report upon demand of an authorized Federal, State, or local 
official.

[73 FR 76825, Dec. 17, 2008]



Sec.396.23  Equivalent to periodic inspection.

    (a) A motor carrier or an intermodal equipment provider may meet the 
requirements of Sec.396.17 through a State or other jurisdiction's 
roadside inspection program. The inspection must have been performed 
during the preceding 12 months. In using the roadside inspection, the 
motor carrier or intermodal equipment provider would need to retain a 
copy of an annual inspection report showing that the inspection was 
performed in accordance with the minimum periodic inspection standards 
set forth in appendix G to this subchapter. If the motor carrier 
operating the commercial vehicle is not the party directly responsible 
for its maintenance, the motor carrier must deliver the roadside 
inspection report to the responsible party in a timely manner. Before 
accepting such an inspection report, the motor carrier or intermodal 
equipment provider must ensure that the report complies with the 
requirements of Sec.396.21(a).
    (b)(1) If a commercial motor vehicle is subject to a mandatory State 
inspection program which is determined by the Administrator to be as 
effective as Sec.396.17, the motor carrier or intermodal equipment 
provider must meet the requirement of Sec.396.17 through that State's 
inspection program. Commercial motor vehicle inspections may be 
conducted by State personnel, at State authorized commercial facilities, 
or by the motor carrier or intermodal equipment provider itself under 
the auspices of a State authorized self-inspection program.
    (2) Should the FMCSA determine that a State inspection program, in 
whole or in part, is not as effective as Sec.396.17, the motor carrier 
or intermodal equipment provider must ensure that the periodic 
inspection required by Sec.396.17 is performed on all commercial motor 
vehicles under its control in a manner specified in Sec.396.17.

[73 FR 76825, Dec. 17, 2008]

[[Page 543]]



Sec.396.25  Qualifications of brake inspectors.

    (a) Motor carriers and intermodal equipment providers must ensure 
that all inspections, maintenance, repairs or service to the brakes of 
its commercial motor vehicles, are performed in compliance with the 
requirements of this section.
    (b) For purposes of this section, brake inspector means any employee 
of a motor carrier or intermodal equipment provider who is responsible 
for ensuring that all brake inspections, maintenance, service, or 
repairs to any commercial motor vehicle, subject to the motor carrier's 
or intermodal equipment provider's control, meet the applicable Federal 
standards.
    (c) No motor carrier or intermodal equipment provider may require or 
permit any employee who does not meet the minimum brake inspector 
qualifications of paragraph (d) of this section to be responsible for 
the inspection, maintenance, service or repairs of any brakes on its 
commercial motor vehicles.
    (d) The motor carrier or intermodal equipment provider must ensure 
that each brake inspector is qualified as follows:
    (1) Understands the brake service or inspection task to be 
accomplished and can perform that task; and
    (2) Is knowledgeable of and has mastered the methods, procedures, 
tools and equipment used when performing an assigned brake service or 
inspection task; and
    (3) Is capable of performing the assigned brake service or 
inspection by reason of experience, training, or both as follows:
    (i) Has successfully completed an apprenticeship program sponsored 
by a State, a Canadian Province, a Federal agency or a labor union, or a 
training program approved by a State, Provincial or Federal agency, or 
has a certificate from a State or Canadian Province that qualifies the 
person to perform the assigned brake service or inspection task 
(including passage of Commercial Driver's License air brake tests in the 
case of a brake inspection); or
    (ii) Has brake-related training or experience or a combination 
thereof totaling at least one year. Such training or experience may 
consist of:
    (A) Participation in a training program sponsored by a brake or 
vehicle manufacturer or similar commercial training program designed to 
train students in brake maintenance or inspection similar to the 
assigned brake service or inspection tasks; or
    (B) Experience performing brake maintenance or inspection similar to 
the assigned brake service or inspection task in a motor carrier or 
intermodal equipment provider maintenance program; or
    (C) Experience performing brake maintenance or inspection similar to 
the assigned brake service or inspection task at a commercial garage, 
fleet leasing company, or similar facility.
    (e) No motor carrier or intermodal equipment provider may employ any 
person as a brake inspector unless the evidence of the inspector's 
qualifications, required under this section, is maintained by the motor 
carrier or intermodal equipment provider at its principal place of 
business, or at the location at which the brake inspector is employed. 
The evidence must be maintained for the period during which the brake 
inspector is employed in that capacity and for one year thereafter. 
However, motor carriers and intermodal equipment providers do not have 
to maintain evidence of qualifications to inspect air brake systems for 
such inspections performed by persons who have passed the air brake 
knowledge and skills test for a Commercial Driver's License.

[73 FR 76825, Dec. 17, 2008]



PART 397_TRANSPORTATION OF HAZARDOUS MATERIALS; DRIVING AND PARKING RULES
--Table of Contents



                            Subpart A_General

Sec.
397.1 Application of the rules in this part.
397.2 Compliance with Federal motor carrier safety regulations.
397.3 State and local laws, ordinances, and regulations.
397.5 Attendance and surveillance of motor vehicles.
397.7 Parking.
397.9 [Reserved]
397.11 Fires.

[[Page 544]]

397.13 Smoking.
397.15 Fueling.
397.17 Tires.
397.19 Instructions and documents.

Subpart B [Reserved]

        Subpart C_Routing of Non-Radioactive Hazardous Materials

397.61 Purpose and scope.
397.63 Applicability.
397.65 Definitions.
397.67 Motor carrier responsibility for routing.
397.69 Highway routing designations; preemption.
397.71 Federal standards.
397.73 Public information and reporting requirements.
397.75 Dispute resolution.
397.77 Judicial review of dispute decision.

          Subpart D_Routing of Class 7 (Radioactive) Materials

397.101 Requirements for motor carriers and drivers.
397.103 Requirements for State routing designations.

                     Subpart E_Preemption Procedures

397.201 Purpose and scope of the procedures.
397.203 Standards for determining preemption.
397.205 Preemption application.
397.207 Preemption notice.
397.209 Preemption processing.
397.211 Preemption determination.
397.213 Waiver of preemption application.
397.215 Waiver notice.
397.217 Waiver processing.
397.219 Waiver determination and order.
397.221 Timeliness.
397.223 Petition for reconsideration.
397.225 Judicial review.

    Authority: 49 U.S.C. 322; 49 CFR 1.87. Subpart A also issued under 
49 U.S.C. 5103, 31136, 31502, and 49 CFR 1.97. Subparts C, D, and E also 
issued under 49 U.S.C. 5112, 5125.

    Source: 36 FR 4876, Mar. 13, 1971, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 397 appear at 66 FR 
49874, Oct. 1, 2001.



                            Subpart A_General



Sec.397.1  Application of the rules in this part.

    (a) The rules in this part apply to each motor carrier engaged in 
the transportation of hazardous materials by a motor vehicle which must 
be marked or placarded in accordance with Sec.177.823 of this title 
and to--
    (1) Each officer or employee of the motor carrier who performs 
supervisory duties related to the transportation of hazardous materials; 
and
    (2) Each person who operates or who is in charge of a motor vehicle 
containing hazardous materials.
    (b) Each person designated in paragraph (a) of this section must 
know and obey the rules in this part.

[36 FR 4876, Mar. 13, 1971, as amended at 36 FR 16067, Aug. 19, 1971; 53 
FR 18058, May 19, 1988; 60 FR 38749, July 28, 1995]



Sec.397.2  Compliance with Federal motor carrier safety regulations.

    A motor carrier or other person to whom this part is applicable must 
comply with the rules in parts 390 through 397, inclusive, of this 
subchapter when he/she is transporting hazardous materials by a motor 
vehicle which must be marked or placarded in accordance with Sec.
177.823 of this title.

[37 FR 18080, Sept. 7, 1972]



Sec.397.3  State and local laws, ordinances, and regulations.

    Every motor vehicle containing hazardous materials must be driven 
and parked in compliance with the laws, ordinances, and regulations of 
the jurisdiction in which it is being operated, unless they are at 
variance with specific regulations of the Department of Transportation 
which are applicable to the operation of that vehicle and which impose a 
more stringent obligation or restraint.



Sec.397.5  Attendance and surveillance of motor vehicles.

    (a) Except as provided in paragraph (b) of this section, a motor 
vehicle which contains a Division 1.1, 1.2, or 1.3 (explosive) material 
must be attended at all times by its driver or a qualified 
representative of the motor carrier that operates it.
    (b) The rules in paragraph (a) of this section do not apply to a 
motor vehicle which contains Division 1.1, 1.2, or 1.3 material if all 
the following conditions exist--
    (1) The vehicle is located on the property of a motor carrier, on 
the property

[[Page 545]]

of a shipper or consignee of the explosives, in a safe haven, or, in the 
case of a vehicle containing 50 pounds or less of a Division 1.1, 1.2, 
or 1.3 material, on a construction or survey site; and
    (2) The lawful bailee of the explosives is aware of the nature of 
the explosives the vehicle contains and has been instructed in the 
procedures which must be followed in emergencies; and
    (3) The vehicle is within the bailee's unobstructed field of view or 
is located in a safe haven.
    (c) A motor vehicle which contains hazardous materials other than 
Division 1.1, 1.2, or 1.3, materials, and which is located on a public 
street or highway, or the shoulder of a public highway, must be attended 
by its driver. However, the vehicle need not be attended while its 
driver is performing duties which are incident and necessary to the 
driver's duties as the operator of the vehicle.
    (d) For purposes of this section--
    (1) A motor vehicle is attended when the person in charge of the 
vehicle is on the vehicle, awake, and not in a sleeper berth, or is 
within 100 feet of the vehicle and has it within his/her unobstructed 
field of view.
    (2) A qualified representative of a motor carrier is a person who--
    (i) Has been designated by the carrier to attend the vehicle;
    (ii) Is aware of the nature of the hazardous materials contained in 
the vehicle he/she attends;
    (iii) Has been instructed in the procedures he/she must follow in 
emergencies; and
    (iv) Is authorized to move the vehicle and has the means and ability 
to do so.
    (3) A safe haven is an area specifically approved in writing by 
local, State, or Federal governmental authorities for the parking of 
unattended vehicles containing Division 1.1, 1.2, or 1.3 materials.
    (e) The rules in this section do not relieve the driver from any 
obligation imposed by law relating to the placing of warning devices 
when a motor vehicle is stopped on a public street or highway.

[59 FR 63925, Dec. 12, 1994, as amended at 77 FR 59828, Oct. 1, 2012]



Sec.397.7  Parking.

    (a) A motor vehicle which contains Division 1.1, 1.2, or 1.3 
materials must not be parked under any of the following circumstances--
    (1) On or within 5 feet of the traveled portion of a public street 
or highway;
    (2) On private property (including premises of fueling or eating 
facility) without the knowledge and consent of the person who is in 
charge of the property and who is aware of the nature of the hazardous 
materials the vehicle contains; or
    (3) Within 300 feet of a bridge, tunnel, dwelling, or place where 
people work, congregate, or assemble, except for brief periods when the 
necessities of operation require the vehicle to be parked and make it 
impracticable to park the vehicle in any other place.
    (b) A motor vehicle which contains hazardous materials other than 
Division 1.1, 1.2, or 1.3 materials must not be parked on or within five 
feet of the traveled portion of public street or highway except for 
brief periods when the necessities of operation require the vehicle to 
be parked and make it impracticable to park the vehicle in any other 
place.

[59 FR 63925, Dec. 12, 1994]



Sec.397.9       [Reserved]



Sec.397.11  Fires.

    (a) A motor vehicle containing hazardous materials must not be 
operated near an open fire unless its driver has first taken precautions 
to ascertain that the vehicle can safely pass the fire without stopping.
    (b) A motor vehicle containing hazardous materials must not be 
parked within 300 feet of an open fire.



Sec.397.13  Smoking.

    No person may smoke or carry a lighted cigarette, cigar, or pipe on 
or within 25 feet of--
    (a) A motor vehicle which contains Class 1 materials, Class 5 
materials, or flammable materials classified as Division 2.1, Class 3, 
Divisions 4.1 and 4.2; or
    (b) An empty tank motor vehicle which has been used to transport 
Class 3, flammable materials, or Division 2.1 flammable gases, which 
when so used,

[[Page 546]]

was required to be marked or placarded in accordance with the rules in 
Sec.177.823 of this title.

[59 FR 63925, Dec. 12, 1994]



Sec.397.15  Fueling.

    When a motor vehicle which contains hazardous materials is being 
fueled--
    (a) Its engine must not be operating; and
    (b) A person must be in control of the fueling process at the point 
where the fuel tank is filled.



Sec.397.17  Tires.

    (a) A driver must examine each tire on a motor vehicle at the 
beginning of each trip and each time the vehicle is parked.
    (b) If, as the result of an examination pursuant to paragraph (a) of 
this section, or otherwise, a tire if found to be flat, leaking, or 
improperly inflated, the driver must cause the tire to be repaired, 
replaced, or properly inflated before the vehicle is driven. However, 
the vehicle may be driven to the nearest safe place to perform the 
required repair, replacement, or inflation.
    (c) If, as the result of an examination pursuant to paragraph (a) of 
this section, or otherwise, a tire is found to be overheated, the driver 
shall immediately cause the overheated tire to be removed and placed at 
a safe distance from the vehicle. The driver shall not operate the 
vehicle until the cause of the overheating is corrected.
    (d) Compliance with the rules in this section does not relieve a 
driver from the duty to comply with the rules in Sec. Sec.397.5 and 
397.7.



Sec.397.19  Instructions and documents.

    (a) A motor carrier that transports Division 1.1, 1.2, or 1.3 
(explosive) materials must furnish the driver of each motor vehicle in 
which the explosives are transported with the following documents:
    (1) A copy of the rules in this part;
    (2) [Reserved]
    (3) A document containing instructions on procedures to be followed 
in the event of accident or delay. The documents must include the names 
and telephone numbers of persons (including representatives of carriers 
or shippers) to be contacted, the nature of the explosives being 
transported, and the precautions to be taken in emergencies such as 
fires, accidents, or leakages.
    (b) A driver who receives documents in accordance with paragraph (a) 
of this section must sign a receipt for them. The motor carrier shall 
maintain the receipt for a period of one year from the date of 
signature.
    (c) A driver of a motor vehicle which contains Division 1.1, 1.2, or 
1.3 materials must be in possession of, be familiar with, and be in 
compliance with
    (1) The documents specified in paragraph (a) of this section;
    (2) The documents specified in Sec.177.817 of this title; and
    (3) The written route plan specified in Sec.397.67.

[59 FR 63925, Dec. 12, 1994, as amended at 63 FR 33280, June 18, 1998; 
77 FR 59828, Oct. 1, 2012]

Subpart B [Reserved]



        Subpart C_Routing of Non-Radioactive Hazardous Materials

    Source: 59 FR 51830, Oct. 12, 1994, unless otherwise noted.



Sec.397.61  Purpose and scope.

    This subpart contains routing requirements and procedures that 
States and Indian tribes are required to follow if they establish, 
maintain, or enforce routing designations over which a non-radioactive 
hazardous material (NRHM) in a quantity which requires placarding may or 
may not be transported by a motor vehicle. It also provides regulations 
for motor carriers transporting placarded or marked NRHM and procedures 
for dispute resolutions regarding NRHM routing designations.



Sec.397.63  Applicability.

    The provisions of this subpart apply to any State or Indian tribe 
that establishes, maintains, or enforces any routing designations over 
which NRHM may or may not be transported by motor vehicle. They also 
apply to any motor carrier that transports or causes to be transported 
placarded or marked NRHM in commerce.

[[Page 547]]



Sec.397.65  Definitions.

    For purposes of this subpart, the following definitions apply:
    Administrator. The Federal Motor Carrier Safety Administrator, who 
is the chief executive of the Federal Motor Carrier Safety 
Administration, an agency within the United States Department of 
Transportation, or his/her designate.
    Commerce. Any trade, traffic, or transportation in the United States 
which:
    (1) Is between a place under the jurisdiction of a State or Indian 
tribe and any place outside of such jurisdiction; or
    (2) Is solely within a place under the jurisdiction of a State or 
Indian tribe but which affects trade, traffic, or transportation 
described in subparagraph (a).
    FMCSA. The Federal Motor Carrier Safety Administration, an agency 
within the Department of Transportation.
    Hazardous material. A substance or material, including a hazardous 
substance, which has been determined by the Secretary of Transportation 
to be capable of posing an unreasonable risk to health, safety, or 
property when transported in commerce, and which has been so designated.
    Indian tribe. Has the same meaning as contained in section 4 of the 
Indian Self-Determination and Education Act, 25 U.S.C. 450b.
    Motor carrier. A for-hire motor carrier or a private motor carrier 
of property. The term includes a motor carrier's agents, officers and 
representatives as well as employees responsible for hiring, 
supervising, training, assigning, or dispatching of drivers.
    Motor vehicle. Any vehicle, machine, tractor, trailer, or 
semitrailer propelled or drawn by mechanical power and used upon the 
highways in the transportation of passengers or property, or any 
combination thereof.
    NRHM. A non-radioactive hazardous material transported by motor 
vehicle in types and quantities which require placarding, pursuant to 
Table 1 or 2 of 49 CFR 172.504.
    Political subdivision. A municipality, public agency or other 
instrumentality of one or more States, or a public corporation, board, 
or commission established under the laws of one or more States.
    Radioactive material. As defined in 49 CFR 173.403, radioactive 
material means any material containing radionuclides where both the 
activity concentration and the total activity in the consignment exceed 
the values of the table in 49 CFR 173.436 or values derived according to 
the instructions in 49 CFR 173.433.
    Routing agency. The State highway agency or other State agency 
designated by the Governor of that State, or an agency designated by an 
Indian tribe, to supervise, coordinate, and approve the NRHM routing 
designations for that State or Indian tribe.
    Routing designations. Any regulation, limitation, restriction, 
curfew, time of travel restriction, lane restriction, routing ban, port-
of-entry designation, or route weight restriction, applicable to the 
highway transportation of NRHM over a specific highway route or portion 
of a route.
    Secretary. The Secretary of Transportation.
    State. A State of the United States, the District of Columbia, the 
Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana 
Islands, the Virgin Islands, American Samoa or Guam.

[59 FR 51830, Oct. 12, 1994, as amended at 78 FR 58485, Sept. 24, 2013]



Sec.397.67  Motor carrier responsibility for routing.

    (a) A motor carrier transporting NRHM shall comply with NRHM routing 
designations of a State or Indian tribe pursuant to this subpart.
    (b) A motor carrier carrying hazardous materials required to be 
placarded or marked in accordance with 49 CFR 177.823 and not subject to 
NRHM routing designations pursuant to this subpart, shall operate the 
vehicle over routes which do not go through or near heavily populated 
areas, places where crowds are assembled, tunnels, narrow streets, or 
alleys, except where the motor carrier determines that:
    (1) There is no practicable alternative;
    (2) A reasonable deviation is necessary to reach terminals, points 
of

[[Page 548]]

loading and unloading, facilities for food, fuel, repairs, rest, or a 
safe haven; or
    (3) A reasonable deviation is required by emergency conditions, such 
as a detour that has been established by a highway authority, or a 
situation exists where a law enforcement official requires the driver to 
take an alternative route.
    (c) Operating convenience is not a basis for determining whether it 
is practicable to operate a motor vehicle in accordance with paragraph 
(b) of this section.
    (d) Before a motor carrier requires or permits a motor vehicle 
containing explosives in Class 1, Divisions 1.1, 1.2, or 1.3, or as 
defined in 49 CFR 173.50 and 173.53 respectively, to be operated, the 
carrier or its agent shall prepare a written route plan that complies 
with this section and shall furnish a copy to the driver. However, the 
driver may prepare the written plan as agent for the motor carrier when 
the trip begins at a location other than the carrier's terminal.

[59 FR 51830, Oct. 12, 1994, as amended at 78 FR 58485, Sept. 24, 2013]



Sec.397.69  Highway routing designations; preemption.

    (a) Any State or Indian tribe that establishes or modifies a highway 
routing designation over which NRHM may or may not be transported on or 
after November 14, 1994, and maintains or enforces such designation, 
shall comply with the highway routing standards set forth in Sec.
397.71 of this subpart. For purposes of this subpart, any highway 
routing designation affecting the highway transportation of NRHM, made 
by a political subdivision of a State is considered as one made by that 
State, and all requirements of this subpart apply.
    (b) Except as provided in Sec. Sec.397.75 and 397.219, an NRHM 
route designation made in violation of paragraph (a) of this section is 
preempted pursuant to section 105(b)(4) of the Hazardous Materials 
Transportation Act (49 U.S.C. app. 1804(b)(4)). This provision shall 
become effective after November 14, 1996.
    (c) A highway routing designation established by a State, political 
subdivision, or Indian tribe before November 14, 1994 is subject to 
preemption in accordance with the preemption standards in paragraphs 
(a)(1) and (a)(2) of Sec.397.203 of this subpart.
    (d) A State, political subdivision, or Indian tribe may petition for 
a waiver of preemption in accordance with Sec.397.213 of this part.

[59 FR 51830, Oct. 12, 1994, as amended at 78 FR 58485, Sept. 24, 2013]



Sec.397.71  Federal standards.

    (a) A State or Indian tribe shall comply with the Federal standards 
under paragraph (b) of this section when establishing, maintaining or 
enforcing specific NRHM routing designations over which NRHM may or may 
not be transported.
    (b) The Federal standards are as follows:
    (1) Enhancement of public safety. The State or Indian tribe shall 
make a finding, supported by the record to be developed in accordance 
with paragraphs (b)(2)(ii) and (b)(3)(iv) of this section, that any NRHM 
routing designation enhances public safety in the areas subject to its 
jurisdiction and in other areas which are directly affected by such 
highway routing designation. In making such a finding, the State or 
Indian tribe shall consider:
    (i) The factors listed in paragraph (b)(9) of this section; and
    (ii) The DOT ``Guidelines for Applying Criteria to Designate Routes 
for Transporting Hazardous Materials,'' DOT/RSPA/OHMT-89-02, July 1989 
\1\ or its most current version; or an equivalent routing analysis which 
adequately considers overall risk to the public.
---------------------------------------------------------------------------

    \1\ This document may be obtained from Federal Motor Carrier Safety 
Administration, Office of Enforcement and Compliance (MC-EC), 1200 New 
Jersey Ave., SE., Washington, DC 20590-0001.
---------------------------------------------------------------------------

    (2) Public participation. Prior to the establishment of any NRHM 
routing designation, the State or Indian tribe shall undertake the 
following actions to ensure participation by the public in the routing 
process:
    (i) The State or Indian tribe shall provide the public with notice 
of any proposed NRHM routing designation and a 30-day period in which to 
comment. At any time during this period

[[Page 549]]

or following review of the comments received, the State or Indian tribe 
shall decide whether to hold a public hearing on the proposed NRHM route 
designation. The public shall be given 30 days prior notice of the 
public hearing which shall be conducted as described in paragraph 
(b)(2)(ii) of this section. Notice for both the comment period and the 
public hearing, if one is held, shall be given by publication in at 
least two newspapers of general circulation in the affected area or 
areas and shall contain a complete description of the proposed routing 
designation, together with the date, time, and location of any public 
hearings. Notice for both the comment period and any public hearing may 
also be published in the official register of the State.
    (ii) If it is determined that a public hearing is necessary, the 
State or Indian tribe shall hold at least one public hearing on the 
record during which the public will be afforded the opportunity to 
present its views and any information or data related to the proposed 
NRHM routing designation. The State shall make available to the public, 
upon payment of prescribed costs, copies of the transcript of the 
hearing, which shall include all exhibits and documents presented during 
the hearing or submitted for the record.
    (3) Consultation with others. Prior to the establishment of any NRHM 
routing designation, the State or Indian tribe shall provide notice to, 
and consult with, officials of affected political subdivisions, States 
and Indian tribes, and any other affected parties. Such actions shall 
include the following:
    (i) At least 60 days prior to establishing a routing designation, 
the State or Indian tribe shall provide notice, in writing, of the 
proposed routing designation to officials responsible for highway 
routing in all other affected States or Indian tribes. A copy of this 
notice may also be sent to all affected political subdivisions. This 
notice shall request approval, in writing, by those States or Indian 
tribes, of the proposed routing designations. If no response is received 
within 60 days from the day of receipt of the notification of the 
proposed routing designation, the routing designation shall be 
considered approved by the affected State or Indian tribe.
    (ii) The manner in which consultation under this paragraph is 
conducted is left to the discretion of the State or Indian tribe.
    (iii) The State or Indian tribe shall attempt to resolve any concern 
or disagreement expressed by any consulted official related to the 
proposed routing designation.
    (iv) The State or Indian tribe shall keep a record of the names and 
addresses of the officials notified pursuant to this section and of any 
consultation or meeting conducted with these officials or their 
representatives. Such record shall describe any concern or disagreement 
expressed by the officials and any action undertaken to resolve such 
disagreement or address any concern.
    (4) Through routing. In establishing any NRHM routing designation, 
the State or Indian tribe shall ensure through highway routing for the 
transportation of NRHM between adjacent areas. The term ``through 
highway routing'' as used in this paragraph means that the routing 
designation must ensure continuity of movement so as to not impede or 
unnecessarily delay the transportation of NRHM. The State or Indian 
tribe shall utilize the procedures established in paragraphs (b)(2) and 
(b)(3) of this section in meeting these requirements. In addition, the 
State or Indian tribe shall make a finding, supported by a risk analysis 
conducted in accordance with paragraph (b)(1) of this section, that the 
routing designation enhances public safety. If the risk analysis shows--
    (i) That the current routing presents at least 50 percent more risk 
to the public than the deviation under the proposed routing designation, 
then the proposed routing designation may go into effect.
    (ii) That the current routing presents a greater risk but less than 
50 percent more risk to the public than the deviation under the proposed 
routing restriction, then the proposed routing restriction made by a 
State or Indian tribe shall only go into effect if it does not force a 
deviation of more than 25 miles or result in an increase of more

[[Page 550]]

than 25 percent of that part of a trip affected by the deviation, 
whichever is shorter, from the most direct route through a jurisdiction 
as compared to the intended deviation.
    (iii) That the current route has the same or less risk to the public 
than the deviation resulting from the proposed routing designation, then 
the routing designation shall not be allowed.
    (5) Agreement of other States; burden on commerce. Any NRHM routing 
designation which affects another State or Indian tribe shall be 
established, maintained, or enforced only if:
    (i) It does not unreasonably burden commerce, and
    (ii) It is agreed to by the affected State or Indian tribe within 60 
days of receipt of the notice sent pursuant to paragraph (b)(3)(i) of 
this section, or it is approved by the Administrator pursuant to Sec.
397.75.
    (6) Timeliness. The establishment of an NRHM routing designation by 
any State or Indian tribe shall be completed within 18 months of the 
notice given in either paragraph (b)(2) or (b)(3) of this section, 
whichever occurs first.
    (7) Reasonable routes to terminals and other facilities. In 
establishing or providing for reasonable access to and from designated 
routes, the State or Indian tribe shall use the shortest practicable 
route considering the factors listed in paragraph (b)(9) of this 
section. In establishing any NRHM routing designation, the State or 
Indian tribe shall provide reasonable access for motor vehicles 
transporting NRHM to reach:
    (i) Terminals,
    (ii) Points of loading, unloading, pickup and delivery, and
    (iii) Facilities for food, fuel, repairs, rest, and safe havens.
    (8) Responsibility for local compliance. The States shall be 
responsible for ensuring that all of their political subdivisions comply 
with the provisions of this subpart. The States shall be responsible for 
resolving all disputes between such political subdivisions within their 
jurisdictions. If a State or any political subdivision thereof, or an 
Indian tribe chooses to establish, maintain, or enforce any NRHM routing 
designation, the Governor, or Indian tribe, shall designate a routing 
agency for the State or Indian tribe, respectively. The routing agency 
shall ensure that all NRHM routing designations within its jurisdiction 
comply with the Federal standards in this section. The State or Indian 
tribe shall comply with the public information and reporting 
requirements contained in Sec.397.73.
    (9) Factors to consider. In establishing any NRHM routing 
designation, the State or Indian tribe shall consider the following 
factors:
    (i) Population density. The population potentially exposed to an 
NRHM release shall be estimated from the density of the residents, 
employees, motorists, and other persons in the area, using United States 
census tract maps or other reasonable means for determining the 
population within a potential impact zone along a designated highway 
route. The impact zone is the potential range of effects in the event of 
a release. Special populations such as schools, hospitals, prisons, and 
senior citizen homes shall, among other things, be considered when 
determining the potential risk to the populations along a highway 
routing. Consideration shall be given to the amount of time during which 
an area will experience a heavy population density.
    (ii) Type of highway. The characteristics of each alternative NRHM 
highway routing designation shall be compared. Vehicle weight and size 
limits, underpass and bridge clearances, roadway geometrics, number of 
lanes, degree of access control, and median and shoulder structures are 
examples of characteristics which a State or Indian tribe shall 
consider.
    (iii) Types and quantities of NRHM. An examination shall be made of 
the type and quantity of NRHM normally transported along highway routes 
which are included in a proposed NRHM routing designation, and 
consideration shall be given to the relative impact zone and risks of 
each type and quantity.
    (iv) Emergency response capabilities. In consultation with the 
proper fire, law enforcement, and highway safety agencies, consideration 
shall be given to the emergency response capabilities which may be 
needed as a result of an NRHM routing designation. The analysis of the 
emergency response capabilities shall be based upon the proximity of

[[Page 551]]

the emergency response facilities and their capabilities to contain and 
suppress NRHM releases within the impact zones.
    (v) Results of consultation with affected persons. Consideration 
shall be given to the comments and concerns of all affected persons and 
entities provided during public hearings and consultations conducted in 
accordance with this section.
    (vi) Exposure and other risk factors. States and Indian tribes shall 
define the exposure and risk factors associated with any NRHM routing 
designations. The distance to sensitive areas shall be considered. 
Sensitive areas include, but are not limited to, homes and commercial 
buildings; special populations in hospitals, schools, handicapped 
facilities, prisons and stadiums; water sources such as streams and 
lakes; and natural areas such as parks, wetlands, and wildlife reserves.
    (vii) Terrain considerations. Topography along and adjacent to the 
proposed NRHM routing designation that may affect the potential severity 
of an accident, the dispersion of the NRHM upon release and the control 
and clean up of NRHM if released shall be considered.
    (viii) Continuity of routes. Adjacent jurisdictions shall be 
consulted to ensure routing continuity for NRHM across common borders. 
Deviations from the most direct route shall be minimized.
    (ix) Alternative routes. Consideration shall be given to the 
alternative routes to, or resulting from, any NRHM route designation. 
Alternative routes shall be examined, reviewed, or evaluated to the 
extent necessary to demonstrate that the most probable alternative 
routing resulting from a routing designation is safer than the current 
routing.
    (x) Effects on commerce. Any NRHM routing designation made in 
accordance with this subpart shall not create an unreasonable burden 
upon interstate or intrastate commerce.
    (xi) Delays in transportation. No NRHM routing designations may 
create unnecessary delays in the transportation of NRHM.
    (xii) Climatic conditions. Weather conditions unique to a highway 
route such as snow, wind, ice, fog, or other climatic conditions that 
could affect the safety of a route, the dispersion of the NRHM upon 
release, or increase the difficulty of controlling it and cleaning it up 
shall be given appropriate consideration.
    (xiii) Congestion and accident history. Traffic conditions unique to 
a highway routing such as: traffic congestion; accident experience with 
motor vehicles, traffic considerations that could affect the potential 
for an accident, exposure of the public to any release, ability to 
perform emergency response operations, or the temporary closing of a 
highway for cleaning up any release shall be given appropriate 
consideration.

[36 FR 4876, Mar. 13, 1971, as amended at 72 FR 55703, Oct. 1, 2007; 78 
FR 58485, Sept. 24, 2013]



Sec.397.73  Public information and reporting requirements.

    (a) Public information. Information on NRHM routing designations 
must be made available by the States and Indian tribes to the public in 
the form of maps, lists, road signs or some combination thereof. If road 
signs are used, those signs and their placements must comply with the 
provisions of the Manual on Uniform Traffic Control Devices, \2\ 
published by the FMCSA, particularly the Hazardous Cargo signs 
identified as R14-2 and R14-3 shown in Section 2B-62 of that Manual.
---------------------------------------------------------------------------

    \2\ This publication may be purchased from the Superintendent of 
Documents, U.S. Government Printing Office (GPO), Washington, D.C. 20402 
and has Stock No. 050-001-81001-8. It is available for inspection and 
copying as prescribed in 49 CFR part 7, appendix D. See 23 CFR part 655, 
subpart F.
---------------------------------------------------------------------------

    (b) Reporting and publishing requirements. Each State or Indian 
tribe, through its routing agency, shall provide information identifying 
all NRHM routing designations which exist within its jurisdictions on 
November 14, 1994 to the Federal Motor Carrier Safety Administration, 
Office of Enforcement and Compliance (MC-EC), 1200 New Jersey Ave., SE., 
Washington, DC 20590-0001 by March 13, 1995. The State or Indian tribe 
shall include descriptions of these routing designations,

[[Page 552]]

along with the dates they were established. This information may also be 
published in each State's official register of State regulations. 
Information on any subsequent changes or new NRHM routing designations 
shall be furnished within 60 days after establishment to the FMCSA. This 
information will be available from the FMCSA, consolidated by the FMCSA, 
and published annually in whole or as updates in the Federal Register. 
Each State may also publish this information in its official register of 
---------------------------------------------------------------------------
State regulations.

(Approved by the Office of Management and Budget under control number 
2125-0554)

[36 FR 4876, Mar. 13, 1971, as amended at 72 FR 55703, Oct. 1, 2007; 78 
FR 58485, Sept. 24, 2013]



Sec.397.75  Dispute resolution.

    (a) Petition. One or more States or Indian tribes may petition the 
Administrator to resolve a dispute relating to an agreement on a 
proposed NRHM routing designation. In resolving a dispute under these 
provisions, the Administrator will provide the greatest level of safety 
possible without unreasonably burdening commerce, and ensure compliance 
with the Federal standards established at Sec.397.71 of this subpart.
    (b) Filing. Each petition for dispute resolution filed under this 
section must:
    (1) Be submitted to the Administrator, Federal Motor Carrier Safety 
Administration, 1200 New Jersey Ave., SE., Washington, DC 20590-0001. 
Attention: Office of the Chief Counsel (MC-CC).
    (2) Identify the State or Indian tribe filing the petition and any 
other State, political subdivision, or Indian tribe whose NRHM routing 
designation is the subject of the dispute.
    (3) Contain a certification that the petitioner has complied with 
the notification requirements of paragraph (c) of this section, and 
include a list of the names and addresses of each State, political 
subdivision, or Indian tribe official who was notified of the filing of 
the petition.
    (4) Clearly set forth the dispute for which resolution is sought, 
including a complete description of any disputed NRHM routing 
designation and an explanation of how the disputed routing designation 
affects the petitioner or how it impedes through highway routing. If the 
routing designation being disputed results in alternative routing, then 
a comparative risk analysis for the designated route and the resulting 
alternative routing shall be provided.
    (5) Describe any actions taken by the State or Indian tribe to 
resolve the dispute.
    (6) Explain the reasons why the petitioner believes that the 
Administrator should intervene in resolving the dispute.
    (7) Describe any proposed actions that the Administrator should take 
to resolve the dispute and how these actions would provide the greatest 
level of highway safety without unreasonably burdening commerce and 
would ensure compliance with the Federal standards established in this 
subpart.
    (c) Notice. (1) Any State or Indian tribe that files a petition for 
dispute resolution under this subpart shall mail a copy of the petition 
to any affected State, political subdivision, or Indian tribe, 
accompanied by a statement that the State, political subdivision, or 
Indian tribe may submit comments regarding the petition to the 
Administrator within 45 days.
    (2) By serving notice on any other State, political subdivision, or 
Indian tribe determined by the Administrator to be possibly affected by 
the issues in dispute or the resolution sought, or by publication in the 
Federal Register, the Administrator may afford those persons an 
opportunity to file written comments on the petition.
    (3) Any affected State, political subdivision, or Indian tribe 
submitting written comments to the Administrator with respect to a 
petition filed under this section shall send a copy of the comments to 
the petitioner and certify to the Administrator as to having complied 
with this requirement. The Administrator may notify other persons 
participating in the proceeding of the comments and provide an 
opportunity for those other persons to respond.
    (d) Court actions. After a petition for dispute resolution is filed 
in accordance with this section, no court action

[[Page 553]]

may be brought with respect to the subject matter of such dispute until 
a final decision has been issued by the Administrator or until the last 
day of the one-year period beginning on the day the Administrator 
receives the petition, whichever occurs first.
    (e) Hearings; alternative dispute resolution. Upon receipt of a 
petition filed pursuant to paragraph (a) of this section, the 
Administrator may schedule a hearing to attempt to resolve the dispute 
and, if a hearing is scheduled, will notify all parties to the dispute 
of the date, time, and place of the hearing. During the hearing the 
parties may offer any information pertinent to the resolution of the 
dispute. If an agreement is reached, it may be stipulated by the 
parties, in writing, and, if the Administrator agrees, made part of the 
decision in paragraph (f) of this section. If no agreement is reached, 
the Administrator may take the matter under consideration and announce 
his or her decision in accordance with paragraph (f) of this section. 
Nothing in this section shall be construed as prohibiting the parties 
from settling the dispute or seeking other methods of alternative 
dispute resolution prior to the final decision by the Administrator.
    (f) Decision. The Administrator will issue a decision based on the 
petition, the written comments submitted by the parties, the record of 
the hearing, and any other information in the record. The decision will 
include a written statement setting forth the relevant facts and the 
legal basis for the decision.
    (g) Record. The Administrator will serve a copy of the decision upon 
the petitioner and any other party who participated in the proceedings. 
A copy of each decision will be placed on file in the public docket. The 
Administrator may publish the decision or notice of the decision in the 
Federal Register.

[36 FR 4876, Mar. 13, 1971, as amended at 72 FR 55703, Oct. 1, 2007]



Sec.397.77  Judicial review of dispute decision.

    Any State or Indian tribe adversely affected by the Administrator's 
decision under Sec.397.75 of this subpart may seek review by the 
appropriate district court of the United States under such proceeding 
only by filing a petition with such court within 90 days after such 
decision becomes final.



          Subpart D_Routing of Class 7 (Radioactive) Materials



Sec.397.101  Requirements for motor carriers and drivers.

    (a) Except as provided in paragraph (b) of this section or in 
circumstances when there is only one practicable highway route 
available, considering operating necessity and safety, a carrier or any 
person operating a motor vehicle that contains a Class 7 (radioactive) 
material, as defined in 49 CFR 172.403, for which placarding is required 
under 49 CFR part 172 shall:
    (1) Ensure that the motor vehicle is operated on routes that 
minimize radiological risk;
    (2) Consider available information on accident rates, transit time, 
population density and activities, and the time of day and the day of 
week during which transportation will occur to determine the level of 
radiological risk; and
    (3) Tell the driver which route to take and that the motor vehicle 
contains Class 7 (radioactive) materials.
    (b) Except as otherwise permitted in this paragraph and in paragraph 
(f) of this section, a carrier or any person operating a motor vehicle 
containing a highway route controlled quantity of Class 7 (radioactive) 
materials, as defined in 49 CFR 173.403, shall operate the motor vehicle 
only over preferred routes.
    (1) For purposes of this subpart, a preferred route is an Interstate 
System highway for which an alternative route is not designated by a 
State routing agency; a State-designated route selected by a State 
routing agency pursuant to Sec.397.103; or both of the above.
    (2) The motor carrier or the person operating a motor vehicle 
containing a highway route controlled quantity of Class 7 (radioactive) 
materials, as defined in 49 CFR 173.403, shall select routes to reduce 
time in transit over the preferred route segment of the trip. An 
Interstate System bypass or Interstate System beltway around a city, 
when available, shall be used in place

[[Page 554]]

of a preferred route through a city, unless a State routing agency has 
designated an alternative route.
    (c) A motor vehicle may be operated over a route, other than a 
preferred route, only under the following conditions:
    (1) The deviation from the preferred route is necessary to pick up 
or deliver a highway route controlled quantity of Class 7 (radioactive) 
materials, to make necessary rest, fuel or motor vehicle repair stops, 
or because emergency conditions make continued use of the preferred 
route unsafe or impossible;
    (2) For pickup and delivery not over preferred routes, the route 
selected must be the shortest-distance route from the pickup location to 
the nearest preferred route entry location, and the shortest-distance 
route to the delivery location from the nearest preferred route exit 
location. Deviation from the shortest-distance pickup or delivery route 
is authorized if such deviation:
    (i) Is based upon the criteria in paragraph (a) of this section to 
minimize the radiological risk; and
    (ii) Does not exceed the shortest-distance pickup or delivery route 
by more than 25 miles and does not exceed 5 times the length of the 
shortest-distance pickup or delivery route.
    (iii) Deviations from preferred routes, or pickup or delivery routes 
other than preferred routes, which are necessary for rest, fuel, or 
motor vehicle repair stops or because of emergency conditions, shall be 
made in accordance with the criteria in paragraph (a) of this section to 
minimize radiological risk, unless due to emergency conditions, time 
does not permit use of those criteria.
    (d) A carrier (or a designated agent) who operates a motor vehicle 
which contains a package of highway route controlled quantity of Class 7 
(radioactive) materials, as defined in 49 CFR 173.403, shall prepare a 
written route plan and supply a copy before departure to the motor 
vehicle driver and a copy to the shipper (before departure for exclusive 
use shipments, as defined in 49 CFR 173.403, or within fifteen working 
days following departure for all other shipments). Any variation between 
the route plan and routes actually used, and the reason for it, shall be 
reported in an amendment to the route plan delivered to the shipper as 
soon as practicable but within 30 days following the deviation. The 
route plan shall contain:
    (1) A statement of the origin and destination points, a route 
selected in compliance with this section, all planned stops, and 
estimated departure and arrival times; and
    (2) Telephone numbers which will access emergency assistance in each 
State to be entered.
    (e) No person may transport a package of highway route controlled 
quantity of Class 7 (radioactive) materials on a public highway unless:
    (1) The driver has received within the two preceding years, written 
training on:
    (i) Requirements in 49 CFR parts 172, 173, and 177 pertaining to the 
Class 7 (radioactive) materials transported;
    (ii) The properties and hazards of the Class 7 (radioactive) 
materials being transported; and
    (iii) Procedures to be followed in case of an accident or other 
emergency.
    (2) The driver has in his or her immediate possession a certificate 
of training as evidence of training required by this section, and a copy 
is placed in his or her qualification file (see Sec.391.51 of this 
subchapter), showing:
    (i) The driver's name and operator's license number;
    (ii) The dates training was provided;
    (iii) The name and address of the person providing the training;
    (iv) That the driver has been trained in the hazards and 
characteristics of highway route controlled quantity of Class 7 
(radioactive) materials; and
    (v) A statement by the person providing the training that 
information on the certificate is accurate.
    (3) The driver has in his or her immediate possession the route plan 
required by paragraph (d) of this section and operates the motor vehicle 
in accordance with the route plan.
    (f) A person may transport irradiated reactor fuel only in 
compliance with a plan if required under 49 CFR 173.22(c) that will 
ensure the physical security of the material. Variation for security 
purposes from the requirements of this section is permitted so far as 
necessary

[[Page 555]]

to meet the requirements imposed under such a plan, or otherwise imposed 
by the U.S. Nuclear Regulatory Commission in 10 CFR part 73.
    (g) Except for packages shipped in compliance with the physical 
security requirements of the U.S. Nuclear Regulatory Commission in 10 
CFR part 73, each carrier that accepts for transportation a highway 
route controlled quantity of Class 7 (radioactive) material (see the 
definition of Highway route controlled quantity in 49 CFR 173.403), must 
file, within 90 days following the acceptance of the package, the 
following information concerning the transportation of each such package 
with the Federal Motor Carrier Safety Administration, Office of 
Enforcement and Compliance (MC-EC), 1200 New Jersey Ave. SE., 
Washington, DC 20590-0001:
    (1) The route plan required under paragraph (d) of this section, 
including all required amendments reflecting the routes actually used;
    (2) A statement identifying the names and addresses of the shipper, 
carrier and consignee; and
    (3) A copy of the shipping paper or the description of the Class 7 
(radioactive) material in the shipment required by 49 CFR 172.202 and 
172.203.

[57 FR 44131, Sept. 24, 1992, as amended at 66 FR 49874, Oct. 1, 2001; 
72 FR 55703, Oct. 1, 2007; 77 FR 59828, Oct. 1, 2012; 78 FR 58485, Sept. 
24, 2013]



Sec.397.103  Requirements for State routing designations.

    (a) The State routing agency, as defined in Sec.397.201(c), shall 
select routes to minimize radiological risk using ``Guidelines for 
Selecting Preferred Highway Routes for Highway Route Controlled Quantity 
Shipments of Radioactive Materials,'' or an equivalent routing analysis 
which adequately considers overall risk to the public. Designations must 
be preceded by substantive consultation with affected local 
jurisdictions and with any other affected States to ensure consideration 
of all impacts and continuity of designated routes.
    (b) State routing agencies may designate preferred routes as an 
alternative to, or in addition to, one or more Interstate System 
highways, including interstate system bypasses, or Interstate System 
beltways.
    (c) A State-designated route is effective when--
    (1) The State gives written notice by certified mail, return receipt 
requested, to the Federal Motor Carrier Safety Administration, Office of 
Enforcement and Compliance (MC-EC), 1200 New Jersey Ave., SE., 
Washington, DC 20590-0001. Attention: National Hazardous Materials Route 
Registry.
    (2) Receipt thereof is acknowledged in writing by the FMCSA.
    (d) A list of State-designated preferred routes and a copy of the 
``Guidelines for Selecting Preferred Highway Routes for Highway Route 
Controlled Quantity Shipments of Radioactive Materials'' are available 
upon request to Federal Motor Carrier Safety Administration, Office of 
Enforcement and Compliance (MC-EC), 1200 New Jersey Ave., SE., 
Washington, DC 20590-0001.

[57 FR 44131, Sept. 24, 1992, as amended at 66 FR 49874, Oct. 1, 2001; 
72 FR 55703, Oct. 1, 2007]



                     Subpart E_Preemption Procedures

    Source: 57 FR 44132, Sept. 24, 1992, unless otherwise noted.



Sec.397.201  Purpose and scope of the procedures.

    (a) This subpart prescribes procedures by which:
    (1) Any person, including a State, political subdivision thereof, or 
Indian tribe, directly affected by any highway routing designation for 
hazardous materials may apply to the Administrator for a determination 
as to whether that highway routing designation is preempted under 49 
U.S.C. 5125, or Sec.397.69 or Sec.397.203 of this part; and
    (2) A State, political subdivision thereof, or Indian tribe may 
apply to the Administrator for a waiver of preemption with respect to 
any highway routing designation that the State, political subdivision 
thereof, or Indian tribe acknowledges to be preempted by 49 U.S.C. 5125, 
or Sec.397.69 or Sec.397.203 of this part, or that has been 
determined by a court of competent jurisdiction to be so preempted.

[[Page 556]]

    (b) Unless otherwise ordered by the Administrator, an application 
for a preemption determination which includes an application for a 
waiver of preemption will be treated and processed solely as an 
application for a preemption determination.
    (c) For purposes of this part:
    Act means 49 U.S.C. 5101 et seq., formerly known as the Hazardous 
Materials Transportation Act.
    Administrator means the Federal Motor Carrier Safety Administrator, 
who is the chief executive of the Federal Motor Carrier Safety 
Administration, an agency of the United States Department of 
Transportation, or his/her designate.
    Hazardous material means a substance or material, including a 
hazardous substance, which has been determined by the Secretary of 
Transportation to be capable of posing an unreasonable risk to health, 
safety, or property, when transported in commerce, and which has been so 
designated.
    Indian tribe has the same meaning as contained in section 4 of the 
Indian Self-Determination and Education Act, 25 U.S.C. 450b.
    Person means an individual, firm, copartnership, corporation, 
company, association, joint-stock association, including any trustee, 
receiver, assignee, or similar representative thereof, or government, 
Indian tribe, or agency or instrumentality of any government or Indian 
tribe when it offers hazardous materials for transportation in commerce 
or transports hazardous materials in furtherance of a commercial 
enterprise, but such term does not include the United States Postal 
Service.
    Political subdivision includes a municipality; a public agency or 
other instrumentality of one or more States, or a public corporation, 
board, or commission established under the laws of one or more States.
    Routing agency means the State highway agency or other State agency 
designated by the Governor of a State, or an agency designated by an 
Indian tribe, to supervise, coordinate, and approve the highway routing 
designations for that State or Indian tribe. Any highway routing 
designation made by a political subdivision of a State shall be 
considered a designation made by that State.
    Routing designation includes any regulation, limitation, 
restriction, curfew, time of travel restriction, lane restriction, 
routing ban, port-of-entry designation, or route weight restriction 
applicable to the highway transportation of hazardous materials over a 
specific highway route or portion of a route.
    State means a State of the United States, the District of Columbia, 
the Commonwealth of Puerto Rico, the Commonwealth of the Northern 
Mariana Islands, the Virgin Islands, American Samoa, Guam, or any other 
territory or possession of the United States designated by the 
Secretary.

[57 FR 44132, Sept. 24, 1992, as amended at 59 FR 51834, Oct. 12, 1994; 
78 FR 58486, Sept. 24, 2013]



Sec.397.203  Standards for determining preemption.

    (a) Any highway routing designation established, maintained, or 
enforced by a State, political subdivision thereof, or Indian tribe is 
preempted if--
    (1) Compliance with both the highway routing designation and any 
requirement under the Act or of a regulation issued under the Act is not 
possible;
    (2) The highway routing designation as applied or enforced creates 
an obstacle to the accomplishment and execution of the Act or the 
regulations issued under the Act; or
    (3) The highway routing designation is preempted pursuant to Sec.
397.69(b) of this part.
    (b) [Reserved]

[57 FR 44132, Sept. 24, 1992, as amended at 59 FR 51834, Oct. 12, 1994]



Sec.397.205  Preemption application.

    (a) Any person, including a State, political subdivision thereof, or 
Indian tribe directly affected by any highway routing designation of 
another State, political subdivision, or Indian tribe, may apply to the 
Administrator for a determination of whether that highway routing 
designation is preempted by the Act or Sec.397.203 of this subpart. 
The Administrator shall publish notice of the application in the Federal 
Register.

[[Page 557]]

    (b) Each application filed under this section for a determination 
must:
    (1) Be submitted to the Administrator, Federal Motor Carrier Safety 
Administration, 1200 New Jersey Ave., SE., Washington, DC 20590-0001. 
Attention: Office of the Chief Counsel, Enforcement and Litigation 
Division (MC-CCE);
    (2) Set forth a detailed description of the highway routing 
designation of the State, political subdivision thereof, or Indian tribe 
for which the determination is sought;
    (3) If applicable, specify the provisions of the Act or the 
regulations issued under the Act under which the applicant seeks 
preemption of the highway routing designation of the State, political 
subdivision thereof, or Indian tribe;
    (4) Explain why the applicant believes the highway routing 
designation of the State, political subdivision thereof, or Indian tribe 
should or should not be preempted under the standards of Sec.397.203; 
and
    (5) State how the applicant is affected by the highway routing 
designation of the State, political subdivision thereof, or Indian 
tribe.
    (c) The filing of an application for a determination under this 
section does not constitute grounds for noncompliance with any 
requirement of the Act or any regulation issued under the Act.
    (d) Once the Administrator has published notice in the Federal 
Register of an application received under paragraph (a) of this section, 
no applicant for such determination may seek relief with respect to the 
same or substantially the same issue in any court until final action has 
been taken on the application or until 180 days after filing of the 
application, whichever occurs first. Nothing in this section shall be 
construed as prohibiting any person, including a State, political 
subdivision thereof, or Indian tribe, directly affected by any highway 
routing designation from seeking a determination of preemption in any 
court of competent jurisdiction in lieu of applying to the Administrator 
under paragraph (a) of this section.

[57 FR 44132, Sept. 24, 1992, as amended at 72 FR 55703, Oct. 1, 2007]



Sec.397.207  Preemption notice.

    (a) If the applicant is other than a State, political subdivision 
thereof, or Indian tribe, the applicant shall mail a copy of the 
application to the State, political subdivision thereof, or Indian tribe 
concerned, accompanied by a statement that comments may be submitted 
regarding the application to the Administrator within 45 days. The 
application filed with the Administrator must include a certification 
that the applicant has complied with this paragraph and must include the 
names and addresses of each official to whom a copy of the application 
was sent.
    (b) The Administrator may afford interested persons an opportunity 
to file written comments on the application by serving notice on any 
persons readily identifiable by the Administrator as persons who will be 
affected by the ruling sought or by publication in the Federal Register.
    (c) Each person submitting written comments to the Administrator 
with respect to an application filed under this section shall send a 
copy of the comments to the applicant and certify to the Administrator 
that he or she has complied with this requirement. The Administrator may 
notify other persons participating in the proceeding of the comments and 
provide an opportunity for those other persons to respond.



Sec.397.209  Preemption processing.

    (a) The Administrator may initiate an investigation of any statement 
in an application and utilize in his or her evaluation any relevant 
facts obtained by that investigation. The Administrator may solicit and 
accept submissions from third persons relevant to an application and 
will provide the applicant an opportunity to respond to all third person 
submissions. In evaluating an application, the Administrator may 
consider any other source of information. The Administrator may convene 
a hearing or conference, if a hearing or conference will advance the 
evaluation of the application.
    (b) The Administrator may dismiss the application without prejudice 
if:
    (1) he or she determines that there is insufficient information upon 
which to base a determination; or

[[Page 558]]

    (2) he or she requests additional information from the applicant and 
it is not submitted.



Sec.397.211  Preemption determination.

    (a) Upon consideration of the application and other relevant 
information received, the Administrator issues a determination.
    (b) Notwithstanding that an application for a determination has not 
been filed under Sec.397.205, the Administrator, on his or her own 
initiative, may issue a determination as to whether a particular highway 
routing designation of a State, political subdivision thereof, or Indian 
tribe is preempted under the Act or the regulations issued under the 
Act.
    (c) The determination includes a written statement setting forth the 
relevant facts and the legal basis for the determination, and provides 
that any person aggrieved thereby may file a petition for 
reconsideration within 20 days in accordance with Sec.397.223.
    (d) Unless the determination is issued pursuant to paragraph (b) of 
this section, the Administrator serves a copy of the determination upon 
the applicant. In all preemption determinations, the Administrator 
serves a copy of the determination upon any other person who 
participated in the proceeding or who is readily identifiable by the 
Administrator as affected by the determination. A copy of each 
determination is placed on file in the public docket. The Administrator 
may publish the determination or notice of the determination in the 
Federal Register.
    (e) If no petition for reconsideration is filed within 20 days in 
accordance with Sec.397.223, a determination issued under this section 
constitutes the final agency decision as to whether a particular highway 
routing designation of a State, political subdivision thereof, or Indian 
tribe is preempted under the Act or regulations issued thereunder. The 
fact that a determination has not been issued under this section with 
respect to a particular highway routing designation of a State, 
political subdivision thereof, or Indian tribe carries no implication as 
to whether the requirement is preempted under the Act or regulations 
issued thereunder.



Sec.397.213  Waiver of preemption application.

    (a) Any State, political subdivision thereof, or Indian tribe may 
apply to the Administrator for a waiver of preemption with respect to 
any highway routing designation that the State, political subdivision 
thereof, or Indian tribe acknowledges to be preempted by the Act, Sec.
397.203 of this subpart, or a court of competent jurisdiction. The 
Administrator may waive preemption with respect to such requirement upon 
a determination that such requirement--
    (1) Affords an equal or greater level of protection to the public 
than is afforded by the requirements of the Act or regulations issued 
under the Act, and
    (2) Does not unreasonably burden commerce.
    (b) Each application filed under this section for a waiver of 
preemption determination must:
    (1) Be submitted to the Administrator, Federal Motor Carrier Safety 
Administration, 1200 New Jersey Ave., SE., Washington, DC 20590-0001. 
Attention: Office of the Chief Counsel, Enforcement and Litigation 
Division (MC-CCE);
    (2) Set forth a detailed description of the highway routing 
designation of the State, political subdivision thereof, or Indian tribe 
for which the determination is being sought;
    (3) Include a copy of any relevant court order or determination 
issued pursuant to Sec.397.211;
    (4) Contain an express acknowledgment by the applicant that the 
highway routing designation of the State, political subdivision thereof, 
or Indian tribe is preempted under the Act or the regulations issued 
under the Act, unless it has been so determined by a court of competent 
jurisdiction or in a determination issued under this subpart;
    (5) Specify each provision of the Act or the regulations issued 
under the Act that preempts the highway routing designation of the 
State, political subdivision thereof, or Indian tribe;
    (6) State why the applicant believes that the highway routing 
designation of the State, political subdivision thereof, or Indian tribe 
affords an equal

[[Page 559]]

or greater level of protection to the public than is afforded by the 
requirements of the Act or the regulations issued under the Act;
    (7) State why the applicant believes that the highway routing 
designation of the State, political subdivision thereof, or Indian tribe 
does not unreasonably burden commerce; and
    (8) Specify what steps the State, political subdivision thereof, or 
Indian tribe is taking to administer and enforce effectively the 
preempted requirement.

[57 FR 44132, Sept. 24, 1992, as amended at 72 FR 55703, Oct. 1, 2007; 
78 FR 58486, Sept. 24, 2013]



Sec.397.215  Waiver notice.

    (a) The applicant State, political subdivision thereof, or Indian 
tribe shall mail a copy of the application and any subsequent amendments 
or other documents relating to the application to each person whom the 
applicant reasonably ascertains will be affected by the determination 
sought. The copy of the application must be accompanied by a statement 
that the person may submit comments regarding the application to the 
Administrator within 45 days. The application filed with the 
Administrator must include a certification with the application has 
complied with this paragraph and must include the names and addresses of 
each person to whom the application was sent.
    (b) Notwithstanding the provisions of paragraph (a) of this section, 
if the State, political subdivision thereof, or Indian tribe determines 
that compliance with paragraph (a) of this section would be 
impracticable, the applicant shall:
    (1) Comply with the requirements of paragraph (a) of this section 
with regard to those persons whom it is reasonable and practicable to 
notify; and
    (2) Include with the application filed with the Administrator a 
description of the persons or class or classes of persons to whom notice 
was not sent.
    (c) The Administrator may require the applicant to provide notice in 
addition to that required by paragraphs (a) and (b) of this section, or 
may determine that the notice required by paragraph (a) of this section 
is not impracticable, or that notice should be published in the Federal 
Register.
    (d) The Administrator may serve notice on any other persons readily 
identifiable by the Administrator as persons who will be affected by the 
determination sought and may afford those persons an opportunity to file 
written comments on the application.
    (e) Any person submitting written comments to the Administrator with 
respect to an application filed under this section shall send a copy of 
the comments to the applicant. The person shall certify to the 
Administrator that he or she has complied with the requirements of this 
paragraph. The Administrator may notify other persons participating in 
the proceeding of the comments and provide an opportunity for those 
other persons to respond.



Sec.397.217  Waiver processing.

    (a) The Administrator may initiate an investigation of any statement 
in an application and utilize any relevant facts obtained by that 
investigation. The Administrator may solicit and accept submissions from 
third persons relevant to an application and will provide the applicant 
an opportunity to respond to all third person submissions. In evaluating 
an application, the Administrator may convene a hearing or conference, 
if a hearing or conference will advance the evaluation of the 
application.
    (b) The Administrator may dismiss the application without prejudice 
if:
    (1) he or she determines that there is insufficient information upon 
which to base a determination;
    (2) Upon his or her request, additional information is not submitted 
by the applicant; or
    (3) The applicant fails to provide the notice required by this 
subpart.
    (c) Except as provided in this subpart, the Administrator will only 
consider an application for a waiver of preemption determination if:
    (1) The applicant expressly acknowledges in its application that the 
highway routing designation of the State, political subdivision thereof, 
or Indian tribe for which the determination is sought is preempted by 
the Act or the regulations thereunder; or

[[Page 560]]

    (2) The highway routing designation of the State, political 
subdivision thereof, or Indian tribe has been determined by a court of 
competent jurisdiction or in a determination issued pursuant to Sec.
397.211 to be preempted by the Act or the regulations issued thereunder.
    (d) When the Administrator has received all substantive information 
necessary to process an application for a waiver of preemption 
determination, notice of that fact will be served upon the applicant. 
Additional notice to all other persons who received notice of the 
proceeding may be served by publishing a notice in the Federal Register.



Sec.397.219  Waiver determination and order.

    (a) Upon consideration of the application and other relevant 
information received or obtained during the proceeding, the 
Administrator issues an order setting forth his or her determination.
    (b) The Administrator may issue a waiver of preemption order only if 
he or she finds that the requirement of the State, political subdivision 
thereof, or Indian tribe affords the public a level of safety at least 
equal to that afforded by the requirements of the Act and the 
regulations issued under the Act and does not unreasonably burden 
commerce. In determining whether the requirement of the State, political 
subdivision thereof, or Indian tribe unreasonably burdens commerce, the 
Administrator may consider the following factors:
    (1) The extent to which increased costs and impairment of efficiency 
result from the highway routing designation of the State, political 
subdivision thereof, or Indian tribe;
    (2) Whether the highway routing designation of the State, political 
subdivision thereof, or Indian tribe has a rational basis;
    (3) Whether the highway routing designation of the State, political 
subdivision thereof, or Indian tribe achieves its stated purpose; and
    (4) Whether there is need for uniformity with regard to the subject 
concerned and if so, whether the highway routing designation of the 
State, political subdivision thereof, or Indian tribe competes or 
conflicts with those of other States, political subdivisions thereof, or 
Indian tribes.
    (c) The order includes a written statement setting forth the 
relevant facts and the legal basis for the determination, and provides 
that any person aggrieved by the order may file a petition for 
reconsideration in accordance with Sec.397.223.
    (d) The Administrator serves a copy of the order upon the applicant, 
any other person who participated in the proceeding and upon any other 
person readily identifiable by the Administrator as one who may be 
affected by the order. A copy of each order is placed on file in the 
public docket. The Administrator may publish the order or notice of the 
order in the Federal Register.
    (e) If no petition for reconsideration is filed within 20 days in 
accordance with Sec.397.223, an order issued under this section 
constitutes the final agency decision regarding whether a particular 
requirement of a State, political subdivision thereof, or Indian tribe 
is preempted under the Act or any regulations issued thereunder, or 
whether preemption is waived.



Sec.397.221  Timeliness.

    If the Administrator fails to take action on the application within 
90 days of serving the notice required by Sec.397.217(d), the 
applicant may treat the application as having been denied in all 
respects.



Sec.397.223  Petition for reconsideration.

    (a) Any person aggrieved by an order issued under Sec.397.211 or 
Sec.397.219 may file a petition for reconsideration with the 
Administrator. The petition must be filed within 20 days of service of 
the determination or order issued under the above sections.
    (b) The petition must contain a concise statement of the basis for 
seeking reconsideration, including any specific factual or legal errors, 
or material information not previously available.
    (c) The petitioner shall mail a copy of the petition to each person 
who participated, either as an applicant or routing, in the waiver of 
preemption

[[Page 561]]

proceeding, accompanied by a statement that the person may submit 
comments concerning the petition to the Administrator within 20 days. 
The petition filed with the Administrator must contain a certification 
that the petitioner has complied with this paragraph and include the 
names and addresses of all persons to whom a copy of the petition was 
sent.
    (d) The Administrator's decision under this section constitutes the 
final agency decision. If no petition for reconsideration is filed under 
this section, then the determination issued under Sec.397.211 or Sec.
397.219 becomes the final agency decision at the end of the 20 day 
period.



Sec.397.225  Judicial review.

    A party to a proceeding under Sec.397.205(a), Sec.397.213(a), or 
Sec.397.223(a) may seek review by the appropriate district court of 
the United States of the decision of the Administrator under such 
proceeding only by filing a petition with such court within 60 days 
after the final agency decision.



PART 398_TRANSPORTATION OF MIGRANT WORKERS--Table of Contents



Sec.
398.1 Definitions.
398.2 Applicability.
398.3 Qualifications of drivers or operators.
398.4 Driving of motor vehicles.
398.5 Parts and accessories necessary for safe operation.
398.6 Hours of service of drivers; maximum driving time.
398.7 Inspection and maintenance of motor vehicles.
398.8 Administration inspection of motor vehicles in operation.

    Authority: 49 U.S.C. 13301, 13902, 31132, 31133, 31136, 31502, and 
31504; sec. 204, Pub. L. 104-88, 109 Stat. 803, 941 (49 U.S.C. 701 
note); sec. 212, Pub. L. 106-159, 113 Stat. 1748, 1766; and 49 CFR 1.87.

    Source: 33 FR 19765, Dec. 25, 1968, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 398 appear at 66 FR 
49874, Oct. 1, 2001.



Sec.398.1  Definitions.

    (a) Migrant worker. ``Migrant worker'' means any individual 
proceeding to or returning from employment in agriculture as defined in 
section 3(f) of the Fair Labor Standards Act of 1938, as amended (29 
U.S.C. 203(f)) or section 3121(g) of the Internal Revenue Code of 1954 
(26 U.S.C. 3121(g)).
    (b) Carrier of migrant workers by motor vehicle. ``Carrier of 
migrant worker by motor vehicle'' means any person, including any 
``contract carrier by motor vehicle'', but not including any ``common 
carrier by motor vehicle'', who or which transports in interstate or 
foreign commerce at any one time three or more migrant workers to or 
from their employment by any motor vehicle other than a passenger 
automobile or station wagon, except a migrant worker transporting 
himself/herself or his/her immediate family.
    (c) Motor carrier. ``Motor carrier'' means any carrier of migrant 
workers by motor vehicle as defined in paragraph (b) of this section.
    (d) Motor vehicle. ``Motor vehicle'' means any vehicle, machine, 
tractor, trailer, or semitrailer propelled or drawn by mechanical power 
and used upon the highways in the transportation of passengers or 
property, or any combination thereof, determined by the Administration, 
but does not include a passenger automobile or station wagon, any 
vehicle, locomotive, or car operated exclusively on a rail or rails, or 
a trolley bus operated by electric power derived from a fixed overhead 
wire, furnishing local passenger transportation in street-railway 
service.
    (e) Bus. ``Bus'' means any motor vehicle designed, constructed, and 
used for the transportation of passengers: Except passenger automobiles 
or station wagons other than taxicabs.
    (f) Truck. ``Truck'' means any self-propelled motor vehicle except a 
truck tractor, designed and constructed primarily for the transportation 
of property.
    (g) Truck tractor. ``Truck tractor'' means a self-propelled motor 
vehicle designed and used primarily for drawing other vehicles and not 
so constructed as to carry a load other than a part of the weight of the 
vehicle and load so drawn.
    (h) Semitrailer. ``Semitrailer'' means any motor vehicle other than 
a ``pole trailer'', with or without motive power designed to be drawn by 
another motor

[[Page 562]]

vehicle and so constructed that some part of its weight rests upon the 
towing vehicle.
    (i) Driver or operator. ``Driver or operator'' means any person who 
drives any motor vehicle.
    (j) Highway. ``Highway'' means the entire width between the boundary 
lines of every way publicly maintained when any part thereof is open to 
the use of the public for purposes of vehicular traffic.



Sec.398.2  Applicability.

    (a) General. The regulations prescribed in this part are applicable 
to carriers of migrant workers by motor vehicle, as defined in Sec.
398.1(b), but only in the case of transportation of any migrant worker 
for a total distance of more than 75 miles (120.7 kilometers) in 
interstate commerce, as defined in 49 CFR 390.5.
    (b) Exception. (1) The regulations prescribed in this part are not 
applicable to carriers of migrant workers by motor vehicle, as defined 
in Sec.398.1(b), when:
    (i) The motor vehicle is designed or used to transport between 9 and 
15 passengers (including the driver);
    (ii) The motor carrier is directly compensated for the 
transportation service; and
    (iii) The vehicle used to transport mirgrant workers is operated 
beyond a 75 air-mile radius (86.3 statute miles or 138.9 kilometers) 
from the driver's normal work-reporting location.
    (2) Carriers of migrant workers by motor vehicle that operate 
vehicles, designed or used to transport between 9 and 15 passengers 
(including the driver) for direct compensation, in interstate commerce, 
must comply with the applicable requirements of 49 CFR parts 385, 390, 
391, 392, 393, 395, and 396, when the motor vehicle is operated beyond a 
75 air-mile radius (86.3 statute miles or 138.9 kilometers) from the 
driver's normal work-reporting location.

[68 FR 47875, Aug. 12, 2003]



Sec.398.3  Qualifications of drivers or operators.

    (a) Compliance required. Every motor carrier, and its officers, 
agents, representatives and employees who drive motor vehicles or are 
responsible for the hiring, supervision, training, assignment or 
dispatching of drivers shall comply and be conversant with the 
requirements of this part.
    (b) Minimum physical requirements. No person shall drive, nor shall 
any motor carrier require or permit any person to drive, any motor 
vehicle unless such person possesses the following minimum 
qualifications:
    (1) No loss of foot, leg, hand or arm,
    (2) No mental, nervous, organic, or functional disease, likely to 
interfere with safe driving.
    (3) No loss of fingers, impairment of use of foot, leg, fingers, 
hand or arm, or other structural defect or limitation, likely to 
interfere with safe driving.
    (4) Eyesight. Visual acuity of at least 20/40 (Snellen) in each eye 
either without glasses or by correction with glasses; form field of 
vision in the horizontal meridian shall not be less than a total of 140 
degrees; ability to distinguish colors red, green and yellow; drivers 
requiring correction by glasses shall wear properly prescribed glasses 
at all times when driving.
    (5) Hearing. Hearing shall not be less than 10/20 in the better ear, 
for conversational tones, without a hearing aid.
    (6) Liquor, narcotics and drugs. Shall not be addicted to the use of 
narcotics or habit forming drugs, or the excessive use of alcoholic 
beverages or liquors.
    (7) Initial and periodic physical examination of drivers. No person 
shall drive nor shall any motor carrier require or permit any person to 
drive any motor vehicle unless within the immediately preceding 36 month 
period such person shall have been physically examined and shall have 
been certified in accordance with the provisions of paragraph (b)(8) of 
this section by a licensed doctor of medicine or osteopathy as meeting 
the requirements of this subsection.
    (8) Certificate of physical examination. Every motor carrier shall 
have in its files at its principal place of business for every driver 
employed or used by it a legible certificate of a licensed doctor of 
medicine or osteopathy based on a physical examination as required by 
paragraph (b)(7) of this section or a legible photographically 
reproduced copy

[[Page 563]]

thereof, and every driver shall have in his/her possession while 
driving, such a certificate or a photographically reproduced copy 
thereof covering himself/herself.
    (9) Doctor's certificate. The doctor's certificate shall certify as 
follows:

                          Doctor's Certificate

                       (Driver of Migrant Workers)

    This is to certify that I have this day examined -------------- in 
accordance with Sec.398.3(b) of the Federal Motor Carrier Safety 
Regulations of the Federal Motor Carrier Safety Administration and that 
I find him/her
    Qualified under said rules [squ]
    Qualified only when wearing glasses [squ]
    I have kept on file in my office a completed examination.

________________________________________________________________________
                                                                  (Date)

                                                                 (Place)

                                         (Signature of examining doctor)
________________________________________________________________________
                                                     (Address of doctor)
Signature of driver_____________________________________________________
Address of driver_______________________________________________________

    (c) Minimum age and experience requirements. No person shall drive, 
nor shall any motor carrier require or permit any person to drive, any 
motor vehicle unless such person possesses the following minimum 
qualifications:
    (1) Age. Minimum age shall be 21 years.
    (2) Driving skill. Experience in driving some type of motor vehicle 
(including private automobiles) for not less than one year, including 
experience throughout the four seasons.
    (3) Knowledge of regulations. Familiarity with the rules and 
regulations prescribed in this part pertaining to the driving of motor 
vehicles.
    (4) Knowledge of English. Every driver shall be able to read and 
speak the English language sufficiently to understand highway traffic 
signs and signals and directions given in English and to respond to 
official inquiries.
    (5) Driver's permit. Possession of a valid permit qualifying the 
driver to operate the type of vehicle driven by him/her in the 
jurisdiction by which the permit is issued.

[33 FR 19765, Dec. 25, 1968, as amended at 40 FR 44557, Sept. 29, 1975]



Sec.398.4  Driving of motor vehicles.

    (a) Compliance required. Every motor carrier shall comply with the 
requirements of this part, shall instruct its officers, agents, 
representatives and drivers with respect thereto, and shall take such 
measures as are necessary to insure compliance therewith by such 
persons. All officers, agents, representatives, drivers, and employees 
of motor carriers directly concerned with the management, maintenance, 
operation, or driving of motor vehicles, shall comply with and be 
conversant with the requirements of this part.
    (b) Driving rules to be obeyed. Every motor vehicle shall be driven 
in accordance with the laws, ordinances, and regulations of the 
jurisdiction in which it is being operated, unless such laws, ordinances 
and regulations are at variance with specific regulations of this 
Administration which impose a greater affirmative obligation or 
restraint.
    (c) Driving while ill or fatigued. No driver shall drive or be 
required or permitted to drive a motor vehicle while his/her ability or 
alertness is so impaired through fatigue, illness, or any other cause as 
to make it unsafe for him/her to begin or continue to drive, except in 
case of grave emergency where the hazard to passengers would be 
increased by observance of this section and then only to the nearest 
point at which the safety of passengers is assured.
    (d) Alcoholic beverages. No driver shall drive or be required or 
permitted to drive a motor vehicle, be in active control of any such 
vehicle, or go on duty or remain on duty, when under the influence of 
any alcoholic beverage or liquor, regardless of its alcoholic content, 
nor shall any driver drink any such beverage or liquor while on duty.
    (e) Schedules to conform with speed limits. No motor carrier shall 
permit nor require the operation of any motor vehicle between points in 
such period of time as would necessitate the vehicle being operated at 
speeds greater than those prescribed by the jurisdictions in or through 
which the vehicle is being operated.
    (f) Equipment and emergency devices. No motor vehicle shall be 
driven unless the driver thereof shall have satisfied

[[Page 564]]

himself/herself that the following parts, accessories, and emergency 
devices are in good working order; nor shall any driver fail to use or 
make use of such parts, accessories, and devices when and as needed:

Service brakes, including trailer brake connections.
    Parking (hand) brake.
    Steering mechanism.
Lighting devices and reflectors.
    Tires.
    Horn.
    Windshield wiper or wipers.
Rear-vision mirror or mirrors.
Coupling devices.
Fire extinguisher, at least one properly mounted.
Road warning devices, at least one red burning fusee and at least three 
flares (oil burning pot torches), red electric lanterns, or red 
emergency reflectors.

    (g) Safe loading--(1) Distribution and securing of load. No motor 
vehicle shall be driven nor shall any motor carrier permit or require 
any motor vehicle to be driven if it is so loaded, or if the load 
thereon is so improperly distributed or so inadequately secured, as to 
prevent its safe operation.
    (2) Doors, tarpaulins, tailgates and other equipment. No motor 
vehicle shall be driven unless the tailgate, tailboard, tarpaulins, 
doors, all equipment and rigging used in the operation of said vehicle, 
and all means of fastening the load, are securely in place.
    (3) Interference with driver. No motor vehicle shall be driven when 
any object obscures his/her view ahead, or to the right or left sides, 
or to the rear, or interferes with the free movement of his/her arms or 
legs, or prevents his/her free and ready access to the accessories 
required for emergencies, or prevents the free and ready exit of any 
person from the cab or driver's compartment.
    (4) Property on motor vehicles. No vehicle transporting persons and 
property shall be driven unless such property is stowed in a manner 
which will assure:
    (i) Unrestricted freedom of motion to the driver for proper 
operation of the vehicle;
    (ii) Unobstructed passage to all exits by any person; and
    (iii) Adequate protection to passengers and others from injury as a 
result of the displacement or falling of such articles.
    (5) Maximum passengers on motor vehicles. No motor vehicle shall be 
driven if the total number of passengers exceeds the seating capacity 
which will be permitted on seats prescribed in Sec.398.5(f) when that 
section is effective. All passengers carried on such vehicle shall 
remain seated while the motor vehicle is in motion.
    (h) Rest and meal stops. Every carrier shall provide for reasonable 
rest stops at least once between meal stops. Meal stops shall be made at 
intervals not to exceed six hours and shall be for a period of not less 
than 30 minutes duration.
    (i) Kinds of motor vehicles in which workers may be transported. 
Workers may be transported in or on only the following types of motor 
vehicles: A bus, a truck with no trailer attached, or a semitrailer 
attached to a truck-tractor provided that no other trailer is attached 
to the semitrailer. Closed vans without windows or means to assure 
ventilation shall not be used.
    (j) Limitation on distance of travel in trucks. Any truck when used 
for the transportation of migrant workers, if such workers are being 
transported in excess of 600 miles, shall be stopped for a period of not 
less than eight consecutive hours either before or upon completion of 
600 miles travel, and either before or upon completion of any subsequent 
600 miles travel to provide rest for drivers and passengers.
    (k) Lighting devices and reflectors. No motor vehicle shall be 
driven when any of the required lamps or reflectors are obscured by the 
tailboard, by any and all lighting devices required by subpart B of part 
393 of this subchapter shall be lighted during darkness or at any other 
time when there is not sufficient light to render vehicles and persons 
visible upon the highway at a distance of 500 feet.
    (l) Ignition of fuel; prevention. No driver or any employee of a 
motor carrier shall:
    (1) Fuel a motor vehicle with the engine running, except when it is 
necessary to run the engine to fuel the vehicle;
    (2) Smoke or expose any open flame in the vicinity of a vehicle 
being fueled;

[[Page 565]]

    (3) Fuel a motor vehicle unless the nozzle of the fuel hose is 
continuously in contact with the intake pipe of the fuel tank;
    (4) Permit any other person to engage in such activities as would be 
likely to result in fire or explosion.
    (m) Reserve fuel. No supply of fuel for the propulsion of any motor 
vehicle or for the operation of any accessory thereof shall be carried 
on the motor vehicle except in a properly mounted fuel tank or tanks.
    (n) Driving by unauthorized person. Except in case of emergency, no 
driver shall permit a motor vehicle to which he/she is assigned to be 
driven by any person not authorized to drive such vehicle by the motor 
carrier in control thereof.
    (o) Protection of passengers from weather. No motor vehicle shall be 
driven while transporting passengers unless the passengers therein are 
protected from inclement weather conditions such as rain, snow, or 
sleet, by use of the top or protective devices required by Sec.
398.5(f).
    (p) Unattended vehicles; precautions. No motor vehicle shall be left 
unattended by the driver until the parking brake has been securely set, 
the wheels chocked, and all reasonable precautions have been taken to 
prevent the movement of such vehicle.
    (q) Railroad grade crossings; stopping required; sign on rear of 
vehicle. Every motor vehicle shall, upon approaching any railroad grade 
crossing, make a full stop not more than 50 feet, nor less than 15 feet 
from the nearest rail of such railroad grade crossing, and shall not 
proceed until due caution has been taken to ascertain that the course is 
clear; except that a full stop need not be made at:
    (1) A street car crossing within a business or residence district of 
a municipality;
    (2) A railroad grade crossing where a police officer or a traffic-
control signal (not a railroad flashing signal) directs traffic to 
proceed;
    (3) An abandoned or exempted grade crossing which is clearly marked 
as such by or with the consent of the proper state authority, when such 
marking can be read from the driver's position.


All such motor vehicles shall display a sign on the rear reading, ``This 
Vehicle Stops at Railroad Crossings.''

[33 FR 19765, Dec. 25, 1968, as amended at 40 FR 44557, Sept. 29, 1975]



Sec.398.5  Parts and accessories necessary for safe operation.

    (a) Compliance. Every motor carrier and its officers, agents, 
drivers, representatives and employees directly concerned with the 
installation and maintenance of equipment and accessories shall comply 
and be conversant with the requirements and specifications of this part, 
and no motor carrier shall operate any motor vehicle, or cause or permit 
it to be operated, unless it is equipped in accordance with said 
requirements and specifications.
    (b) Lighting devices. Every motor vehicle shall be equipped with the 
lighting devices and reflectors required by subpart B of part 393 of 
this subchapter.
    (c) Brakes. Every motor vehicle shall be equipped with brakes as 
required by subpart C of part 393 of this subchapter, except Sec.
393.44 of this subchapter, and shall satisfy the braking performance 
requirements contained therein.
    (d) Coupling devices; fifth wheel mounting and locking. The lower 
half of every fifth wheel mounted on any truck-tractor or dolly shall be 
securely affixed to the frame thereof by U-bolts of adequate size, 
securely tightened, or by other means providing at least equivalent 
security. Such U-bolts shall not be of welded construction. The 
installation shall be such as not to cause cracking, warping, or 
deformation of the frame. Adequate means shall be provided positively to 
prevent the shifting of the lower half of a fifth wheel on the frame to 
which it is attached. The upper half of every fifth wheel shall be 
fastened to the motor vehicle with at least the security required for 
the securing of the lower half to a truck-tractor or dolly. Locking 
means shall be provided in every fifth wheel mechanism including 
adapters when used, so that the upper and lower halves may not be 
separated without the operation of a positive manual release. A release 
mechanism operated by the driver from the cab

[[Page 566]]

shall be deemed to meet this requirement. On fifth wheels designed and 
constructed as to be readily separable, the fifth wheel locking devices 
shall apply automatically on coupling for any motor vehicle the date of 
manufacture of which is subsequent to December 31, 1952.
    (e) Tires. Every motor vehicle shall be equipped with tires of 
adequate capacity to support its gross weight. No motor vehicle shall be 
operated on tires which have been worn so smooth as to expose any tread 
fabric or which have any other defect likely to cause failure. No 
vehicle shall be operated while transporting passengers while using any 
tire which does not have tread configurations on that part of the tire 
which is in contact with the road surface. No vehicle transporting 
passengers shall be operated with re-grooved, re-capped, or re-treaded 
tires on front wheels.
    (f) Passenger compartment. Every motor vehicle transporting 
passengers, other than a bus, shall have a passenger compartment meeting 
the following requirements:
    (1) Floors. A substantially smooth floor, without protruding 
obstructions more than two inches high, except as are necessary for 
securing seats or other devices to the floor, and without cracks or 
holes.
    (2) Sides. Side walls and ends above the floor at least 60 inches 
high, by attachment of sideboards to the permanent body construction if 
necessary. Stake body construction shall be construed to comply with 
this requirement only if all six-inch or larger spaces between stakes 
are suitably closed to prevent passengers from falling off the vehicle.
    (3) Nails, screws, splinters. The floor and the interior of the 
sides and ends of the passenger-carrying space shall be free of inwardly 
protruding nails, screws, splinters, or other projecting objects likely 
to be injurious to passengers or their apparel.
    (4) Seats. On and after November 1, 1957, a seat shall be provided 
for each worker transported. The seats shall be: Securely attached to 
the vehicle during the course of transportation; not less than 16 inches 
nor more than 19 inches above the floor; at least 13 inches deep; 
equipped with backrests extending to a height of at least 36 inches 
above the floor, with at least 24 inches of space between the backrests 
or between the edges of the opposite seats when face to face; designed 
to provide at least 18 inches of seat for each passenger; without cracks 
more than two inches wide, and the exposed surfaces, if made of wood, 
planed or sanded smooth and free of splinters.
    (5) Protection from weather. Whenever necessary to protect the 
passengers from inclement weather conditions, be equipped with a top at 
least 80 inches high above the floor and facilities for closing the 
sides and ends of the passenger-carrying compartment. Tarpaulins or 
other such removable devices for protection from the weather shall be 
secured in place.
    (6) Exit. Adequate means of ingress and egress to and from the 
passenger space shall be provided on the rear or at the right side. Such 
means of ingress and egress shall be at least 18 inches wide. The top 
and the clear opening shall be at least 60 inches high, or as high as 
the side wall of the passenger space if less than 60 inches. The bottom 
shall be at the floor of the passenger space.
    (7) Gates and doors. Gates or doors shall be provided to close the 
means of ingress and egress and each such gate or door shall be equipped 
with at least one latch or other fastening device of such construction 
as to keep the gate or door securely closed during the course of 
transportation; and readily operative without the use of tools.
    (8) Ladders or steps. Ladders or steps for the purpose of ingress or 
egress shall be used when necessary. The maximum verticle spacing of 
footholds shall not exceed 12 inches, except that the lowest step may be 
not more than 18 inches above the ground when the vehicle is empty.
    (9) Hand holds. Hand holds or devices for similar purpose shall be 
provided to permit ingress and egress without hazard to passengers.
    (10) Emergency exit. Vehicles with permanently affixed roofs shall 
be equipped with at least one emergency exit having a gate or door, 
latch and hand hold as prescribed in paragraphs (f) (7) and (9) of this 
section and located

[[Page 567]]

on a side or rear not equipped with the exit prescribed in paragraph 
(f)(6) of this section.
    (11) Communication with driver. Means shall be provided to enable 
the passengers to communicate with the driver. Such means may include 
telephone, speaker tubes, buzzers, pull cords, or other mechanical or 
electrical means.
    (g) Protection from cold. Every motor vehicle shall be provided with 
a safe means of protecting passengers from cold or undue exposure, but 
in no event shall heaters of the following types be used:
    (1) Exhaust heaters. Any type of exhaust heater in which the engine 
exhaust gases are conducted into or through any space occupied by 
persons or any heater which conducts engine compartment air into any 
such space.
    (2) Unenclosed flame heaters. Any type of heater employing a flame 
which is not fully enclosed.
    (3) Heaters permitting fuel leakage. Any type of heater from the 
burner of which there could be spillage or leakage of fuel upon the 
tilting or overturning of the vehicle in which it is mounted.
    (4) Heaters permitting air contamination. Any heater taking air, 
heated or to be heated, from the engine compartment or from direct 
contact with any portion of the exhaust system; or any heater taking air 
in ducts from the outside atmosphere to be conveyed through the engine 
compartment, unless said ducts are so constructed and installed as to 
prevent contamination of the air so conveyed by exhaust or engine 
compartment gases.
    (5) Any heater not securely fastened to the vehicle.

[33 FR 19765, Dec. 25, 1968, as amended at 77 FR 59828, Oct. 1, 2012]



Sec.398.6  Hours of service of drivers; maximum driving time.

    No person shall drive nor shall any motor carrier permit or require 
a driver employed or used by it to drive or operate for more than 10 
hours in the aggregate (excluding rest stops and stops for meals) in any 
period of 24 consecutive hours, unless such driver be afforded eight 
consecutive hours rest immediately following the 10 hours aggregate 
driving. The term ``24 consecutive hours'' as used in this part means 
any such period starting at the time the driver reports for duty.



Sec.398.7  Inspection and maintenance of motor vehicles.

    Every motor carrier shall systematically inspect and maintain or 
cause to be systematically maintained, all motor vehicles and their 
accessories subject to its control, to insure that such motor vehicles 
and accessories are in safe and proper operating condition.



Sec.398.8  Administration inspection of motor vehicles in operation.

    (a) Administration personnel authorized to perform inspections. All 
persons designated as Special Agents of the Federal Motor Carrier Safety 
Administration, as detailed in appendix B of chapter III of this title, 
are authorized to enter upon and perform inspections of motor carrier's 
vehicles in operation.
    (b) Prescribed inspection report. Form MCS 63, Driver-Equipment 
Compliance Check, shall be used to record findings from motor vehicles 
selected for final inspection by authorized Administration employees.
    (c) Motor vehicles declared ``out of service''. (1) Authorized 
Administration employees shall declare and mark ``out of service'' any 
motor vehicle which by reason of its mechanical condition or loading is 
so imminently hazardous to operate as to be likely to cause an accident 
or a breakdown. Form MCS 64, ``Out of Service Vehicle'' sticker shall be 
used to mark vehicles ``out of service.''
    (2) No motor carrier shall require or permit any person to operate 
nor shall any person operate any motor vehicle declared and marked, 
``out of service'' until all repairs required by the ``out of service 
notice'' on Form MCS 63 have been satisfactorily completed. The term 
operate as used in this section shall include towing the vehicle; 
provided, however, that vehicles marked ``out of service'' may be towed 
away by means of a vehicle using a crane or hoist; and provided further, 
that the vehicle combination consisting of the emergency towing vehicle 
and the ``out of service'' vehicle meets the performance requirements of 
Sec.393.52.
    (3) No person shall remove the ``Out of Service Vehicle'' sticker 
from any

[[Page 568]]

motor vehicle prior to completion of all repairs required by the ``out 
of service notice'' on Form MCS 63.
    (4) The person or persons completing the repairs required by the 
``out of service notice'' shall sign the ``Certification of Repairman'' 
in accordance with the terms prescribed on Form MCS 63, entering the 
name of his/her shop or garage and the date and time the required 
repairs were completed. If the driver completes the required repairs, 
he/she shall sign and complete the ``Certification of Repairman.''
    (d) Motor carrier's disposition of Form MCS 63. (1) Motor carriers 
shall carefully examine Forms MCS 63. Any and all violations or 
mechanical defects noted thereon shall be corrected. To the extent 
drivers are shown not to be in compliance with the Federal Motor Carrier 
Safety Regulations, appropriate corrective action shall be taken by the 
motor carrier.
    (2) Motor carriers shall complete the ``Motor Carrier Certification 
of Action Taken'' on Form MCS 63 in accordance with the terms prescribed 
thereon. Motor carriers shall return Forms MCS 63 to the address 
indicated upon Form MCS 63 within fifteen (15) days following the date 
of the vehicle inspection.

[33 FR 19765, Dec. 25, 1968, as amended at 40 FR 44557, Sept. 29, 1975]



PART 399_EMPLOYEE SAFETY AND HEALTH STANDARDS--Table of Contents



Subparts A-K [Reserved]

  Subpart L_Step, Handhold, and Deck Requirements for Commercial Motor 
                                Vehicles

Sec.
399.201 Purpose and scope.
399.203 Applicability.
399.205 Definitions.
399.207 Truck and truck-tractor access requirements.
399.209 Test procedures.
399.211 Maintenance.

    Authority: 49 U.S.C. 31502; and 49 CFR 1.87.

    Source: 44 FR 43732, July 26, 1979, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 399 appear at 66 FR 
49874, Oct. 1, 2001.

Subparts A-K [Reserved]



  Subpart L_Step, Handhold, and Deck Requirements for Commercial Motor 
                                Vehicles



Sec.399.201  Purpose and scope.

    This subpart prescribes step, handhold, and deck requirements on 
commercial motor vehicles. These requirements are intended to enhance 
the safety of motor carrier employees.



Sec.399.203  Applicability.

    This subpart applies to all trucks and truck-tractors, having a high 
profile cab-over-engine (COE) configuration, for entrance, egress and 
back of cab access, manufactured on and after September 1, 1982.

[44 FR 43732, July 26, 1979, as amended at 46 FR 56799, Nov. 19, 1981]



Sec.399.205  Definitions.

    Cab-over-engine (COE) A truck or truck-tractor having all, or the 
front portion, of the engine under the cab.
    COE--High profile A COE having the door sill step above the height 
of the front tires.
    Deck plate A horizontal surface designed to provide a person with 
stable footing for the performance of work such as the connection and 
disconnection of air and electrical lines, gaining access to 
permanently-mounted equipment or machinery or for similar needs.
    Door sill step Any step normally protected from the elements by the 
cab door when closed.
    Effective peripheral grip Any shaped surface, free of sharp edges, 
in which a full grasp can be made to secure a handhold by a person.
    Fingertip grasp A handhold surface which provides a person contact 
restricted to finger segments 1 and/or 2 only; or which limits wrap-
around closure of finger segment 1 with the palm of the hand to 90 
degrees as shown in Illustration I.

[[Page 569]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.036

    Full grasp A handhold surface which provides a person contact with 
finger segments 2 and 3 and which provides space for finger segment 1 to 
wrap around toward the palm of the hand beyond the 90-degree surface 
restriction shown in Illustration I. The handhold need not require 
contact between fingers and thumb. For example, the hand position shown 
in Illustration II qualifies as full grasp.
[GRAPHIC] [TIFF OMITTED] TC01AP91.037

    Ground The flat horizontal surface on which the tires of a motor 
vehicle rest.
    Handhold That which qualifies as providing full grasp if a person is 
able to find a hand position on the handhold which allows more than 
fingertip grasp.
    Handprint The surface area contacted by the hand when grasping a 
handhold. The size of this area is the width of the hand across the 
metacarpal and half the circumference of the handhold. The hand breadth 
of the typical person is 88.9 millimeters (3.5 inches).
    Person Any individual within the 5th percentile female adult through 
the 95th percentile male adult of anthropometric measures as described 
by the 1962 Health Examination Survey, ``Weight, Height and Selected 
Body Dimensions of Adults, United States 1960-1962'' which is 
incorporated by reference. It is Public Health Service publication No. 
1000-Series 11-No. 8 and is for sale from the U.S. Department of 
Commerce, National Technical Information Service, 5285 Port Royal Road, 
Springfield, Virginia 22161. When ordering use NTIS Accession No. PB 
267174. It is also available for inspection at the National Archives and 
Records Administration (NARA). For information on the availability of 
this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html. This incorporation by reference was approved by the 
Director of the Federal Register on July 17, 1979. These materials are 
incorporated as they exist on the date of the approval and a notice of 
any change in these materials will be published in the Federal Register.
    Slip resistant material Any material designed to minimize the 
accumulation of grease, ice, mud or other debris and afford protection 
from accidental slipping.



Sec.399.207  Truck and truck-tractor access requirements.

    (a) General rule. Any person entering or exiting the cab or 
accessing the rear portion of a high profile COE truck or truck-tractor 
shall be afforded sufficient steps and handholds, and/or deck plates to 
allow the user to have at least 3 limbs in contact with the truck or 
truck-tractor at any time. This rule applies to intermediate positions 
as well as transition between intermediate positions. To allow for 
changes

[[Page 570]]

in climbing sequence, the step design shall include, as a minimum, one 
intermediate step of sufficient size to accommodate two feet. Exception. 
If air and electrical connections necessary to couple or uncouple a 
truck-tractor from a trailer are accessible from the ground, no step, 
handholds or deck plates are required to permit access to the rear of 
the cab.
    (b) Performance requirements. All high profile COE trucks or truck-
tractors shall be equipped on each side of the vehicle where a seat is 
located, with a sufficient number of steps and handholds to conform with 
the requirements of paragraph (a) of this section and shall meet the 
performance requirements:
    (1) Vertical height. All measurements of vertical height shall be 
made from ground level with the vehicle at unladen weight.
    (2) Distance between steps. The distance between steps, up to and 
including the door sill step, shall provide any person a stable resting 
position which can be sustained without body motion and by exerting no 
more arm force than 35 percent of the person's body weight per grasp 
during all stages of entry and exit. This criterion applies to 
intermediate positions as well as transition between intermediate 
positions above ground level.
    (i) When the ground provides the person foot support during entry or 
is the final step in the sequence during exit, and the step is 508 
millimeters (20 inches) or more above ground, the stable resting 
position shall be achievable by the person using both hands to grasp the 
handhold(s) and requiring no more arm force than 35 percent of body 
weight per grasp.
    (ii) The vertical height of the first step shall be no more than 609 
millimeters (24 inches) from ground level.
    (3) Construction. Each step or deck plate shall be of a slip 
resistant design which minimizes the accumulation of foreign material. 
Wherever practicable, a self-cleaning material should be used.
    (4) Foot accommodation. Step depth or clearance and step width 
necessary to accommodate a climbing person are defined by using a 
minimum 127 millimeter (5 inch) diameter disc as shown in Illustration 
III.
    (i) Single foot accommodation. The disc shall fit on a tread rung, 
or in a step recess, with no exterior overhang.
    (ii) Two-foot accommodation. Two discs shall fit on a tread rung, or 
in a step recess, with no exterior overhang.
[GRAPHIC] [TIFF OMITTED] TC01AP91.038

    Note: The 127 millimeter (5 inch) disc is only intended to test for 
a minimum depth and width requirement. The step need not retain the disc 
at rest.

    (5) Step strength. Each step must withstand a vertical static load 
of at least 204 kilograms (450 pounds) uniformly distributed over any 
127 millimeter (5 inch) increment of step width.
    (6) Handhold location. A handhold must be located within the reach 
of

[[Page 571]]

any person entering or exiting the vehicle.
    (7) Exterior mounting specifications for handholds. Each handhold, 
affixed to the exterior of the vehicle, shall have at least 38 
millimeters (1.5 inches) clearance between the handhold and the surface 
to which it is mounted for the distance between its mounting points.
    (8) Handhold size and shape. Each handhold shall be free of sharp 
edges (minimum 1 millimeter [0.04 inch] radius) and have an effective 
peripheral grip length that permits full grasp by any person.
    (9) Handhold strength. Each handhold shall withstand a horizontal 
static load of at least 114 kilograms (250 pounds) uniformly distributed 
over the area of a hand print and applied away from the mounting 
surface.
    (10) Deck plates. Deck plates shall be on the rear of a truck-
tractor as necessary to couple or uncouple air and/or electrical 
connections.
    (11) Deck plate strength. Each deck plate shall be capable of 
withstanding the vertical static load of at least 205 kilograms (450 
pounds) uniformly distributed over a 127 millimeter (5 inch) diameter 
disc.



Sec.399.209  Test procedures.

    (a) The force exerted on a handhold will be measured using a 
handheld spring scale or force transducer which can be attached to the 
vehicle and is free to rotate into alignment with a person's hand 
position.
    (b) Hand grasp will be evaluated by observing the handgrip of any 
individual who conforms with the definition of ``person'' appearing in 
Sec.399.205 of this subpart.



Sec.399.211  Maintenance.

    All steps, handholds, and/or deck plates required by this subpart 
shall be adequately maintained to serve their intended function.



        Sec. Appendix A to Subchapter B of Chapter III [Reserved]



     Sec. Appendix B to Subchapter B of Chapter III--Special Agents

    Cautionary note: This appendix relates only to Federal authority to 
enforce the regulations in this subchapter. In its present form, it has 
no application for the States and is not to be included in any adoption 
of these regulations by State authorities as a condition of eligibility 
for grants under part 350 of this chapter.

    1. Authority. Persons appointed as special agents of the Federal 
Motor Carrier Safety Administration (``Administration''), are authorized 
to enter upon, to inspect, and to examine any and all lands, buildings, 
and equipment of motor carriers and other persons subject to the 
Interstate Commerce Act, the Department of Transportation Act, and other 
related Acts, and to inspect and copy any and all accounts, books, 
records, memoranda, correspondence, and other documents of such carriers 
and other persons.
    2. Compliance. Motor carriers and other persons subject to these 
Acts shall submit their accounts, books, records, memoranda, 
correspondence, and other documents for inspection and copying, and they 
shall submit their lands, buildings, and equipment for examination and 
inspection, to any special agent of the Administration upon demand and 
display of an Administration credential, either in person or in writing, 
identifying him/her as a special agent.
    3. Definition of Special Agent. Special agents are Federal Motor 
Carrier Safety Administration (FMCSA) employees who are identified by 
credentials issued by the FMCSA authorizing them to enforce 42 U.S.C. 
4917 and to exercise relevant authority of the Secretary of 
Transportation under 49 U.S.C. 113, chapters 5, 51, 57, 131-149, 311, 
313, and 315 and other statutes, as delegated to FMCSA by 49 CFR 1.87, 
and under regulations issued on the authority of those statutes. Special 
agents are authorized to inspect and copy records and to inspect and 
examine land, buildings, and equipment in the manner and to the extent 
provided by law.
    4. Facsimile of the Administration Credential:

                        United States of America

Department of Transportation Federal Motor Carrier Safety Administration

    This is to certify that ------------ whose photograph and signature 
appear hereon is duly accredited as ------------ with authority to enter 
upon, to inspect, and examine lands, buildings, and equipment, and to 
inspect and copy records and papers of carriers and other persons, in 
performance of his/her duties under the Department of Transportation 
Act, related acts, and regulations of the Department.
    By direction of the Secretary


[[Page 572]]


    (Certifying Authority) (Bearer)

(49 U.S.C. 504, 5121, 14122, 31502 and 31503; and 49 CFR 1.87)

[35 FR 1016, Jan. 24, 1970 as amended at 36 FR 16067, Aug. 19, 1971; 43 
FR 20011, May 10, 1978; 44 FR 46425, July 10, 1980; 49 FR 38290, Sept. 
28, 1984; 60 FR 38749, July 28, 1995; 61 FR 1843, Jan. 24, 1996; 77 FR 
59828, Oct. 1, 2012; 78 FR 60234, Oct. 1, 2013]



      Sec. Appendixes C-E to Subchapter B of Chapter III [Reserved]



    Sec. Appendix F to Subchapter B of Chapter III--Commercial Zones

    ``Note: The text of these definitions is identical to the text of 49 
CFR Part 1048, revised as of October 1, 1975, which is no longer in 
print.''

                            Commercial Zones

Sec.
1 New York, N.Y.
2 Chicago, Ill.
3 St. Louis, Mo.-East St. Louis, Ill.
4 Washington, D.C.
5 Los Angeles, Calif., and contiguous and adjacent municipalities.
6 Philadelphia, Pa.
7 Cincinnati, Ohio
8 Kansas City, Mo.-Kansas City, Kans.
9 Boston, Mass.
10 Davenport, Iowa; Rock Island and Moline, Ill.
11 Commercial zones of municipalities in New Jersey within 5 miles of 
          New York, N.Y.
12 Commercial zones of municipalities in Westchester and Nassau 
          Counties, N.Y.
13 Tucson, Ariz.
14 Albuquerque, N. Mex.
18 Ravenswood, W. Va.
19 Lake Charles, La.
20 Syracuse, N.Y.
21 Baltimore, Md.
22 Cleveland, Ohio.
23 Detroit, Mich.
24 Seattle, Wash.
25 Albany, N.Y.
26 Minneapolis-St. Paul, Minn.
27 New Orleans, La.
28 Pittsburgh, Pa.
29 Portland, Oreg.
30 Vancouver, Wash.
31 Charleston, S.C.
32 Charleston, W. Va.
33 Memphis, Tenn.
34 Houston, Tex.
35 Pueblo, Colo.
36 Warren, Ohio
37 Louisville, Ky.
38 Sioux City, Iowa.
39 Beaumont, Tex.
40 Metropolitan Government of Nashville and Davidson County, Tenn.
41 Consolidated City of Indianapolis, Ind.
42 Lexington-Fayette Urban County, Ky.
43 Definitions.
44 Commercial zones determined generally, with exceptions.
45 Controlling distances and population data.

                        Section 1 New York, N.Y.

    (a) The application of Sec.372.241 Commercial Zones determined 
generally, with exceptions, is hereby extended to New York, N.Y.
    (b) The exemption provided by section 203(b)(8) of the Interstate 
Commerce Act, of transportation by motor vehicle, in interstate or 
foreign commerce, performed wholly within the zone the limits of which 
are defined in paragraph (a) of this section, is hereby removed as to 
all such transportation except:
    (1) Transportation which is performed wholly within the following 
territory: The area within the corporate limits of the cities of New 
York, Yonkers, Mount Vernon, North Pelham, Pelham, Pelham Manor, Great 
Neck Estates, Floral Park, and Valley Stream, N.Y., and Englewood, N.J.; 
the area within the borough limits of Alpine, Tenafly, Englewood Cliffs, 
Leonia, Fort Lee, Edgewater, Cliffside Park, Fairview, Palisades Park, 
and Ridgefield, Bergen County, N.J.; and that part of Hudson County, 
N.J., east of Newark Bay and the Hackensack River;
    (2) Transportation which is performed in respect of a shipment which 
has had a prior, or will have a subsequent movement by water carrier, 
and which is performed wholly between points named in subparagraph (1) 
of this paragraph, on the one hand, and, on the other, those points in 
Newark and Elizabeth, N.J., identified as follows: All points in that 
area within the corporate limits of the cities of Newark and Elizabeth, 
N.J., west of Newark Bay and bounded on the south by the main line of 
the Central Railroad of New Jersey, on the west by the Newark & 
Elizabeth Branch of the Central Railroad Company of New Jersey, and on 
the north by the property line of the Penn Central Transportation 
Company.
    (3) Transportation which is performed in respect of a shipment by 
rail carrier, and which is performed wholly between points named in 
subparagraph (1) of this paragraph, on the one hand, and, on the other,
    (a) Those portions of Kearny, N.J., within an area bounded on the 
north by the main line of the Jersey City Branch of the Penn Central 
Transportation Co., on the south and east by Fish House Road and 
Pennsylvania Avenue, and on the west by the property line of the Penn 
Central Transportation Co. Truck-Train Terminal.
    (b)(i) That portion of Newark, N.J., within an area bounded on the 
north by South

[[Page 573]]

Street and Delancey Street, on the east by Doremus Avenue, on the south 
by the freight right-of-way of the Penn Central Transportation Co. 
(Waverly Yard, Newark, N.J., to Greenville Piers, Jersey City, N.J., 
line), and on the west by the Penn Central Transportation Co.'s Hunter 
Street produce yard, and (ii) that portion of Newark, N.J., within an 
area bounded on the north by Poinier Street, on the east by Broad Steet, 
on the south by the passenger right-of-way of the Penn Central 
Transportation Co.'s main line and on the west by Frelinghuysen Avenue.
    (c) That portion of Port Reading, N.J., within an area bounded on 
the east by the Arthur Kill, on the south by the right-of-way of the 
Reading Co., on the west by Cliff Road, and on the north by Woodbridge-
Carteret Road, and
    (d) That portion of Elizabeth, N.J., within an area bounded by a 
line extending from Newark Bay westward along Trumbull Street to its 
intersection with Division Street; thence northward along Trumbull 
Street to its intersection with East North Avenue; thence eastward along 
East North Avenue to its intersection with the New Jersey Turnpike, 
thence along the New Jersey Turnpike to the Elizabeth Channel; thence 
easterly along the Elizabeth Channel to Newark Bay; thence along the 
western shore of Newark Bay to the point of beginning.

                          Sec. 2 Chicago, Ill.

    The zone adjacent to and commercially a part of Chicago, Ill., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond the zone is 
partially exempt from regulation under section 203(b)(8) of the 
Interstate Commerce Act (49 U.S.C. 303(b)(8)), includes and is comprised 
of all points as follows:
    The area within the corporate limits of Chicago, Evanston, Oak Park, 
Cicero, Berwyn, River Forest, Willow Springs, Bridgeview, Hickory Hills, 
Worth, Homewood, and Lansing, Ill.; the area within the township limits 
of Niles, Maine, Leyden, Norwood Park, Proviso, Lyons, Riverside, 
Stickeny, Worth, Calumet, Bremen, and Thornton Townships, Cook County, 
Ill.; the area comprised of that part of Lemont Township, Cook County, 
and that part of Downers Grove Township, Du Page County, Ill., bounded 
by a line beginning at the intersection of Archer Avenue and the 
southern corporate limits of WillowSprings, Ill., and extending in a 
southwesterly direction along Archer Avenue to its junction with Chicago 
Joliet Road (Sag Lemont Highway), thence in a westerly direction over 
Chicago Joliet Road to its junction with Walker Road, thence directly 
north along an imaginary line to the southern shoreline of the Chicago 
Sanitary and Ship Canal, thence in a northeasterly direction along said 
shoreline to the corporate limits of Willow Springs, including points on 
the indicated portions of the highways specified; the area within Burr 
Ridge, Du Page County, bounded by a line beginning at the intersection 
of County Line Road and Frontage Road, thence southwesterly along 
Frontage Road to its intersection with Garfield Street, thence northerly 
along Garfield Street to its junction with 74th Street, thence westerly 
along an imaginary line to the junction of 74th Street and Grant Street, 
thence southerly along Grant Street to its junction with 75th Street, 
thence westerly along 75th Street to its junction with Brush Hill Road, 
thence southerly along Brush Hill Road to its junction with Frontage 
Road, thence northeasterly along Frontage Road to its junction with 
County Line Road; and the area within the corporate limits of Hammond, 
Whiting, East Chicago, and Gary, Ind.

               Sec. 3 St. Louis, Mo.-East St. Louis, Ill.

    (a) The zone adjacent to and commercially a part of St. Louis, Mo.-
East St. Louis, Ill, within which transportation by motor vehicle in 
interstate or foreign commerce, not under a common control, management 
or arrangement for a continuous carriage to or from a point beyond the 
zone is partially exempt from regulation under section 203(b)(8) of the 
Interstate Commerce Act (49 U.S.C. 303(b)(8)), includes and is comprised 
of all points as follows: (1) All points within the corporate limits of 
St. Louis, Mo.; (2) all points in St. Louis County, Mo., within a line 
drawn 0.5 mile south, west, and north of the following line: Beginning 
at the Jefferson Barracks Bridge across the Mississippi River and 
extending westerly along Missouri Highway 77 to its junction with U.S. 
Highway 61 Bypass, thence along U.S. Highway 61 Bypass to its junction 
with U.S. Highway 66, thence westerly along U.S. Highway 66 to its 
junction with Bowles Avenue, thence northerly along Bowles Avenue, 
actual or projected, to the Meramec River, thence easterly along the 
south bank of the Meramec River to a point directly south of the western 
boundary of Kirkwood, thence across the Meramec River to and along the 
western boundary of Kirkwood to Marshall Road, thence westerly along 
Marshall Road to its junction with Treecourt Avenue, thence northerly 
along Treecourt Avenue to its junction with Big Bend Road, thence 
easterly along Big Bend Road to the western boundry of Kirkwood, thence 
northerly along the western boundary of Kirkwood to its junction with 
Dougherty Ferry Road, thence westerly along Dougherty Ferry Road to its 
junction with Interstate Highway 244, thence northerly along 
InterstateHighway 244 to its junction with Manchester Road, thence 
easterly along Manchester Road to its junction

[[Page 574]]

with the northwest corner of Kirkwood, thence along the western and 
northern boundaries of Kirkwood to the western boundary of Huntleigh, 
Mo., thence along the western and northern boundaries of Huntleigh to 
its junction with Lindbergh Boulevard, thence northerly along Lindbergh 
Boulevard to its junction with Lackland Avenue, thence in a westerly 
direction along Lackland Avenue to its junction with the right-of-way of 
the proposed Circumferential Expressway (Interstate Highway 244), thence 
in a northerly direction along said right-of-way to its junction with 
the right-of-way of the Chicago, Rock Island and Pacific Railroad, 
thence in an easterly direction along said right-of-way to its junction 
with Dorsett Road, thence in an easterly direction along Dorsett Road to 
its junction with Lindbergh Boulevard, thence in a northerly direction 
along Lindbergh Boulevard to its junction with St. Charles Rock Road, 
thence westerly along St. Charles Rock Road to its function with the 
Missouri River, thence northerly along the east shore of the Missouri 
River to its junction with the Norfolk and Western Railway Co. right-of-
way, thence easterly along the southern boundary of the Norfolk and 
Western Railway Co. right-of-way to Lindbergh Boulevard, thence in an 
easterly direction along Lindbergh Boulevard to the western boundary of 
St. Ferdinand (Florissant), Mo., thence along the western, northern, and 
eastern boundaries of St. Ferdinand to junction Insterstate Highway 270, 
and thence along Interstate Highway 270 to the corporate limits of St. 
Louis (near Chain of Rocks Bridge); and (3) all points within the 
corporate limits of East St. Louis, Belleville, Granite City, Madison, 
Venice, Brooklyn, National City, Fairmont City, Washington Park, and 
Sauget, Ill.; that part of the village of Cahokia, Ill., bounded by 
Illinois Highway 3 on the east, First Avenue and Red House (Cargill) 
Road on the south and southwest, the east line of the right-of-way of 
the Alton and Southern Railroad on the west, and the corporate limits of 
Sauget, Ill., on the northwest and north; that part of Centerville, 
Ill., bounded by a line beginning at the junction of 26th Street and the 
corporate limit of East St. Louis, Ill., and extending northeasterly 
along 26th Street to its junction with BondAvenue, thence southeasterly 
along Bond Avenue to its junction with Owen Street, thence southwesterly 
along Owen Street to its junction with Church Road, thence southeasterly 
along Church Road to its junction with Illinois Avenue, thence 
southwesterly along Illinois Avenue to the southwesterly side of the 
right-of-way of the Illinois Central Railroad Co., thence along the 
southwesterly side of the right-of-way of the Illinois Central Railroad 
Co. to the corporate limits of East St. Louis, Ill, thence along the 
corporate limits of East St. Louis, Ill., to the point of beginning; and 
that area bounded by a line commencing at the intersection of the right-
of-way of the Alton and Southern Railroad and the Madison, Ill., 
corporate limits near 19th Street, and extending east and south along 
said right-of-way to its intersection with the right-of-way of Illinois 
Terminal Railroad Co., thence southwesterly along the Illinois Terminal 
Railroad Co. right-of-way to its intersection with Illinois Highway 203, 
thence northwesterly along said highway to its intersection with the 
Madison, Ill., corporate boundary near McCambridge Avenue, thence 
northerly along the Madison, Ill., corporate boundary to the point of 
beginning.
    (b) The exemption provided by section 203(b)(8) of the Interstate 
Commerce Act in respect of transportation by motor vehicle, in 
interstate or foreign commerce, between Belleville, Ill., on the one 
hand, and, on the other, any other point in the commercial zone, the 
limits of which are defined in paragraph (a) of this section, is hereby 
removed, and the said transportation is hereby subjected to all 
applicable provisions of the Interstate Commerce Act.

                         Sec. 4 Washington, DC.

    The zone adjacent to and commercially a part of Washington, DC, 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage to or from a point beyond the zone is partially 
exempt from regulation under section 203(b)(8) of the Interstate 
Commerce Act (49 U.S.A. 303(b)(8)) includes and it is comprised of all 
as follows:
    Beginning at the intersection of MacArthur Boulevard and Falls Road 
(Maryland Highway 189) and extending northeasterly along Falls Road to 
its junction with Scott Drive, thence west on Scott Drive to its 
junction with Viers Drive, thence west on Viers Drive to its junction 
with Glen Mill Road, thence northeast on Glen Mill Road to its junction 
with Maryland Highway 28, thence west on Maryland Highway 28 to its 
junction with Shady Grove Road, thence northeast on Shady Grove Road 
approximately 2.7 miles to Crabbs Branch, thence southeasterly along the 
course of Crabbs Branch to Rock Creek, thence southerly along the course 
of Rock Creek to Viers Mill Road (Maryland Highway 586), thence 
southeasterly along Viers Mill Road approximately 0.3 mile to its 
junction with Aspen Hill Road, thence northeasterly along Aspen Hill 
Road to its junction with Brookeville Road (Maryland Highway 97), thence 
southeasterly along Brookeville Road to its junction with Maryland 
Highway 183, thence northeasterly along Maryland Highway 183 to 
Colesville, Md., thence southeasterly along Beltsville Road to its 
junction with Powder Mill Road (Maryland Highway 212),

[[Page 575]]

thence easterly over Powder Mill Road to its junction with Montgomery 
Road, thence northeasterly along Montgomery Road, approximately 0.2 
mile, to its junction with an unnumbered highway extending northeasterly 
to the north of Ammendale Normal Institute, thence along such unnumbered 
highway for a distance of about 2.2 miles to its junction somewhat north 
of Virginia Manor, Md., with an unnumbered highway extending easterly 
through Muirkirk, Md., thence along such unnumbered highway through 
Muirkirk to its junction, approximately 1.8 miles east of the Baltimore 
and Ohio Railroad, with an unnumbered highway, thence southwesterly 
along such unnumbered highway for a distance of about 0.5 mile to its 
junction with an unnumbered highway, thence southeasterly along such 
unnumbered highway through Springfield and Hillmeade, Md., to its 
junction with Defense Highway (U.S. Highway 50), thence southwesterly 
along Defense Highway approximately 0.8 mile to its junction with 
Enterprise Road (Maryland Highway 556), thence southerly over Enterprise 
Road to its junction with Central Avenue (Maryland Highway 214), thence 
westerly over Central Avenue about 0.5 mile to its crossing of Western 
Branch, thence southerly down the course of Western Branch to Maryland 
Highway 202, thence westerly approximately 0.3 mile along Maryland 
Highway 202 to its junction with White House Road, thence southwesterly 
along White House Road to its junction with Maryland Highway 221, thence 
southeasterly along Maryland Highway 221 to its junction with Maryland 
Highway 4, thence westerly along Maryland Highway 4 to the boundary of 
Andrews Air Force Base, thence south and west along said boundary to 
Brandywine Road (Maryland Highway 5), thence northwesterly along 
Maryland Highway 5 to its junction with Maryland Highway 337, thence 
southwesterly along Maryland Highway 337 to its junction with Maryland 
Highway 224, thence southerly along Maryland Highway 224 to a point 
opposite the mouth of Broad Creek, thence due west across the Potomac 
River to the west bank thereof, thence southerly along the west bank of 
the Potomac River to Gunston Cove, thence up the course of Gunston Cove 
to Pohick Creek, thence up the course of Pohick Creek to Virginia 
Highway 611, thence southwesterly along Virginia Highway 611 to the 
Fairfax-Prince William County line, thence along said county line to 
Virginia Highway 123, thence northerly along Virginia Highway 123 to its 
junction with Virginia Highway 636, thence northeasterly along Virginia 
Highway 636 to its junction with Virginia Highway 638, thence 
northwesterly along Virginia Highway 638 to its junction with Virginia 
Highway 620, thence westerly along Virginia Highway 620 to its junction 
with Virginia Highway 655, thence northeasterly along Virginia Highway 
655 to its junction with U.S. Highway 211, thence westerly along U.S. 
Highway 211 to its junction with Virginia Highway 608, thence northerly 
along Virginia Highway 608 to its junction with U.S. Highway 50, thence 
westerly along U.S. Highway 50 to the Fairfax-Loudoun County line, 
thence northeasterly along said county line to its intersection with 
Dulles International Airport, thence along the southern, western, and 
northern boundaries of said airport to the Fairfax-Loudoun County line 
(at or near Dulles Airport Access Road), thence northeasterly along said 
county line to its junction with Virginia Highway 7, thence 
southeasterly along Virginia Highway 7 to its junction with Virginia 
Highway 193, thence along Virginia Highway 193 to its junction with 
Scott Run Creek, thence northerly down the course of Scott Run Creek to 
the Potomac River, thence due north across the river to MacArthur 
Boulevard to its junction with Maryland Highway 189, the point of 
beginning.

 Sec. 5 Los Angeles, Calif., and contiguous and adjacent municipalities.

    (a) The exemption provided by section 203(b)(8) of Part II of the 
Interstate Commerce Act to the extent it affects transportation by motor 
vehicle, in interstate or foreign commerce, performed wholly within Los 
Angeles, Calif., or wholly within any municipality contiguous or 
adjacent to Los Angeles, Calif., or wholly a part of Los Angeles, as 
defined in paragraph (b) of this section, or wholly within the zone 
adjacent to and commercially a part of the San Pedro, Wilmington, and 
Terminal Island Districts of Los Angeles and Long Beach, as defined in 
paragraph (c) of this section, or wholly within the zone of any 
independent municipality contiguous or adjacent to Los Angeles, as 
determined under Sec.372.241, or otherwise, between any point in Los 
Angeles County, Calif., north of the line described below, on the one 
hand, and, on the other, any point in Los Angeles County, Calif., south 
thereof is hereby removed and the said transportation is hereby 
subjected to all the applicable provisions of the Interstate Commerce 
Act:
    Beginning at the Pacific Ocean, and extending easterly along the 
northern and eastern corporate limits of Manhattan Beach to the northern 
corporate limits of Redondo Beach, thence along the northern and eastern 
corporate limits of Redondo Beach to the intersection of Inglewood 
Avenue and Redondo Beach Boulevard, thence along Redondo Beach Boulevard 
to the corporate limits of Torrance, thence along the northwestern and 
eastern corporate limits of Torrance to 182d Street, thence along 182d 
Street, Walnut, and Main Streets to Alondra Boulevard, thence along 
Alondra Boulevard to its intersection with Dwight Avenue,

[[Page 576]]

thence southerly along Dwight Avenue and an imaginary straight line 
extending southward to Greenleaf Boulevard, thence eastward along 
Greenleaf Boulevard to the northwestern corner of the corporate limits 
of Long Beach, thence along the northern and eastern corporate limits of 
Long Beach to Artesia Boulevard, thence east on Artesia Boulevard to the 
Los Angeles-Orange County line.
    (b) For the purpose of administration and enforcement of Part II of 
the Interstate Commerce Act, the zone adjacent to and commercially a 
part of Los Angeles and contiguous municipalities (except the San Pedro, 
Wilmington, and Terminal Island districts of Los Angeles and Long Beach, 
Calif.), in which transportation by motor vehicle in interstate or 
foreign commerce, not under a common control, management, or arrangement 
for a continuous carriage or shipment to or from a point beyond the 
zone, will be partially exempt from regulation under section 203(b)(8) 
of the act, is hereby defined to includethe area of a line extending in 
a generally northwesterly and northerly direction from the intersection 
of Inglewood Avenue and Redondo Beach Boulevard along the eastern and 
northern corporate limits of Redondo Beach, Calif., to the eastern 
corporate limits of Manhattan Beach, Calif., thence along the eastern 
and northern corporate limits of Manhattan Beach to the Pacific Ocean, 
thence along the shoreline of the Pacific Ocean to the western corporate 
limits of Los Angeles at a point east of Topanga Canyon, and thence 
along the western corporate limits of Los Angeles to a point near Santa 
Susana Pass; south of a line extending in a generally easterly direction 
from a point near Santa Susana Pass along the northern corporate limits 
of Los Angeles to the eastern corporate limits of Burbank, Calif., 
thence along the eastern corporate limits of Burbank to the northern 
corporate limits of Glendale, Calif., and thence along the northern 
corporate limits of Glendale and Pasadena, Calif., to the northeastern 
corner of Pasadena; west of a line extending in a generally southerly 
and southwesterly direction from the northeastern corner of Pasadena 
along the eastern and a portion of the southern corporate limits of 
Pasadena to the eastern corporate limits of SanMarino, Calif., thence 
along the eastern corporate limits of San Marino and the eastern and a 
portion of the southern corporate limits of Alhambra, Calif., to the 
western corporate limits of Monterey Park, Calif., and the western 
corporate limits of Montebello, Calif., thence along the western 
corporate limits of Montebello, Calif., to the Rio Hondo, and the Los 
Angeles River to the northern corporate limits of Long Beach; and north 
of a line extending in a generally westerly direction from the Los 
Angeles River along the northern corporate limits of Long Beach and 
thence along Greenleaf Boulevard to its intersection with an imaginary 
straight line extending southward from Dwight Avenue, thence north on 
the imaginary straight line extending southward from Dwight Avenue, and 
thence northerly along Dwight Avenue to Alondra Boulevard, thence west 
along Alondra Boulevard, Main, Walnut, and 182d Streets to the eastern 
corporate limits of Torrance, thence along a portion of the eastern and 
the northwestern corporate limits of Torrance to Redondo Beach 
Boulevard, and thence along Redondo Beach Boulevard to Inglewood Avenue.
    (c) For the purpose of administration and enforcement of Part II of 
the Interstate Commerce Act, the zone adjacent to and commercially a 
part of the San Pedro, Wilmington, and Terminal Island districts of Los 
Angeles and Long Beach in which transportation by motor vehicle in 
interstate or foreign commerce, not under a common control, management, 
or arrangement for a continuous carriage or shipment to or from a point 
beyond the zone, will be partially exempt from regulation under section 
203(b)(8) of the act, is hereby defined to include the area east of a 
line extending in a generally northerly and northwesterly direction from 
the Pacific Ocean along the western corporate limits of Los Angeles to 
258th Street, thence along 258th Street to the eastern corporate limits 
of Torrance, and thence along a portion of the eastern, and along the 
southern and western, corporate limits of Torrance to the northwestern 
corner of Torrance, south of a line extending in a generallyeasterly 
direction from the northwestern corner of Torrance along the 
northwestern and a portion of the eastern corporate limits of Torrance 
to 182d Street, thence along 182d, Walnut, Main, and Alondra Boulevard 
to its intersection with Dwight Avenue, thence southerly along Dwight 
Avenue and an imaginary straight line extending southward from Dwight 
Avenue to Greenleaf Boulevard and thence along Greenleaf Boulevard and 
the northern corporate limits of Long Beach to the northeastern corner 
of Long Beach; west of the eastern corporate limits of Long Beach; and 
north of the southern corporate limits of Long Beach and Los Angeles.

                        Sec. 6 Philadelphia, Pa.

    The zone adjacent to and commercially a part of Philadelphia, Pa., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulation under section 203(b)(8) of the 
Interstate Commerce Act (49 U.S.C. 303(b)(8)) includes and is comprised 
of all points as follows:

[[Page 577]]

    (a) The area within Pennsylvania included within the corporate 
limits of Philadelphia and Bensalem and Lower Southampton Townships in 
Bucks County; Conshohocken and West Conshohocken, Pa., and Lower 
Moreland, Abington, Cheltenham, Springfield, Whitemarsh, and Lower 
Merion Townships in Montgomery County; an area in Upper Dublin Township, 
Montgomery County, bounded by a line beginning at the intersection of 
Pennsylvania Avenue and Fort Washington Avenue and extending northeast 
along Fort Washington Avenue to its junction with Susquehanna Road, 
thence southeast along Susquehanna Road to its junctionwith the right-
of-way of the Pennsylvania Railroad Company, thence southwest along the 
right-of-way of the Pennsylvania Railroad Company to Pennsylvania 
Avenue, thence northwest along Pennsylvania Avenue to its junction with 
Fort Washington Avenue, the point of beginning; Haverford Township in 
Delaware County; and an area in Delaware County south and east of a line 
extending southward from the intersection of the western and northern 
boundaries of Upper Darby Township along Darby Creek to Bishop Avenue, 
thence south along Bishop Avenue to Baltimore Pike, thence west along 
Baltimore Pike to Pennsylvania Highway 320, thence south along 
Pennsylvania Highway 320 to the corporate limits of Chester, thence 
along the northern corporate limit of Chester in a westerly direction to 
the eastern boundary of Upper Chichester Township, thence south to the 
southern boundary of said township along the eastern boundary thereof, 
and thence west along the southern boundary of said township to the 
Delaware State line, and thence south along the Delaware State line to 
the Delaware River, and
    (b) The area in New Jersey included in the corporate limits of 
Camden, Gloucester City, Woodlynne, Merchantville, and Palmyra Boroughs, 
and the area included in Pennsauken Township in Camden County.

                        Sec. 7 Cincinnati, Ohio.

    The zone adjacent to and commercially a part of Cincinnati, Ohio, 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuing carriage to or from a point beyond the zone is partially 
exempt from regulation under section 203(b)(8) of the Interstate 
Commerce Act (49 U.S.C. 203(b)(8)), includes and is comprised of all 
points as follows:
Addyston, Ohio.
Cheviot, Ohio.
Cincinnati, Ohio.
Cleves, Ohio.
Elmwood Place, Ohio.
Fairfax, Ohio.
Mariemont, Ohio.
North Bend, Ohio.
Norwood, Ohio.
St. Bernard, Ohio.
Covington, Ky.
Newport, Ky.
Cold Spring, Ky.
    That part of Ohio bounded by a line commencing at the intersection 
of the Colerain-Springfield Township line and corporate limits of 
Cincinnati, Ohio, and extending along said township line in a northerly 
direction to its intersection with the Butler-Hamilton County line, 
thence in an easterly direction along said county line to its 
intersection with Ohio Highway 4, thence in a northerly direction along 
Ohio Highway 4 to its intersection with Seward Road, thence in a 
northerly direction along said road to its intersection with Port Union 
Road, thence east along Port Union Road to the Fairfield Township-Union 
Township line, thence northward along said township line to its 
intersection with the right-of-way of the Pennsylvania Railroad Co., 
thence southeasterly along the right-of-way of the Pennsylvania 
RailroadCo. to its intersection with Princeton-Glendale Road (Ohio 
Highway 747), thence southward along said road to its intersection with 
Mulhauser Road, thence in an easterly direction along said road to the 
terminus thereof west of the tracks of the Pennsylvania Railroad Co., 
thence continue in an easterly direction in a straight line to Allen 
Road, thence along the latter to the junction thereof with Cincinnati-
Dayton Road, thence in a southerly direction along Cincinnati-Dayton 
Road, to the Butler, Hamilton County line, thence along said county line 
to the Warren-Hamilton County line in an easterly direction to the 
Symmes-Sycamore Township line, thence in a southerly direction along the 
Symmes-Sycamore Township line to its intersection with the Columbia 
Township line, thence in a westerly direction along Sycamore-Columbia 
Township line to Madeira Township, thence in a clockwise direction 
around the boundary of Madeira Township to the Sycamore-Columbia 
Township line, thence in a westerly direction along said township line 
to Silverton Township, thence in a southerly direction along said 
corporate limits to junction with Redbank Road, thence in a southerly 
direction over Redbank Road to the Cincinnati Corporate limits.
    That part of Kenton County, Ky., lying on and north of a line 
commencing at the intersection of the Kenton-Boone County line and Dixie 
Highway (U.S. Highways 25 and 42), and extending over said highway to 
the corporate limits of Covington, Ky., including communities on the 
described line.
    That part of Campbell County, Ky., lying on and north of a line 
commencing at the southern corporate limits of Newport, Ky., and 
extending along Licking Pike (Kentucky Highway 9) to junction with Johns 
Hill Road, thence along Johns Hill Road to junction with Alexandria Pike 
(U.S. Highway 27), thence northward along Alexandria Pike to junction 
with River Road (Kentucky Highway 445), thence over the latter to the 
Ohio

[[Page 578]]

River, including communities on the described line.
    That part of Boone County, Ky., bounded by a line beginning at the 
Boone-Kenton County line west of Erlanger, Ky., and extending in a 
northwesterly direction along Donaldson Highway to its intersection with 
Zig-Zag Road, thence along Zig-Zag Road to its intersection with 
Kentucky Highway 18, thence along Kentucky Highway 18 to its 
intersection with Kentucky Highway 237, thence along Kentucky Highway 
237 to its intersection with Kentucky Highway 20, and thence easterly 
along Kentucky Highway 20 to the Boone-Kenton County line.
    That part of Boone and Kenton Counties, Ky., bounded by a line 
commencing at the intersection of the Boone-Kenton County line and U.S. 
Highway 42, and extending in a southwesterly direction along U.S. 
Highway 42 to its junction with Gunpowder Road, thence southerly along 
Gunpowder Road to its junction with Sunnybrook Road, thence easterly 
along Sunnybrook Road to its junction with Interstate Highway 75, thence 
in a straight line in a northeasterly direction to Richardson Road, 
thence in an easterly direction over Richardson Road to its junction 
with Kentucky State Route 1303, thence in a northerly direction over 
Kentucky State Route 1303 to the southern boundary of Edgewood, Kenton 
County, Ky.

               Sec. 8 Kansas City, Mo.-Kansas City, Kans.

    The zone adjacent to and commercially a part of Kansas City, Mo.-
Kansas City, Kans., within which transportation by motor vehicle, in 
interstate or foreign commerce, not under a common control, management, 
or arrangement for a continuing carriage to or from a point beyond the 
zone is partially exempt from regulation under section 203(b)(8) of the 
Interstate Commerce Act (49 U.S.C. 303(b)(8)), includes and is comprised 
of all points as follows:
    Beginning on the north side of the Missouri River at the western 
boundary line of Parkville, Mo., thence along the western and northern 
boundaries of Parkville to the Kansas City, Mo., corporate limits, 
thence along the western, northern, and eastern corporate limits of 
Kansas City, Mo., to its junction with U.S. Bypass 71 (near Liberty, 
Mo.), thence along U.S. Bypass 71 to Liberty, thence along the northern 
and eastern boundaries of Liberty to its junction with U.S. Bypass 71 
south of Liberty, thence south along U.S. Bypass71 to its junction with 
the Independence, Mo., corporate limits, thence along the eastern 
Independence, Mo., corporate limits to its junction with Interstate 
Highway 70, thence along Interstate Highway 70 to its junction with the 
Blue Springs, Mo., corporate limits, thence along the western, northern, 
and eastern corporate limits of Blue Springs, Mo., to its junction with 
U.S. Highway 40, thence east along U.S. Highway 40 to its junction with 
Brizen-Dine Road, thence south along the southerly extension of Brizen-
Dine Road to its junction with Missouri Highway AA, thence along 
Missouri Highway AA to its junction with the Blue Springs, Mo., 
corporate limits, thence along the southern and western corporate limits 
of Blue Springs, Mo., to its junction with U.S. Highway 40, thence west 
along U.S. Highway 40 to its junction with the Lee's Summit, Mo., 
corporate limits.
    Thence along the eastern Lee's Summit corporate limits to the 
Jackson-Cass County line, thence west along Jackson-Cass County line to 
the eastern corporate limits of Belton, Mo., thence along the eastern, 
southern, and western corporate limits of Belton to the western boundary 
of Richards-Gebaur Air Force Base, thence along the western boundary of 
said Air Force Base to Missouri Highway 150, thence west along Missouri 
Highway 150 to the Kansas-Missouri State line, thence north along the 
Kansas-Missouri State line, to 110th Street, thence west along 110th 
Street to its junction with U.S. Highway69, thence north along U.S. 
Highway 69 to its junction with 103d Street, thence west along 103d 
Street to its junction with Quivera Road (the corporate boundary of 
Lenexa, Kans.), thence along the eastern and southern boundaries of 
Lenexa to Black Bob Road, thence south along Black Bob Road to 119th 
Street, thence east along 119th Street to the corporate limits of 
Olathe, Kans., thence south and east along the Olathe corporate limits 
to Schlagel Road, thence south along Schlagel Road to Olathe Morse Road, 
thence west along Olathe Morse Road to the northeast corner of Johnson 
County Airportr, thence south, west, and north along the boundaries of 
said airport to Pflumm Road, thence north along Pflumm Road to its 
junction with Olathe Martin City Road, thence west along Olathe Martin 
City Road to its junction with Murden Road, thence south along Murden 
Road to its junction with Olathe Morse Road (the corporate boundary of 
Olathe, Kans.), thence west and north along said corporate boundary to 
its intersection with U.S. Highway 56, thence southwest along U.S. 
Highway 56 to its junction with 159th Street.
    Thence west along 159th Street to its junction with the Johnson 
County Industrial Airport, thence south, west, north and east along the 
boundaries of said airport to the point of beginning, on 159th Street, 
thence, east along 159th Street to its junction with U.S. Highway 56, 
thence northeast along U.S. Highway 56 to its junction with Parker Road, 
thence north along Parker Road to the northern boundary of Olathe, 
thence east and north along the northern corporate limits of Olathe to 
Pickering Road, thence north along PickeringRoad to 107th Street (the 
corporate boundary of Lenexa, Kans.), thence along the western and 
northern

[[Page 579]]

boundaries of Lenexa to Pflumm Road, thence north along Pflumm Road to 
its junction with Kansas Highway 10, thence along Kansas Highway 10 to 
its junction with Kansas Highway 7, thence along an imaginary line due 
west across the Kansas River to the Wyandotte County-Leavenworth County 
line (142d Street) at Loring, Kans., thence westerly along County Route 
No. 82, a distance of three-fourths of a mile to the entrance of the 
facilities at Mid-Continent Underground Storage, Loring, thence from 
Loring in a northerly direction along Loring Lane and Lindwood Avenue to 
the southern boundary of Bonner Springs, Kans.
    Thence along the southern, western, and northern boundaries of 
Bonner Springs to its intersection with Kansas Highway 7, thence 
southeast along Kansas Highway 7 to its junction with Kansas Highway 32, 
thence east on Kansas Highway 32 to the corporate boundary of Kansas 
City, Kans., thence north, west, and east along the corporate boundaries 
of Kansas City, Kans., to its junction with Cernech Road and Pomeroy 
Drive, thence northwesterly along Pomeroy Drive to its junction with 
79th Street, thence along 79th Street to its junction with Walcotte 
Drive at Pomeroy, Kans., thence due west 1.3 miles to its junction with 
an unnamed road, thence north along such unnamed road to the entrance of 
Powell Port facility, thence due north to the southern bank of the 
Missouri River, thence east along the southern bank of Missouri River to 
a point directly across from the western boundary of Parkville, Mo., 
thence across the Missouri River to the point of beginning.

                          Sec. 9 Boston, Mass.

    For the purpose of administration and enforcement of Part II of the 
Interstate Commerce Act, the zone adjacent to and commercially a part of 
Boston, Mass., and contiguous municipalities in which transportation by 
motor vehicle in interstate or foreign commerce, not under a common 
control, management, or arrangement for a continuous carriage or 
shipment to or from a point beyond the zone, will be partially exempt 
under section 203(b)(8) of the act from regulation, is hereby defined to 
include the following:
Boston, Mass.
Winthrop, Mass.
Chelsea, Mass.
Revere, Mass.
Everett, Mass.
Malden, Mass.
Medford, Mass.
Somerville, Mass.
Cambridge, Mass.
Watertown, Mass.
Brookline, Mass.
Newton, Mass.
Needham, Mass.
Dedham, Mass.
Milton, Mass.
Quincy, Mass.

          Sec. 10 Davenport, Iowa; Rock Island and Moline, Ill.

    For the purpose of administration and enforcement of Part II of the 
Interstate Commerce Act, the zones adjacent to and commercially a part 
of Davenport, Iowa, Rock Island and Moline, Ill., in which 
transportation by motor vehicle, in interstate or foreign commerce, not 
under a common control, management, or arrangement for a continuous 
carriage or shipment to or from a point beyond such municipalities or 
zones, will be partially exempt from regulation under section 203(b)(8) 
of the act (49 U.S.C. 303(b)(8) are hereby determined to be coextensive 
and to include and to be comprised of the following:
    (a) All points within the corporate limits of the city of Davenport 
and the city of Bettendorf, and in Davenport Township, Iowa.
    (b) All points north of Davenport Township within that portion of 
Sheridan Township, Iowa, bounded by a line as follows: Beginning at the 
points where U.S. Highway 61 crosses the Davenport-Sheridan Township 
line and extending northward along U.S. Highway 61 to the right-of-way 
of the Chicago, Milwaukee, St. Paul & Pacific Railroad Co., thence 
northwesterly along said right-of-way to its junction with the first 
east-west unnumbered highway, thence westerly approximately 0.25 mile to 
its junction with a north-south unnumbered highway, thence southerly 
along such unnumbered highway to the northeast corner of Mount Joy 
Airport, thence along the northern and western boundaries of said 
airport to the southwestern corner thereof, and thence south in a 
straight line to the northern boundary of Davenport Township.
    (c)(1) That part of Iowa lying west of the municipal limits of 
Davenport south of Iowa Highway 22, north of the Mississippi River and 
east of the present western boundary of the Dewey Portland Cement Co., 
at Linwood, including points on such boundaries, and (2) that part of 
Iowa east of the municipal limits of Bettendorf, south of U.S. Highway 
67, west of a private road running between U.S. Highway 67 and Riverside 
Power Plant of the Iowa-Illinois Gas & Electric Co., and north of the 
Mississippi River, including points on such boundaries.
    (d) The municipalities of Carbon Cliff, Silvis, East Moline, Moline, 
Rock Island, and Milan, Ill., and that part of Illinois lying south or 
east of such municipalities, within a line as follows: Beginning at a 
point where Illinois Highway 84 crosses the southern municipal limits of 
Carbon Cliff and extending southerly along such highway to its junction 
with Colona Road, thence westerly along Colona Road to Bowlesburg Road, 
thence southerly on Bowlesburg Road to the southern boundary of Hampton 
Township, thence along the southern boundaries of Hampton and South 
Moline Townships to U.S. Highway 150, thence southerly along U.S. 
Highway 150 to the southern boundary of the Moline Airport, thence along 
the southern and

[[Page 580]]

western boundaries of the Moline Airport to Illinois Highway 92, and 
thence along Illinois Highway 92 to the corporate limits of Milan.
    (e) All points in Illinois within one-half mile on each side of Rock 
Island County State Aid Route No. 9 extending southwesterly from the 
corporate limits of Milan for a distance of 1 mile, including points on 
such highway.

Sec. 11 Commercial zones of municipalities in New Jersey within 5 miles 
                            of New York, N.Y.

    (a) The application of Sec.372.241 is hereby extended to each 
municipality in New Jersey, any part of which is within 5 miles of the 
corporate limits of New York, N.Y.
    (b) The exemption provided by section 203(b)(8) of the Interstate 
Commerce Act, of transportation by motor vehicle, in interstate or 
foreign commerce, performed wholly within any commercial zone, the 
limits of which are defined in paragraph (a) of this section, is hereby 
removed as to all such transportation except (1) transportation which is 
performed wholly between any two points in New Jersey, or (2) 
transportation which is performed wholly between points in New Jersey 
named in Sec.372.201, on the one hand, and, on the other, points in 
New York named in Sec.372.201.

  Sec. 12 Commercial zones of municipalities in Westchester and Nassau 
                             Counties, N.Y.

    (a) The application of Sec.372.241 is hereby extended to each 
municipality in Westchester or Nassau Counties, N.Y.
    (b) The exemption provided by section 203(b)(8) of the Interstate 
Commerce Act, of transportation by motor vehicle, in interstate or 
foreign commerce, performed wholly within any commercial zone, the 
limits of which are defined in paragraph (a) of this section, is hereby 
removed as to all such transportation except (1) transportation which is 
performed wholly between points in New York neither of which is New York 
City, NY, or (2) transportation which is performed wholly between points 
in Westchester or Nassau County named in Sec.372.201, on the one hand, 
and, on the other, New York City, N.Y., or points in New Jersey named in 
Sec.372.201.

                          Sec. 13 Tucson, Ariz.

    That zone adjacent to and commercially a part of Tucson, Ariz., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond the zone, is 
partially exempt, under section 203(b)(8) of the Interstate Commerce Act 
(49 U.S.C. 303(b)(8)) from regulation, includes, and is comprised of, 
all points as follows:
    (a) The municipality of Tucson, Ariz., itself.
    (b) All points within a line drawn 5 miles beyond the corporate 
limits of Tucson, Ariz.
    (c) All points in that area south of the line described in paragraph 
(b) of this section, bounded by a line as follows: Beginning at the 
point where the line described in paragraph (b) of this section, 
intersects Wilmot Road, thence south along Wilmot Road to junction 
Nogales Old Vail Connection, thence west along Nogales Old Vail 
Connection, actual or extended, to the Santa Cruz River, thence north 
along the east bank of the Santa Cruz River to its joinder with the line 
described in paragraph (b) of this section.
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section.
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the city of Tucson or by any 
municipality included under the terms of paragraph (d) of this section.

                      Sec. 14 Albuquerque, N. Mex.

    The zone adjacent to and commercially a part of Albuquerque, N. 
Mex., within which transportation by motor vehicle, in interstate or 
foreign commerce, not under a common control, management, or arrangement 
for a continuous carriage or shipment to or from a point beyond the 
zone, is partially exempt, under section 203(b)(8) of the Interstate 
Commerce Act (49 U.S.C. 303(b)(8)), from regulation, includes, and is 
comprised of, all points as follows:
    (a) The municipality of Albuquerque, N. Mex., itself.
    (b) All points within a line drawn 5 miles beyond the corporate 
limits of Albuquerque, N. Mex.
    (c) All points in that area north of the line described in paragraph 
(b) of this section, bounded by a line as follows: Beginning at the 
intersection of the line described in paragraph (b) of this section and 
New Mexico Highway 528, extending in a northeasterly direction along New 
Mexico Highway 528 to its intersection with New Mexico Highway 44, 
thence easterly along New Mexico Highway 44 to its intersection with New 
Mexico Highway 422, thence southerly along New Mexico Highway 422 to its 
intersection with the line described in paragraph (b) of this section.
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section;
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the city of Albuquerque, N. Mex., or by 
any municipality included under the terms of paragraph (b) of this 
section.

[[Page 581]]

                       Sec. 18 Ravenswood, W. Va.

    That zone adjacent to and commercially a part of Ravenswood, W. Va., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond the zone, is 
partially exempt, under section 203(b)(8) of the Interstate Commerce Act 
(49 U.S.C. 303(b)(8)), from regulation, includes, and is comprised of, 
all points as follows:
    (a) The municipality of Ravenswood, W. Va., itself.
    (b) All points within a line drawn 3 miles beyond the corporate 
limits of Ravenswood, W. Va., and
    (c) All points in West Virginia in that area south and southwest of 
those described in paragraph (b) of this section, bounded by a line as 
follows: Beginning at the point where the Ohio River meets the line 
described in paragraph (b) of this section southwest of Ravenswood, 
thence southerly along the east bank of the Ohio River to the point 
where the mouth of the Lick Run River empties into the Ohio River; 
thence in a northeasterly direction along the northern bank of the Lick 
Run River to the point where it crosses West Virginia Highway 2 south of 
Ripley Landing, W. Va.; thence in a northerly direction along West 
Virginia Highway 2 to its intersection with the line described in 
paragraph (b) of this section west of Pleasant View, W. Va.

                        Sec. 19 Lake Charles, La.

    That zone adjacent to and commercially a part of Lake Charles, La., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond the zone, is 
partially exempt, under section 203(b)(8) of the Interstate Commerce Act 
(49 U.S.C. 303(b)(8)), from regulation, includes, and is comprised of, 
all points as follows:
    (a) The municipality of Lake Charles La., itself;
    (b) All points within a line drawn 4 miles beyond the corporate 
limits of Lake Charles, La.;
    (c) All points in that area south and west of the line described in 
paragraph (b) of this section, bounded by a line, as follows: beginning 
at the point where the line described in paragraph (b) of this section 
intersects Louisiana Highway 385; thence south along Louisiana Highway 
385 to its intersection with the Calcasieu-Cameron Parish line; thence 
west along the Calcasieu-Cameron Parish line to its intersection with 
Louisiana Highway 27; thence northerly along Louisiana Highway 27 to a 
point thereon 2 miles south of U.S. Highway 90; thence east along a line 
parallel to U.S. Highway 90 to Louisiana Highway 108; thence north along 
Louisiana Highway 108 to junction U.S. Highway 90; thence east along 
U.S. Highway 90 to the intersection thereof with the line described in 
paragraph (b) of this section;
    (d) All of the municipality any part of which is within the limits 
of the combined areas in paragraphs (b) and (c) of this section; and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the City of Lake Charles or by any 
municipality included under the terms of paragraph (d) of this section.

                         Sec. 20 Syracuse, N.Y.

    The zone adjacent to and commercially a part of Syracuse, N.Y., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuing carriage to or from a point beyond the zone is partially 
exempt from regulation under section 203(b)(8) of the Interstate 
Commerce Act (49 U.S.C. 303(b)(8)), includes and is comprised of all 
points as follows:
    (a) The municipality of Syracuse, NY., itself;
    (b) All other municipalities and unincorporated areas within 5 miles 
of the corporate limits of Syracuse, N.Y., and all of any other 
municipality any part of which lies within 5 miles of such corporate 
limits;
    (c) Those points in the town of Geddes, Onondaga County, N.Y., which 
are not within 5 miles of the corporate limits of Syracuse, N.Y.;
    (d) Those points in the towns of Van Buren and Lysander, Onondaga 
County, N.Y., not within 5 miles of the corporate limits of Syracuse, 
N.Y., and within an area bounded by a line beginning at the intersection 
of Van Buren Road with the line described in (b) above, thence 
northwesterly along Van Buren Road to its intersection with the cleared 
right-of-way of Niagara Mohawk Power Company, thence northwesterly and 
north along said right-of-way to its intersection between Church Road 
and Emerick Road, with the cleared right-of-way of New York State Power 
Authority, thence easterly along said clearedright-of-way to its 
intersection with the Seneca River, thence south along the Seneca River 
to its intersection, near Gaskin Road, with the cleared right-of-way of 
Niagara Mohawk Power Company, thence southwesterly along said cleared 
right-of-way to its intersection with the eastern limits of the Village 
of Baldwinsville, thence south along such Village limits to their 
intersection with a line of railroad presently operated by the Erie-
Lackawanna Railroad Company, thence southeasterly along said line of 
railroad to its intersection with the Van-Buren Lysander Town line, 
thence southeasterly

[[Page 582]]

along the Van-Buren Lysander Town line to its intersection with the Van-
Buren Geddes Town line, thence southeasterly along the Van-Buren Geddes 
Town line to the line described in (b) above.

                         Sec. 21 Baltimore, Md.

    The zone adjacent to and commercially a part of Baltimore, Md., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage to or from a point beyond the zone is partially 
exempt from regulation under section 203(b)(8) of the Interstate 
Commerce Act (49 U.S.C. 303(b)(8)) includes and it is comprised of all 
as follows:
    (a) The municipality of Baltimore itself;
    (b) All points within a line drawn 5 miles beyond the boundaries of 
Baltimore;
    (c) All points in that area east of the line described in paragraph 
(b) of this section bounded by a line as follows: Beginning at the point 
where the line described in paragraph (b) of this section crosses Dark 
Head Creek and extending in a southeasterly direction along the center 
of Dark Head Creek and beyond to a point off Wilson Point, thence in a 
northeasterly direction to and along the center of Frog Mortar Creek to 
Stevens Road, thence northerly along Stevens Road to Eastern Avenue, 
thence easterly along Eastern Avenue to Bengies Road, thence 
northwesterly along Bengies Road, to the right-of-way of the Penn 
Central Transportation Co., thence westerly along such right-of-way to 
the junction thereof with the line described in paragraph (b) of this 
section;
    (d) All points in that area south of the line described in paragraph 
(b) of this section, bounded on the west by the right-of-way of the line 
of the Penn Central Transportation Co., extending between Stony Run and 
Severn, Md., and on the south by that part of Maryland Highway 176, 
extending easterly from the said railroad to its junction with the line 
described in paragraph (b) of this section;
    (e) All points in that area southwest of the line described in 
paragraph (b) of this section, bounded by a line as follows: Beginning 
at the point where the line described in paragraph (b) of this section 
crosses the Baltimore-Washington Expressway and extending in a 
southwesterly direction along the Baltimore-Washington Expressway to its 
intersection with Maryland Highway 176, thence westerly along Maryland 
Highway 176 to its intersection with the Howard-Anne Arundel County 
line, thence southwesterly along said county line to its intersection 
with Maryland Highway 32, thence northwesterly along Maryland Highway 32 
to its intersection with the Little Patuxent River, thence northerly 
along the Little Patuxent River to the intersection of its north fork 
and its east fork located approximately 1 mile north of the intersection 
of Maryland Highway 32 and Berger Road, thenceeasterly along the east 
fork of the Little Patuxent River to its intersection with Broken Land 
Parkway, thence southerly along Broken Land Parkway to its intersection 
with Snowden River Parkway, thence easterly along Snowden River Parkway, 
to its intersection with relocated Maryland Highway 175, thence 
southeasterly along relocated Maryland Highway 175, to its intersection 
with Lark Brown Road, thence northeasterly along Lark Brown Road to its 
intersection with Maryland Highway 175, thence southerly along Maryland 
Highway 175 to its intersection with Interstate Highway 95, thence 
northeasterly along Interstate Highway 95 to its intersection with the 
line described in paragraph (b) of this section;
    (f) All points in that area north of the line described in paragraph 
(b) of this section bounded by a line as follows: Beginning at the 
junction of the line described in paragraph (b) of this section and the 
Baltimore-Harrisburg Expressway (Interstate Highway 83), thence 
northerly along Interstate Highway 83 to its junction with Shawan Road, 
thence easterly along Shawan Road to its junction with York Road 
(Maryland Highway 45) and continuing to a point 1,500 feet east of 
Maryland Highway 45, thence southerly along a line 1,500 feet east of 
the parallel to Maryland Highway 45 to its junction with the line 
described in paragraph (b) of this section;
    (g) All points in that area west of the line described in paragraph 
(b) of this section bounded by a line as follows: Beginning at the point 
where the line described in paragraph (b) of this section intersects 
U.S. Highway 40 west of Baltimore, Md., and extending in a westerly 
direction along U.S. Highway 40 to its intersection with St. John's 
Lane, thence southerly along St. John's Lane to its intersection with 
Maryland Highway 144, thence easterly along Maryland Highway 144 to its 
intersection with the line in paragraph (b) of this section;
    (h) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b), (c), (d), (e), (f), and 
(g) of this section;
    (i) All of any municipality wholly surrounded, or surrounded except 
for a water boundary, by the city of Baltimore or by any municipality 
included under the terms of (h) above.

                         Sec. 22 Cleveland, Ohio

    The zone adjacent to and commercially a part of Cleveland, Ohio, 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage to or from a point beyond the zone is partially 
exempt from regulation

[[Page 583]]

under section 203(b)(8) of the Interstate Commerce Act (49 U.S.C. 
303(b)(8)) includes and it is comprised of all as follows:
    (a) All points in Cuyahoga County, Ohio, and
    (b) All points in Wickliffe, Willoughby Hills, Waite Hill, 
Willoughby, Willowick, Eastlake, Lakeline, Timberlake, and Mentor, Lake 
County, Ohio.

                         Sec. 23 Detroit, Mich.

    For the purpose of administration and enforcement of Part II of the 
Interstate Commerce Act, the zone adjacent to and commercially a part of 
Detroit, Mich., in which transportation by motor vehicle in interstate 
or foreign commerce, not under a common control, management, or 
arrangement for a continuous carriage or shipment to or from a point 
beyond the zone, will be partially exempt under section 203(b)(8) of the 
act (49 U.S.C. 303(b)(8)) from regulation, is hereby determined to 
include, and to be comprised of, all that area within a line as follows:

    Beginning at a point on Lake St. Clair opposite the intersection of 
Fifteen Mile Road and Michigan Highway 29 and extending south and 
southwest along the shore of Lake St. Clair, to the Detroit River, 
thence along such River (east of Belle Isle) and Trenton Channel to a 
point opposite Sibley Road, thence west to and along Sibley Road to 
Waltz Road, thence north along Waltz Road to Wick Road, thence west 
along Wick Road to Cogswell Road, thence north along Cogswell Road to 
Van Born Road, thence east along Van Born Road to Newburgh Road, thence 
north along Newburgh Road to its junction with Halsted Road, thence 
north along Halsted Road to West Maple Road, thence east along West 
Maple Road to Telegraph Road, thence north along Telegraph Road to 
Sixteen Mile Road, thence east along Sixteen Mile Road to Utica Road, 
thence southeasterly along Utica Road to Fifteen Mile Road (also called 
East Maple Road), thence along Fifteen Mile Road and across Michigan 
Highway 29 to Lake St. Clair, the point of beginning.

                         Sec. 24 Seattle, Wash.

    The zone adjacent to and commercially a part of Seattle, Wash., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under common control, management, or arrangement for 
continuous carriage or shipments to or from a point beyond such zone, is 
partially exempt from regulation under section 203(b)(8) of the 
Interstate Commerce Act (49 U.S.C. 303(b)(8)) includes and is comprised 
of all points as follows:
    (a) The municipality of Seattle itself.
    (b) All points within a line drawn 5 miles beyond the municipal 
limits of Seattle, except points on Bainbridge Island, Vashon Island, 
and Blake Island.
    (c) All points more than 5 miles beyond the municipal limits of 
Seattle (1) within a line as follows: Beginning at that point south of 
Seattle where the eastern shore of Puget Sound intersects the line 
described in paragraph (b) of this section, thence southerly along the 
eastern shore of Puget Sound to Southwest 192d Street, thence easterly 
along Southwest 192d Street to thepoint where it again intersects the 
line described in paragraph (b) of this section; and (2) within a line 
as follows: Beginning at the junction of the southern corporate limits 
of Kent, Wash., and Washington Highway 181, and extending south along 
Washington Highway 181 to the northern corporate limits of Auburn, 
Wash., thence along the western, southern, and eastern corporate limits 
of Auburn to the junction of the northern corporate limits of Auburn and 
Washington Highway 167, thence northerly along Washington Highway 167 to 
its junction with the southern corporate limits of Kent, Wash., 
including all points on the highways named.
    (d) All points more than 5 miles beyond the municipal limits of 
Seattle within a line as follows: Beginning at the junction of the 
northern corporate limits of Lynwood, Wash., and U.S. Highway 99, thence 
north along U.S. Highway 99 to its junction with Washington Highway 525, 
thence along Washington Highway 525 to its junction with West Casino 
Road, thence east along West Casino Road to the western boundary of the 
Everett facilities of the Boeing Co. at or near 4th Avenue West, thence 
along the western, northern and eastern boundaries of the facilities of 
the Boeing Co. to West Casino Road, thence east along West Casino Road 
to its junction with U.S. Highway 99, thence south along U.S. Highway 99 
to 112th Street, thence easterly along 112th Street to its junction with 
Interstate Highway 5, thence southerly along Interstate Highway 5 to its 
intersection with the present zone limits, including all points on the 
named routes.
    (e) All of any municipality any part of which is within the limits 
set forth in (b) above.
    (f) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the city of Seattle or by any 
municipality included under the terms of (b) above.

                          Sec. 25 Albany, N.Y.

    For the purpose of administration and enforcement of Part II of the 
Interstate Commerce Act, the zone adjacent to and commercially a part of 
Albany, N.Y., in which transportation by motor vehicle in interstate or 
foreign commerce, not under a common control, management, or arrangement 
for a continuous carriage or shipment to or from a

[[Page 584]]

point beyond the zone, will be partially exempt under section 203(b)(8) 
of the act (49 U.S.C. 303(b)(8)) from regulations, is hereby determined 
to include, and to be comprised of, the following:
    (a) The municipality of Albany itself,
    (b) All points within a line drawn 5 miles beyond the municipal 
limits of Albany,
    (c) All points in that area more than 5 miles beyond the municipal 
limits of Albany bounded by a line as follows: Beginning at that point 
on Swatling Road (in the Town of Colonie) where it crosses the line 
described in (b) above and extending northerly along such road to the 
municipal limits of Cohoes, thence along the western and northern 
boundary of Cohoes to the Mohawk River, thence along such river to the 
northern boundary of the Town of Waterford, thence along the northern 
and eastern boundaries of the Town of Waterford to the northern boundary 
of the City of Troy (all of which city is included under the next 
following provision),
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in (b) and (c) above, and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Albany or by any 
other municipality included under the terms of (d) above.

                   Sec. 26 Minneapolis-St. Paul, Minn.

    The zone adjacent to and commercially a part of Minneapolis-St. 
Paul, Minn, within which transportation by motor vehicle, in interstate 
or foreign commerce, not under a common control, management, or 
arrangement for a continuous carriage to or from a point beyond the zone 
is partially exempt from regulation under section 203(b)(8) of the 
Interstate Commerce Act (49 U.S.C. 303(b)(8)) includes and it is 
comprised of all as follows:

    Beginning at the intersection of Minnesota Highway 36 and the 
Minnesota River and extending along the Minnesota River to the southwest 
corner of the city of Bloomington, thence north along the western 
boundaries of the city of Bloomington and the village of Edina to the 
southern boundary of the city of Hopkins, thence along the southern, 
western, and northern boundaries of the city of Hopkins to the western 
boundary of the city of St. Louis Park, thence north along the western 
boundaries of the city of St. Louis Park and the village of Golden 
Valley to the southeast corner of the village of Plymouth, thence west 
along the southern boundary of Plymouth to Interstate Highway 494, 
thence north along Interstate Highway 494 to Minnesota Highway 55, 
thence southeast along Minnesota Highway 55 to the western boundary of 
the village of Golden Valley, thence north along the western boundaries 
of the villages of Golden Valley and New Hope to the northwestern corner 
of the village of New Hope, thence east along the northern boundary of 
the village of New Hope and the city of Crystal to the western boundary 
of the village of Brooklyn Center, thence north along the western 
boundary of the village of Brooklyn Center to its northern boundary, 
thence east along such northernboundary to the Hennepin County-Anoka 
County line, thence north along such county line to the northwestern 
corner of the village of Spring Lake Park in Anoka County, thence east 
along the northern boundary of the village of Spring Lake Park to the 
northwest corner of Mounds View Township in Ramsey County, thence east 
and south along the northern and eastern boundaries of Mounds View 
Township to the northwestern corner of the village of Little Canada, 
thence east and south along the northern and eastern boundaries of 
Little Canada to the northwest corner of the village of Maplewood, 
thence east and south along the northern and eastern boundaries of the 
village of Maplewood to the northeastern corner of the village of North 
St. Paul, thence south along the eastern boundary of the village of 
North St. Paul to the southeast corner of such village, thence south 
along the eastern boundary of the village of Maplewood to the 
northeastern corner of the village of Newport, thence south and west 
along the eastern and southern boundaries of the village of Newport to 
U.S. Highway 61, thence southeasterly along U.S. Highway 61, to the 
eastern boundary of the village of St. Paul Park, thence along the 
eastern, southern, and western boundaries of the village of St. Paul 
Park to a point on the Mississippi River opposite the southeast corner 
of the original village of Inver Grove, thence westerly across the river 
and along the southern and western boundaries of the original village of 
Inver Grove to the northwestcorner of such village, thence due north to 
the southern boundary of South St. Paul, thence north and west along the 
western and southern boundaries of South St. Paul to the southeastern 
corner of West St. Paul, thence west along the southern boundary of West 
St. Paul to County Highway 63, thence south along County Highway 63 to 
its junction with County Highway 63A, thence west along County Highway 
63A to its junction with Minnesota Highway 49, thence north along 
Minnesota Highway 49 to its junction with County Highway 28, thence west 
along County Highway 28 to its junction with Minnesota Highway 13, 
thence southwest along Minnesota Highway 13 to its junction with 
Minnesota Highway 36, thence north and northwest along Minnesota Highway 
36 to the Minnesota River, the point of beginning.

[[Page 585]]

                        Sec. 27 New Orleans, La.

    The zone adjacent to and commercially a part of New Orleans, La., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond the zone is 
partially exempt from regulation under section 203(b)(8) of the 
Interstate Commerce Act (49 U.S.C. 303(b)(8)), includes and is comprised 
of all points in the area bounded as follows:

    Commencing at a point on the shore of Lake Pontchartrain where it is 
crossed by the Jefferson Parish-Orleans Parish line; thence easterly 
along the shore of Lake Pontchartrain to the Rigolets; thence through 
the Rigolets in an easterly direction to Lake Borgne; thence 
southwesterly along the shore of Lake Borgne to the Bayou Bienvenue; 
thence in a general westerly direction along the Bayou Bienvenue (which 
also constitutes the Orleans Parish-St. Bernard Parish line) to Paris 
Road; thence in a southerly direction along Paris Road to the Back 
Protection Levee; thence in a southeasterly direction along the Back 
Protection Levee (across Lake Borgne Canal) to a point 1 mile north of 
Louisiana Highway 46; thence in an easterly direction 1 mile north of 
Louisiana Highway 46 to longitude 89[deg]50[min] W.; thence south along 
longitude line 89[deg]50[min] W. (crossing Louisiana Highway 46 
approximately three-eighths of a mile east of Toca) to Forty Arpent 
Canal; thence westerly, northwesterly, and southerly along Forty Arpent 
Canal to Scarsdale Canal; thence northwesterly along Scarsdale Canal and 
beyond it in the same direction to the middle of the Mississippi River; 
thence southerly along the middle of the Mississippi River to the 
Augusta Canal; thence in a westerly direction along the Augusta Canal to 
the Gulf Intracoastal Waterway; thence in a northerly direction along 
the middle of the Gulf Intracoastal Waterway (Harvey Canal) to the point 
where Lapalco Boulevard runs perpendicular to the Gulf Intracoastal 
Waterway (Harvey Canal); thence in a westerly direction along Lapalco 
Boulevard to its junction with Barataria Boulevard; thence north on 
Barartaria Boulevard to a point approximately 2 miles south of the 
MississippiRiver where a high tension transmission line crosses 
Barataria Boulevard; thence in a westerly direction following such 
transmission line to the intersection thereof with U.S. Highway 90; 
thence westerly along U.S. Highway 90 to the Jefferson Parish-St. 
Charles Parish line; thence north along such parish line to the middle 
of the Mississippi River; thence westerly along the middle of the 
Mississippi River to a point south of Almedia Road; thence north to 
Almedia Road; thence in a northerly direction along Almedia Road to its 
junction with Highway 61; thence north to the shore of Lake 
Pontchartrain; thence along the shore of Lake Pontchartrain in an 
easterly direction to the Jefferson Parish-Orleans Parish line, the 
point of beginning.

                         Sec. 28 Pittsburgh, Pa.

    For the purpose of administration and enforcement of Part II of the 
Interstate Commerce Act, the zone adjacent to and commercially a part of 
Pittsburgh, Pa., in which transportation by motor vehicle in interstate 
or foreign commerce, not under a common control, management, or 
arrangement for a continuous carriage or shipment to or from a point 
beyond the zone, will be partially exempt under section 203(b)(8) of the 
act (49 U.S.C. 303(b)(8)) from regulation, is hereby determined to 
include, and to be comprised of, the following:

    (a) All points in Allegheny County, Pa., except Forward, Elizabeth, 
South Versailles, Marshall (including the Borough of Bradford Woods), 
Pine Richland, West Deer and Fawn Townships and that part of Frazer 
Township north of a line made by extending easterly in a straight line 
the southern boundary of West Deer Township.
    (b) Borough of Trafford situated in both Alleghency and Westmoreland 
Counties;
    (c) Borough of Ambridge and Harmony Township located in Beaver 
County; and
    (d) The City of New Kensington and Borough of Arnold in Westmoreland 
County.

                         Sec. 29 Portland, Oreg.

    For the purpose of administration and enforcement of Part II of the 
Interstate Commerce Act, the zone adjacent to and commercially a part of 
Portland, Oreg., in which transportation by motor vehicle in interstate 
or foreign commerce, not under a common control, management, or 
arrangement for a continuous carriage or shipment to or from a point 
beyond the zone, will be partially exempt under section 203(b)(8) of the 
act (49 U.S.C. 303(b)(8)) from regulation, is hereby determined to 
include, and to be comprised of, the following:
    (a) The municipality itself.
    (b) All points in Oregon within a line drawn 5 miles beyond the 
corporate limits of Portland.
    (c) All of any municipality any part of which is within the line 
described in (b) above.
    (d) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the city of Portland or by any 
municipality included under the terms of (c) above.

[[Page 586]]

                        Sec. 30 Vancouver, Wash.

    For the purpose of administration and enforcement of Part II of the 
Interstate Commerce Act, the zone adjacent to and commercially a part of 
Vancouver, Wash., in which transportation by motor vehicle in interstate 
or foreign commerce, not under a common control, management, or 
arrangement for a continuous carriage or shipment to or from a point 
beyond the zone, will be partially exempt under section 203(b)(8) of the 
act (49 U.S.C. 303(b)(8)) from regulation, is hereby determined to 
include, and to be comprised of, the following:

    (a) The municipality itself.
    (b) All points in Washington within a line drawn 4 miles beyond the 
corporate limits of Vancouver.
    (c) All of any municipality any part of which is within the line 
described in (b) above.
    (d) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the City of Vancouver or by any 
municipality included under the terms of (c) above.

                        Sec. 31 Charleston, S.C.

    The zone adjacent to and commercially a part of Charleston, S.C., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond the zone is 
partially exempt, under section 203(b)(8) of the Interstate Commerce Act 
(49 U.S.C. 303(b)(8)), from regulation, includes and is comprised of, 
all points and places as follows:
    (a) The municipality of Charleston itself.
    (b) All points within a line drawn 4 miles beyond the boundaries of 
Charleston.
    (c) All points in that area north of the line described in paragraph 
(b) of this section, bounded by a line as follows: Beginning at the 
point where the line described in paragraph (b) of this section crosses 
Cooper River and extending in a northerly direction along the center of 
Cooper River to Goose Creek; thence north and west along the center of 
Goose Creek to the dam of the reservoir of the Charleston waterworks; 
thence northwesterly along the west bank of the Charleston waterworks 
reservoir for approximately one mile to an unnamed creek; thence 
westerly along the center of this unnamed creek for approximately one 
mile to U.S. Highway 52; thence northerly along U.S. Highway 52 to 
junction South Carolina Highway S-10-75; thence westerly along South 
Carolina Highway S-10-75 approximately one and one half miles to a point 
one quarter mile west of the track of the Southern Railway Company; 
thence southeasterly along a line one quarter of a mile west of, and 
parallel to, the track of the Southern Railway Company to the junction 
thereof with the line described in paragraph (b) of this section.
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (1) and (c) of this section.
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the city of Charleston or by any 
municipality included under the terms of paragraph (d) of this section.

                       Sec. 32 Charleston, W. Va.

    That zone adjacent to and commercially a part of Charleston, W. Va., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond the zone, is 
partially exempt, under section 203(b)(8) of the Interstate Commerce Act 
(49 U.S.C. 303(b)(8)), from regulation, includes, and is comprised of, 
all points and places as follows:
    (a) The municipality of Charleston, W. Va., itself.
    (b) All points within a line drawn 4 miles beyond the corporate 
limits of Charleston, W. Va.
    (c) All points in that area northwest of those described in (b) 
above, bounded by a line as follows: Beginning at a point on the line 
described in (b) above, one-half mile south of U.S. Highway 60 west of 
Charleston, thence westerly along a line one-half mile south of the 
junction of U.S. Highway 60 with West Virginia Highway 17 near 2\3/4\ 
Mile Creek, thence westerly along a line one-half mile south of and 
parallel to West Virginia Highway 17 to the Coal River, thence north 
along the center of the Coal River to West Virginia Highway 17, thence 
northerly along West Virginia Highway 17 to Scary Creek, near Scary, W. 
Va., thence east along Scary Creek to the center of the Kanawha River, 
thence northerly along the center of the Kanawha River to a point 
opposite the mouth of Blake Creek (between Nitro and Poca, W. Va.), 
thence easterly along a straight line drawn through the junction of U.S. 
Highway 35 and West Virginia Highway 25 to a point one-half mile beyond 
said junction, thence southerly along a line one-half mile northeast of 
and parallel to West Virginia Highway 25 to the junction of the line 
described in (b) above.
    (d) All points in that area southeast of those described in (b) 
above, bounded by a line as follows: Beginning at a point on the line 
described in (b) above one-half mile south of the Kanawha River, thence 
easterly along a line one-half mile south of, and parallel to, the 
Kanawha River to junction with a straight line intersecting the highway 
bridge at Chelyan, W. Va., thence northerly along said straight line 
across the Kanawha River to a point one-half mile north of the

[[Page 587]]

Kanawha River, thence westerly along a line one-half mile north of and 
parallel to the Kanawha River to the junction of the line described in 
(b) above.
    (e) All of any municipality any part of which is within the limits 
of the combined areas defined in (b), (c), and (d) above.

                         Sec. 33 Memphis, Tenn.

    That zone adjacent to and commercially a part of Memphis, Tenn., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control management, or arrangement for a 
continuous carriage or shipment to or from a point beyond the zone, is 
partially exempt, under section 203(b)(8) of the Interstate Commerce Act 
(49 U.S.C. 303(b)(8)) from regulation, includes, and is comprised of, 
all points as follows:
    (a) The municipality of Memphis, Tenn., itself.
    (b) All points within a line drawn 5 miles beyond the corporate 
limits of Memphis, Tenn.
    (c) All points in that part of Shelby County, Tenn., north of the 
line described in paragraph (b) of this section, bounded by a line as 
follows: Beginning at the intersection of the line described in 
paragraph (b) of this section and U.S. Highway 51 north of Memphis, 
thence northeasterly along U.S. Highway 51 for approximately 3 miles to 
its intersection with Lucy Road, thence easterly along Lucy Road for 
approximately 1.4 miles to its intersection with Chase Road, thence 
northerly along Chase Road for approximately 0.6 mile to its 
intersection with Lucy Road thence easterly along Lucy Road for 
approximately 0.8 mile to its intersection with Main Road, thence 
southereasterly along Main Road approximately 0.3 mile to its 
intersection with Amherst Road, thence southerly and easterly along 
Amherst Road for approximately 0.8 mile to its intersection with 
Raleigh-Millington Road, thence southerly along Raleigh-Millington Road 
for approximately 2 miles to its intersection with the line described in 
paragraph (b) of this section north of Memphis;
    (d) All of any municipality any part of which is within the limits 
of the combined areas described in paragraphs (b) and (c) of this 
section.

                          Sec. 34 Houston, Tex.

    The zone adjacent to, and commercially a part of Houston, Tex., and 
contiguous municipalities in which transportation by motor vehicle, in 
interstate or foreign commerce, not under common control, management, or 
arrangement for a continuous carriage or shipment to or from a point 
beyond the zone, will be partially exempt under section 203(b)(8) of the 
act from regulation, is hereby defined to include the area which would 
result by application of the general formula promulgated in Sec.
372.241, and in addition thereto, the municipalities of Baytown, La 
Porte and Lomax, Tex.

                          Sec. 35 Pueblo, Colo.

    The zone adjacent to and commercially a part of Pueblo, Colo., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone is 
partially exempt from regulation under section 203(b)(8) of the 
Interstate Commerce Act (49 U.S.C. 303(b)(8)), includes and is comprised 
of all points as follows:
    (a) the municipality of Pueblo, Colo., itself;
    (b) All points within a line drawn 4 miles beyond the corporate 
limits of Pueblo, Colo.:
    (c) All of the area known as the Pueblo Memorial Airport, consisting 
of about 3,500 acres, not within 4 miles of the corporate limits of 
Pueblo, Colo., and within an area located on the East of Pueblo, the 
nearest point being about 3.80 miles from the city limits of Pueblo, and 
bounded on the south by the tracks of the Santa Fe Railroad and the 
Missouri Pacific Railroad, and a public highway known as Baxter Road and 
designated as U.S. Highway 50 Bypass and Colorado Highway 96, with such 
property extending north, west, and east of the described southern base 
line.

                          Sec. 36 Warren, Ohio.

    The zone adjacent to and commercially a part of Warren, Ohio, within 
which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond the zone, is 
partially exempt, under section 203(b)(8) of the Interstate Commerce Act 
(49 U.S.C. 303(b)(8)) from regulation includes, and is comprised of, all 
points as follows:
    (a) The municipality of Warren, Ohio, itself.
    (b) All points within a line drawn 4 miles beyond the corporate 
limits of Warren, Ohio.
    (c) All points in that area, south of the line in paragraph (b) of 
this section, bounded by a line as follows: Beginning at the point where 
the line described in paragraph (b) of this section intersects 
Ellsworth-Baily Road, thence south along Ellsworth-Baily Road to the 
Ohio Turnpike, thence southeast along the Ohio Turnpike to New Hallock-
Young Road, thence northeast along New Hallock-Young Road to Hallock-
Young Road, thence east along Hallock-Young Road to junction Ohio 
Highway 45 (Salem-Warren Road), thence north along Ohio Highway 45 
(Salem-Warren Road) to its intersection with the

[[Page 588]]

line described in paragraph (b) of this section.

                         Sec. 37 Louisville, Ky.

    The zone adjacent to and commercially a part of Louisville, Ky., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulation under section 203(b)(8) of the 
Interstate Commerce Act (49 U.S.C. 303(b)(8)) includes and is comprised 
of all points as follows:
    (a) The municipality of Louisville, Ky., itself;
    (b) All other municipalities and unincorporated areas within 5 miles 
of the corporate limits of Louisville, Ky., and all of any municipality 
any part of which lies within 5 miles of such corporate limits; and
    (c) Those points not within 5 miles of the corporate limits of 
Louisville, Ky., and within an area bounded by a line beginning at the 
junction of Kentucky Highway 146 (LaGrange Road) and Kentucky Highway 
1447 (Westport Road), thence over Kentucky Highway 146 to the junction 
of Kentucky Highway 146 and Kentucky Highway 841 (Jefferson Freeway), 
thence over Kentucky Highway 841 to the junction of Kentucky Highway 841 
and Kentucky Highway 1447, thence over Kentucky Highway 1447 to junction 
Kentucky Highway 1447 and Kentucky Highway 146, the point of beginning, 
all within Jefferson County, Ky.

                        Sec. 38 Sioux City, Iowa.

    The zone adjacent to and commercially a part of Sioux City, Iowa, 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulation under section 203(b)(8) of the 
Interstate Commerce Act (49 U.S.C. 303(b)(8)) includes and is comprised 
of all points as follows:
    (a) The area which would result by application of the general 
formula promulgated in Sec.372.241; and, in addition thereto,
    (b) That area bounded by a line beginning at the intersection of 
Interstate Highway 29 and the line described in paragraph (a) of this 
section, and extending southeasterly along Interstate Highway 29 to its 
intersection with the Liberty-Lakeport Township, Iowa, line, thence 
westerly along the Liberty-Lakeport Township, Iowa, line to the Missouri 
River, thence northerly along the east bank of the Missouri River to its 
intersection with the line described in paragraph (a) of this section, 
thence along the line described in paragraph (a) of this section, to the 
point of beginning.

                         Sec. 39 Beaumont, Tex.

    The zone adjacent to and commercially a part of Beaumont, Tex., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulation under section 203(b)(8) of the 
Interstate Commerce Act (49 U.S.C. 303(b)(8)) includes and is comprised 
of all points as follows:
    (a) The areas which would result by application of the general 
formula promulgated in Sec.372.241 for Beaumont, Tex.; and in addition 
thereto,
    (b) That area bounded by a line beginning at that point where the 
west bank of Hillebrandt Bayou intersects the line described in 
paragraph (a) of this section; thence along the west bank of Hillebrandt 
Bayou to its confluence with Taylors Bayou: thence in a southeasterly 
direction along the west and south banks of Taylors Bayou to its 
confluence with the Intracoastal Waterway; thence along the west and 
north banks of the Intra-coastal Waterway to its confluence with Sabine 
River and Sabine Lake at a point immediately east of Groves; thence in a 
northeasterly direction along the north and west banks of Sabine Lake 
and Sabine River to the Orange-Newton County line; thence westerly along 
said county line to the west right-of-way line of State Highway 87; 
thence southerly along the west right-of-way line of State Highway 87 to 
the north right-of-way line of Interstate Highway 10; thence westerly 
along the north right-of-way line of Interstate Highway 10 to 
intersection with the line described in paragraph (a) of this section; 
thence along the line described in paragraph (a) of this section, to the 
point of beginning.

Sec. 40 Metropolitian Government of Nashville and Davidson County, Tenn.

    The zone adjacent to and commercially a part of the Metropolitan 
Government of Nashville and Davidson County, Tenn, within which 
transportation by motor vehicle, in interstate or foreign commerce, not 
under a common control, management, or arrangement for a continuous 
carriage or shipment to or from a point beyond the zone, is partially 
exempt from regulation under section 203(b)(8) of the Interstate 
Commerce Act (49 U.S.C. 303(b)(8)) includes and is comprised of all 
points as follows:
    (a) The Metropolitan Government of Nashville and Davidson County 
itself.
    (b) All of any municipality wholly surrounded, or so surrounded 
except for a water

[[Page 589]]

boundary, by the Metropolitan Government of Nashville and Davidson 
County.

             Sec. 41 Consolidated City of Indianapolis, Ind.

    The zone adjacent to and commercially a part of the Consolidated 
City of Indianapolis, Ind., within which transportation by motor 
vehicle, in interstate or foreign commerce, not under a common control, 
management, or arrangement for a continuous carriage or shipment to or 
from a point beyond the zone, is partially exempt from regulation under 
section 203(b)(8) of the Interstate Commerce Act (49 U.S.C. 303(b)(8) 
includes and is comprised of all points as follows:

    (a) The Consolidated City of Indianapolis, Ind., itself.
    (b) All of any municipality wholly surrounded or so surrounded 
except for a water boundary, by the Consolidated City of Indianapolis.

               Sec. 42 Lexington-Fayette Urban County, Ky.

    The zone adjacent to and commercially a part of Lexington-Fayette 
Urban County, Ky., within which transporation by motor vehicle, in 
interstate or foreign commerce, not under a common control, management, 
or arrangement for a continuous carriage or shipment to or from a point 
beyond the zone, is partially exempt from regulation under section 
203(b)(8) of the Interstate Commerce Act (49 U.S.C. 303(b)(8)) includes 
and is comprised of all points as follows:

    (a) Lexington-Fayette Urban County, Ky., itself.
    (b) All other municipalities and unincorporated areas within 5 miles 
of the intersection of U.S. Highway 27 (Nicholasville Road) with the 
corporate boundary line between Jessamine County, Ky., and Lexington-
Fayette Urban County, Ky.

                          Sec. 43 Definitions.

    For the purposes of this part, the following terms are defined:
    (a) ``Municipality'' means any city, town, village, or borough which 
has been created by special legislative act or which has been, 
otherwise, individually incorporated or chartered pursuant to general 
State laws, or which is recognized as such, under the Constitution or by 
the laws of the State in which located, and which has a local 
government. It does not include a town of the township or New England 
type.
    (b) ``Contiguous municipalities'' means municipalities, as defined 
in paragraph (a) of this section, which have at some point a common 
municipal or corporate boundary.
    (c) ``Unincorporated area'' means any area not within the corporate 
or municipal boundaries of any municipality as defined in paragraph (a) 
of this section.

     Sec. 44 Commercial zones determined generally, with exceptions.

    The commercial zone of each municipality in the United States, with 
the exceptions indicated in the note at the end of this section, within 
which the transportation of passengers or property, in interstate or 
foreign commerce, when not under a common control, management, or 
arrangement for a continuous carriage or shipment to or from a point 
without such zone, is exempt from all provisions of Part II, Interstate 
Commerce Act, except the provisions of section 204 relative to the 
qualifications and maximum hours of service of employees and safety of 
operation or standards of equipment shall be deemed to consist of:
    (a) The municipality itself, hereinafter called the base 
municipality;
    (b) All municipalities which are contiguous to the base 
municipality;
    (c) All other municipalities and all unincorporated area within the 
United States which are adjacent to the base municipality as follows:
    (1) When the base municipality has a population less than 2,500 all 
unincorporated areas within two miles of its corporate limits and all of 
any other municipality any part of which is within two miles of the 
corporate limits of the base municipality,
    (2) When the base municipality has a population of 2,500 but less 
than 25,000, all unincorporated areas within 3 miles of its corporate 
limits and all of any other municipality any part of which is within 3 
miles of the corporate limits of the base municipality,
    (3) When the base municipality has a population of 25,000 but less 
than 100,000, all unincorporated areas within 4 miles of its corporate 
limits and all of any other municipality any part of which is within 4 
miles of the corporate limits of the base municipality, and
    (4) When the base municipality has a population of 100,000 or more, 
all unincorporated areas within 5 miles of its corporate limits and all 
of any other municipality any part of which is within 5 miles of the 
corporate limits of the base municipality, and
    (d) All municipalities wholly surrounded, or so surrounded except 
for a water boundary, by the base municipality, by any municipality 
contiguous thereto, or by any municipality adjacent thereto which is 
included in the commercial zone of such base municipality under the 
provisions of paragraph (c) of this section.

    Note: Except: Municipalities the commercial zones of which have been 
or are hereafter individually or specially determined.


[[Page 590]]



           Sec. 45 Controlling distances and population data.

    In the application of Sec.372.241:
    (a) Air-line distances or mileages about corporate limits of 
municipalities shall be used.
    (b) The population of any municipality shall be deemed to be the 
highest figure shown for that municipality in any decennial census since 
(and including) the 1940 decennial census.

[53 FR 18058, May 19, 1988, as amended at 62 FR 49942, Sept. 24, 1997]



    Sec. Appendix G to Subchapter B of Chapter III--Minimum Periodic 
                          Inspection Standards

    A vehicle does not pass an inspection if it has one of the following 
defects or deficiencies:
    1. Brake System.
    a. Service brakes. (1) Absence of braking action on any axle 
required to have brakes upon application of the service brakes (such as 
missing brakes or brake shoe(s) failing to move upon application of a 
wedge, S-cam, cam, or disc brake).
    (2) Missing or broken mechanical components including: shoes, 
lining, pads, springs, anchor pins, spiders, cam rollers, push-rods, and 
air chamber mounting bolts.
    (3) Loose brake components including air chambers, spiders, and cam 
shaft support brackets.
    (4) Audible air leak at brake chamber (Example-ruptured diaphragm, 
loose chamber clamp, etc.).
    (5) Readjustment limits. (a) The maximum pushrod stroke must not be 
greater than the values given in the tables below and at Sec.
393.47(e). Any brake stroke exceeding the readjustment limit will be 
rejected. Stroke must be measured with engine off and reservoir pressure 
of 80 to 90 psi with brakes fully applied.

                        Clamp-Type Brake Chambers
------------------------------------------------------------------------
                                  Brake readjustment  Brake readjustment
   Type       Outside diameter     limit: standard    limit: long stroke
                                    stroke chamber          chamber
------------------------------------------------------------------------
6.........  4 \1/2\ in. (114     1 \1/4\ in. (31.8
             mm).                 mm).
9.........  5 \1/4\ in. (133     1 \3/8\ in. (34.9
             mm).                 mm).
12........  5 \11/16\ in. (145   1 \3/8\ in. (34.9    1 \3/4\ in. (44.5
             mm).                 mm).                 mm).
16........  6 \3/8\ in. (162     1 \3/4\ in. (44.5    2 in. (50.8 mm).
             mm).                 mm).
20........  6 \25/32\ in. (172   1 \3/4\ in. (44.5    2 in. (50.8 mm).
             mm).                 mm).                2 \1/2\ in. (63.5
                                                       mm).\1\
24........  7 \7/32\ in. (184    1 \3/4\ in. (44.5    2 in. (50.8 mm).
             mm).                 mm).                2 \1/2\ in. (63.5
                                                       mm).\2\
30........  8 \3/32\ in. (206    2 in. (50.8 mm)....  2 \1/2\ in. (63.5
             mm).                                      mm).
36........  9 in. (229 mm).....  2 \1/4\ in. (57.2
                                  mm).
------------------------------------------------------------------------
\1\ For type 20 chambers with a 3-inch (76 mm) rated stroke.
\2\ For type 24 chambers with a 3-inch (76 mm) rated stroke.


                       Bendix DD-3 Brake Chambers
------------------------------------------------------------------------
       Type             Outside diameter        Brake readjustment limit
------------------------------------------------------------------------
30...............  8 \1/8\ in. (206 mm)......  2 \1/4\ in. (57.2 mm).
------------------------------------------------------------------------


                        Bolt-Type Brake Chambers
------------------------------------------------------------------------
       Type             Outside diameter        Brake readjustment limit
------------------------------------------------------------------------
A................  6 \15/16\ in. (176 mm)....  1 \3/8\ in. (34.9 mm).
B................  9 \3/16\ in. (234 mm).....  1 \3/4\ in. (44.5mm).
C................  8 \1/16\ in. (205 mm).....  1 \3/4\ in. (44.5 mm).
D................  5 \1/4\ in. (133 mm)......  1 \1/4\ in. (31.8 mm).
E................  6 \3/16\ in. (157 mm).....  1 \3/8\ in. (34.9 mm).
F................  11 in. (279 mm)...........  2 \1/4\ in. (57.2 mm).
G................  9 \7/8\ in. (251 mm)......  2 in. (50.8 mm).
------------------------------------------------------------------------


                     Rotochamber-Type Brake Chambers
------------------------------------------------------------------------
       Type             Outside diameter        Brake readjustment limit
------------------------------------------------------------------------
9................  4 \9/32\ in. (109 mm).....  1 \1/2\ in. (38.1 mm).
12...............  4 \13/16\ in. (122 mm)....  1 \1/2\ in. (38.1 mm).
16...............  5 \13/32\ in. (138 mm)....  2 in. (50.8 mm).
20...............  5 \15/16\ in. (151 mm)....  2 in. (50.8 mm).
24...............  6 \13/32\ in. (163 mm)....  2 in. (50.8 mm).
30...............  7 \1/16\ in. (180 mm).....  2\1/4\ in. (57.2 mm).

[[Page 591]]

 
36...............  7 \5/8\ in. (194 mm)......  2 \3/4\ in. (69.9 mm).
50...............  8 \7/8\ in. (226 mm)......  3 in. (76.2 mm).
------------------------------------------------------------------------

    (b) For actuator types not listed in these tables, the pushrod 
stroke must not be greater than 80 percent of the rated stroke marked on 
the actuator by the actuator manufacturer, or greater than the 
readjustment limit marked on the actuator by the actuator manufacturer.
    (6) Brake linings or pads.
    (a) Lining or pad is not firmly attached to the shoe;
    (b) Saturated with oil, grease, or brake fluid; or
    (c) Non-steering axles: Lining with a thickness less than \1/4\ inch 
at the shoe center for air drum brakes, \1/16\ inch or less at the shoe 
center for hydraulic and electric drum brakes, and less than \1/8\ inch 
for air disc brakes.
    (d) Steering axles: Lining with a thickness less than \1/4\ inch at 
the shoe center for drum brakes, less than \1/8\ inch for air disc 
brakes and \1/16\ inch or less for hydraulic disc and electric brakes.
    (7) Missing brake on any axle required to have brakes.
    (8) Mismatch across any power unit steering axle of:
    (a) Air chamber sizes.
    (b) Slack adjuster length.
    Wedge Brake Data--Movement of the scribe mark on the lining shall 
not exceed 1/16 inch.
    b. Parking Brake System. No brakes on the vehicle or combination are 
applied upon actuation of the parking brake control, including driveline 
hand controlled parking brakes.
    c. Brake Drums or Rotors.
    (1) With any external crack or cracks that open upon brake 
application (do not confuse short hairline heat check cracks with 
flexural cracks).
    (2) Any portion of the drum or rotor missing or in danger of falling 
away.
    d. Brake Hose.
    (1) Hose with any damage extending through the outer reinforcement 
ply. (Rubber impregnated fabric cover is not a reinforcement ply). 
(Thermoplastic nylon may have braid reinforcement or color difference 
between cover and inner tube. Exposure of second color is cause for 
rejection.
    (2) Bulge or swelling when air pressure is applied.
    (3) Any audible leaks.
    (4) Two hoses improperly joined (such as a splice made by sliding 
the hose ends over a piece of tubing and clamping the hose to the tube).
    (5) Air hose cracked, broken or crimped.
    e. Brake Tubing.
    (1) Any audible leak.
    (2) Tubing cracked, damaged by heat, broken or crimped.
    f. Low Pressure Warning Device missing, inoperative, or does not 
operate at 55 psi and below, or \1/2\ the governor cut-out pressure, 
whichever is less.
    g. Tractor Protection Valve. Inoperable or missing tractor 
protection valve(s) on power unit.
    h. Air Compressor.
    (1) Compressor drive belts in condition of impending or probable 
failure.
    (2) Loose compressor mounting bolts.
    (3) Cracked, broken or loose pulley.
    (4) Cracked or broken mounting brackets, braces or adapters.
    i. Electric Brakes.
    (1) Absence of braking action on any wheel required to have brakes.
    (2) Missing or inoperable breakaway braking device.
    j. Hydraulic Brakes. (Including Power Assist Over Hydraulic and 
Engine Drive Hydraulic Booster).
    (1) Master cylinder less than \1/4\ full.
    (2) No pedal reserve with engine running except by pumping pedal.
    (3) Power assist unit fails to operate.
    (4) Seeping or swelling brake hose(s) under application of pressure.
    (5) Missing or inoperative check valve.
    (6) Has any visually observed leaking hydraulic fluid in the brake 
system.
    (7) Has hydraulic hose(s) abraded (chafed) through outer cover-to-
fabric layer.
    (8) Fluid lines or connections leaking, restricted, crimped, cracked 
or broken.
    (9) Brake failure or low fluid warning light on and/or inoperative.
    k. Vacuum Systems. Any vacuum system which:
    (1) Has insufficient vacuum reserve to permit one full brake 
application after engine is shut off.
    (2) Has vacuum hose(s) or line(s) restricted, abraded (chafed) 
through outer cover to cord ply, crimped, cracked, broken or has 
collapse of vacuum hose(s) when vacuum is applied.
    (3) Lacks an operative low-vacuum warning device as required.
    2. Coupling devices.
    a. Fifth Wheels.
    (1) Mounting to frame.
    (a) Any fasteners missing or ineffective.
    (b) Any movement between mounting components.

[[Page 592]]

    (c) Any mounting angle iron cracked or broken.
    (2) Mounting plates and pivot brackets.
    (a) Any fasteners missing or ineffective.
    (b) Any welds or parent metal cracked.
    (c) More than \3/8\ inch horizontal movement between pivot bracket 
pin and bracket.
    (d) Pivot bracket pin missing or not secured.
    (3) Sliders.
    (a) Any latching fasteners missing or ineffective.
    (b) Any fore or aft stop missing or not securely attached.
    (c) Movement more than \3/8\ inch between slider bracket and slider 
base.
    (d) Any slider component cracked in parent metal or weld.
    (4) Lower coupler.
    (a) Horizontal movement between the upper and lower fifth wheel 
halves exceeds \1/2\ inch.
    (b) Operating handle not in closed or locked position.
    (c) Kingpin not properly engaged.
    (d) Separation between upper and lower coupler allowing light to 
show through from side to side.
    (e) Cracks in the fifth wheel plate.
    Exceptions: Cracks in fifth wheel approach ramps and casting 
shrinkage cracks in the ribs of the body of a cast fifth wheel.
    (f) Locking mechanism parts missing, broken, or deformed to the 
extent the kingpin is not securely held.
    b. Pintle Hooks.
    (1) Mounting to frame.
    (a) Any missing or ineffective fasteners (a fastener is not 
considered missing if there is an empty hole in the device but no 
corresponding hole in the frame or vice versa).
    (b) Mounting surface cracks extending from point of attachment 
(e.g., cracks in the frame at mounting bolt holes).
    (c) Loose mounting.
    (d) Frame cross member providing pintle hook attachment cracked.
    (2) Integrity.
    (a) Cracks anywhere in pintle hook assembly.
    (b) Any welded repairs to the pintle hook.
    (c) Any part of the horn section reduced by more than 20%.
    (d) Latch insecure.
    c. Drawbar/Towbar Eye.
    (1) Mounting.
    (a) Any cracks in attachment welds.
    (b) Any missing or ineffective fasteners.
    (2) Integrity.
    (a) Any cracks.
    (b) Any part of the eye reduced by more than 20%.
    d. Drawbar/Towbar Tongue.
    (1) Slider (power or manual).
    (a) Ineffective latching mechanism
    (b) Missing or ineffective stop.
    (c) Movement of more than \1/4\ inch between slider and housing.
    (d) Any leaking, air or hydraulic cylinders, hoses, or chambers 
(other than slight oil weeping normal with hydraulic seals).
    (2) Integrity.
    (a) Any cracks.
    (b) Movement of \1/4\ inch between subframe and drawbar at point of 
attachment.
    e. Safety Devices.
    (1) Safety devices missing.
    (2) Unattached or incapable of secure attachment.
    (3) Chains and hooks.
    (a) Worn to the extent of a measurable reduction in link cross 
section.
    (b) Improper repairs including welding, wire, small bolts, rope and 
tape.
    (4) Cable.
    (a) Kinked or broken cable strands.
    (b) Improper clamps or clamping.
    f. Saddle-Mounts.
    (1) Method of attachment.
    (a) Any missing or ineffective fasteners.
    (b) Loose mountings.
    (c) Any cracks or breaks in a stress or load bearing member.
    (d) Horizontal movement between upper and lower saddle-mount halves 
exceeds \1/4\ inch.
    3. Exhaust System.
    a. Any exhaust system determined to be leaking at a point forward of 
or directly below the driver/sleeper compartment.
    b. A bus exhaust system leaking or discharging to the atmosphere:
    (1) Gasoline powered--excess of 6 inches forward of the rearmost 
part of the bus.
    (2) Other than gasoline powered--in excess of 15 inches forward of 
the rearmost part of the bus.
    (3) Other than gasoline powered--forward of a door or window 
designed to be opened. (exception: Emergency exits).
    c. No part of the exhaust system of any motor vehicle shall be so 
located as would be likely to result in burning, charring, or damaging 
the electrical wiring, the fuel supply, or any combustible part of the 
motor vehicle.
    4. Fuel System.
    a. A fuel system with a visable leak at any point.
    b. A fuel tank filler cap missing.
    c. A fuel tank not securely attached to the motor vehicle by reason 
of loose, broken or missing mounting bolts or brackets (some fuel tanks 
use springs or rubber bushings to permit movement).
    5. Lighting Devices. All lighting devices and reflectors required by 
part 393 shall be operable.
    6. Safe Loading.
    a. Part(s) of vehicle or condition of loading such that the spare 
tire or any part of the load or dunnage can fall onto the roadway.

[[Page 593]]

    b. Protection Against Shifting Cargo--Any vehicle without a front-
end structure or equivalent device as required.
    c. Container securement devices on intermodal equipment--All devices 
used to secure an intermodal container to a chassis, including rails or 
support frames, tiedown bolsters, locking pins, clevises, clamps, and 
hooks that are cracked, broken, loose, or missing.
    7. Steering Mechanism.
    a. Steering Wheel Free Play (on vehicles equipped with power 
steering the engine must be running).

------------------------------------------------------------------------
                                                   Manual       Power
            Steering wheel diameter               steering     steering
                                                   system       system
------------------------------------------------------------------------
16.................................  2      thn-eq>
18.................................   2\1/4\      thn-eq>
20.................................   2\1/2\      thn-eq>
22.................................   2\3/4\      thn-eq>
------------------------------------------------------------------------

    b. Steering Column.
    (1) Any absence or looseness of U-bolt(s) or positioning part(s).
    (2) Worn, faulty or obviously repair welded universal joint(s).
    (3) Steering wheel not properly secured.
    c. Front Axle Beam and All Steering Components Other Than Steering 
Column.
    (1) Any crack(s).
    (2) Any obvious welded repair(s).
    d. Steering Gear Box.
    (1) Any mounting bolt(s) loose or missing.
    (2) Any crack(s) in gear box or mounting brackets.
    e. Pitman Arm. Any looseness of the pitman arm on the steering gear 
output shaft.
    f. Power Steering. Auxiliary power assist cylinder loose.
    g. Ball and Socket Joints.
    (1) Any movement under steering load of a stud nut.
    (2) Any motion, other than rotational, between any linkage member 
and its attachment point of more than \1/4\ inch.
    h. Tie Rods and Drag Links.
    (1) Loose clamp(s) or clamp bolt(s) on tie rods or drag links.
    (2) Any looseness in any threaded joint.
    i. Nuts. Nut(s) loose or missing on tie rods, pitman arm, drag link, 
steering arm or tie rod arm.
    j. Steering System. Any modification or other condition that 
interferes with free movement of any steering component.
    8. Suspension.
    a. Any U-bolt(s), spring hanger(s), or other axle positioning 
part(s) cracked, broken, loose or missing resulting in shifting of an 
axle from its normal position. (After a turn, lateral axle displacement 
is normal with some suspensions. Forward or rearward operation in a 
straight line will cause the axle to return to alignment).
    b. Spring Assembly.
    (1) Any leaves in a leaf spring assembly broken or missing.
    (2) Any broken main leaf in a leaf spring assembly. (Includes 
assembly with more than one main spring).
    (3) Coil spring broken.
    (4) Rubber spring missing.
    (5) One or more leaves displaced in a manner that could result in 
contact with a tire, rim, brake drum or frame.
    (6) Broken torsion bar spring in a torsion bar suspension.
    (7) Deflated air suspension, i.e., system failure, leak, etc.
    c. Torque, Radius or Tracking Components. Any part of a torque, 
radius or tracking component assembly or any part used for attaching the 
same to the vehicle frame or axle that is cracked, loose, broken or 
missing. (Does not apply to loose bushings in torque or track rods.)
    9. Frame.
    a. Frame Members.
    (1) Any cracked, broken, loose, or sagging frame member.
    (2) Any loose or missing fasteners including fasteners attaching 
functional component such as engine, transmission, steering gear, 
suspension, body parts, and fifth wheel.
    b. Tire and Wheel Clearance. Any condition, including loading, that 
causes the body or frame to be in contact with a tire or any part of the 
wheel assemblies.
    c. (1) Adjustable Axle Assemblies (Sliding Subframes). Adjustable 
axle assembly with locking pins missing or not engaged.
    10. Tires.
    a. Any tire on any steering axle of a power unit.
    (1) With less than \4/32\ inch tread when measured at any point on a 
major tread groove.
    (2) Has body ply or belt material exposed through the tread or 
sidewall.
    (3) Has any tread or sidewall separation.
    (4) Has a cut where the ply or belt material is exposed.
    (5) Labeled ``Not for Highway Use'' or displaying other marking 
which would exclude use on steering axle.
    (6) A tube-type radial tire without radial tube stem markings. These 
markings include a red band around the tube stem, the word ``radial'' 
embossed in metal stems, or the word ``radial'' molded in rubber stems.
    (7) Mixing bias and radial tires on the same axle.
    (8) Tire flap protrudes through valve slot in rim and touches stem.
    (9) Regrooved tire except motor vehicles used solely in urban or 
suburban service (see exception in Sec.393.75(e).
    (10) Boot, blowout patch or other ply repair.
    (11) Weight carried exceeds tire load limit. This includes 
overloaded tire resulting from low air pressure.

[[Page 594]]

    (12) Tire is flat or has noticeable (e.g., can be heard or felt) 
leak.
    (13) Any bus equipped with recapped or retreaded tire(s).
    (14) So mounted or inflated that it comes in contact with any part 
of the vehicle.
    b. All tires other than those found on the steering axle of a power 
unit:
    (1) Weight carried exceeds tire load limit. This includes overloaded 
tire resulting from low air pressure.
    (2) Tire is flat or has noticeable (e.g., can be heard or felt) 
leak.
    (3) Has body ply or belt material exposed through the tread or 
sidewall.
    (4) Has any tread or sidewall separation.
    (5) Has a cut where ply or belt material is exposed.
    (6) So mounted or inflated that it comes in contact with any part of 
the vehicle. (This includes a tire that contacts its mate.)
    (7) Is marked ``Not for highway use'' or otherwise marked and having 
like meaning.
    (8) With less than \2/32\ inch tread when measured at any point on a 
major tread groove.
    11. Wheels and Rims.
    a. Lock or Side Ring. Bent, broken, cracked, improperly seated, 
sprung or mismatched ring(s).
    b. Wheels and rims. Cracked or broken or has elongated bolt holes.
    c. Fasteners (both spoke and disc wheels). Any loose, missing, 
broken, cracked, stripped or otherwise ineffective fasteners.
    d. Welds.
    (1) Any cracks in welds attaching disc wheel disc to rim.
    (2) Any crack in welds attaching tubeless demountable rim to 
adapter.
    (3) Any welded repair on aluminum wheel(s) on a steering axle.
    (4) Any welded repair other than disc to rim attachment on steel 
disc wheel(s) mounted on the steering axle.
    12. Windshield Glazing. (Not including a 2 inch border at the top, a 
1 inch border at each side and the area below the topmost portion of the 
steering wheel.) Any crack, discoloration or vision reducing matter 
except: (1) coloring or tinting applied at time of manufacture; (2) any 
crack not over \1/4\ inch wide, if not intersected by any other crack; 
(3) any damaged area not more than \3/4\ inch in diameter, if not closer 
than 3 inches to any other such damaged area; (4) labels, stickers, 
decalcomania, etc. (see Sec.393.60 for exceptions).
    13. Windshield Wipers. Any power unit that has an inoperative wiper, 
or missing or damaged parts that render it ineffective.

  Comparison of Appendix G, and the new North American Uniform Driver-
Vehicle Inspection Procedure (North American Commercial Vehicle Critical 
          Safety Inspection Items and Out-Of-Service Criteria)

    The vehicle portion of the FMCSA's North American Uniform Driver-
Vehicle Inspection Procedure (NAUD-VIP) requirements, CVSA's North 
American Commercial Vehicle Critical Safety Inspection Items and Out-Of-
Service Criteria and appendix G of subchapter B are similar documents 
and follow the same inspection procedures. The same items are required 
to be inspected by each document. FMCSA's and CVSA's out-of-service 
criteria are intended to be used in random roadside inspections to 
identify critical vehicle inspection items and provide criteria for 
placing a vehicle(s) out-of-service. Avehicle(s) is placed out-of-
service only when by reason of its mechanical condition or loading it is 
determined to be so imminently hazardous as to likely cause an accident 
or breakdown, or when such condition(s) would likely contribute to loss 
of control of the vehicle(s) by the driver. A certain amount of 
flexibility is given to the inspecting official whether to place the 
vehicle out-of-service at the inspection site or if it would be less 
hazardous to allow the vehicle to proceed to a repair facility for 
repair. The distance to the repair facility must not exceed 25 miles. 
The roadside type of inspection, however, does not necessarily mean that 
a vehicle has to be defect-free in order to continue in service.
    In contrast, the appendix G inspection procedure requires that all 
items required to be inspected are in proper adjustment, are not 
defective and function properly prior to the vehicle being placed in 
service.

    Differences Between the Out-of-Service Criteria & FMCSA's Annual 
                               Inspection

    1. Brake System.
    The appendix G criteria rejects vehicles with any defective brakes, 
any air leaks, etc. The out-of-service criteria allows 20% defective 
brakes on non-steering axles and a certain latitude on air leaks before 
placing a vehicle out-of-service.
    2. Coupling Devices.
    Appendix G rejects vehicles with any fifth wheel mounting fastener 
missing or ineffective. The out-of-service criteria allows up to 20% 
missing or ineffective fasteners on frame mountings and pivot bracket 
mountings and 25% on slider latching fasteners. The out-of-service 
criteria also allows some latitude on cracked welds.
    3. Exhaust System.
    Appendix G follows Section Sec.393.83 verbatim. The CVSA out-of-
service criteria allows vehicles to exhaust forward of the dimensions 
given in Section Sec.393.83 as long as

[[Page 595]]

the exhaust does not leak or exhaust under the chassis.
    4. Fuel System.
    Same for Appendix G and the out-of-service criteria.
    5. Lighting Devices.
    Appendix G requires all lighting devices required by part 393 to be 
operative at all times. The out-of-service criteria only requires one 
stop light and functioning turn signals on the rear most vehicle of a 
combination vehicle to be operative at all times. In addition one 
operative head lamp and tail lamp are required during the hours of 
darkness.
    6. Safe Loading.
    Same for both Appendix G and the out-of-service criteria.
    7. Steering Mechanism
    Steering lash requirements of appendix G follows the new 
requirements of Sec.393.209.
    8. Suspension
    Appendix G follows the new requirements of Sec.393.207 which does 
not allow any broken leaves in a leaf spring assembly. The out-of-
service criteria allows up to 25% broken or missing leaves before being 
placed out-of-service.
    9. Frame
    The out-of-service criteria allows a certain latitude in frame 
cracks before placing a vehicle out-of-service. Appendix G follows the 
new requirements of Sec.393.201 which does not allow any frame cracks.
    10. Tires
    Appendix G follows the requirements of Sec.393.75 which requires a 
tire tread depth of \4/32\ inch on power unit steering axles and \2/32\ 
inch on all other axles. The out-of-service criteria only requires \2/
32\ inch tire tread depth on power unit steering axles and \1/32\ inch 
on all other axles.
    11. Wheel and Rims
    The out-of-service criteria allows a certain amount latitude for 
wheel and rim cracks and missing or defective fasteners. Appendix G 
meets the requirements of the new Sec.393.205 which does not allow 
defective wheels and rims non-effective nuts and bolts.
    12. Windshield Glazing
    The out-of-service criteria places in a restricted service condition 
any vehicle that has a crack or discoloration in the windshield area 
lying within the sweep of the wiper on the drivers side and does not 
address the remaining area of the windshield. Appendix G addresses 
requirements for the whole windshield as specified in Sec.393.60.
    13. Windshield Wipers
    Appendix G requires windshield wipers to be operative at all times. 
The out-of-service criteria only requires that the windshield wiper on 
the driver's side to be inspected during inclement weather.

[53 FR 49411, Dec. 7, 1988; 53 FR 49968, Dec. 12, 1988, as amended at 73 
FR 76827, Dec. 17, 2008; 77 FR 46639, Aug. 8, 2012; 77 FR 59829, Oct. 1, 
2012; 78 FR 58486, Sept. 24, 2013]

[[Page 597]]



                              FINDING AIDS




  --------------------------------------------------------------------

  A list of CFR titles, subtitles, chapters, subchapters and parts and 
an alphabetical list of agencies publishing in the CFR are included in 
the CFR Index and Finding Aids volume to the Code of Federal Regulations 
which is published separately and revised annually.

  Table of CFR Titles and Chapters
  Alphabetical List of Agencies Appearing in the CFR
  Redesignation Table
  List of CFR Sections Affected

[[Page 599]]



                    Table of CFR Titles and Chapters




                     (Revised as of October 1, 2013)

                      Title 1--General Provisions

         I  Administrative Committee of the Federal Register 
                (Parts 1--49)
        II  Office of the Federal Register (Parts 50--299)
       III  Administrative Conference of the United States (Parts 
                300--399)
        IV  Miscellaneous Agencies (Parts 400--500)

                    Title 2--Grants and Agreements

            Subtitle A--Office of Management and Budget Guidance 
                for Grants and Agreements
         I  Office of Management and Budget Governmentwide 
                Guidance for Grants and Agreements (Parts 2--199)
        II  Office of Management and Budget Circulars and Guidance 
                (200--299)
            Subtitle B--Federal Agency Regulations for Grants and 
                Agreements
       III  Department of Health and Human Services (Parts 300-- 
                399)
        IV  Department of Agriculture (Parts 400--499)
        VI  Department of State (Parts 600--699)
       VII  Agency for International Development (Parts 700--799)
      VIII  Department of Veterans Affairs (Parts 800--899)
        IX  Department of Energy (Parts 900--999)
        XI  Department of Defense (Parts 1100--1199)
       XII  Department of Transportation (Parts 1200--1299)
      XIII  Department of Commerce (Parts 1300--1399)
       XIV  Department of the Interior (Parts 1400--1499)
        XV  Environmental Protection Agency (Parts 1500--1599)
     XVIII  National Aeronautics and Space Administration (Parts 
                1800--1899)
        XX  United States Nuclear Regulatory Commission (Parts 
                2000--2099)
      XXII  Corporation for National and Community Service (Parts 
                2200--2299)
     XXIII  Social Security Administration (Parts 2300--2399)
      XXIV  Housing and Urban Development (Parts 2400--2499)
       XXV  National Science Foundation (Parts 2500--2599)
      XXVI  National Archives and Records Administration (Parts 
                2600--2699)
     XXVII  Small Business Administration (Parts 2700--2799)
    XXVIII  Department of Justice (Parts 2800--2899)

[[Page 600]]

       XXX  Department of Homeland Security (Parts 3000--3099)
      XXXI  Institute of Museum and Library Services (Parts 3100--
                3199)
     XXXII  National Endowment for the Arts (Parts 3200--3299)
    XXXIII  National Endowment for the Humanities (Parts 3300--
                3399)
     XXXIV  Department of Education (Parts 3400--3499)
      XXXV  Export-Import Bank of the United States (Parts 3500--
                3599)
    XXXVII  Peace Corps (Parts 3700--3799)
     LVIII  Election Assistance Commission (Parts 5800--5899)

                        Title 3--The President

         I  Executive Office of the President (Parts 100--199)

                           Title 4--Accounts

         I  Government Accountability Office (Parts 1--199)
        II  Recovery Accountability and Transparency Board (Parts 
                200--299)

                   Title 5--Administrative Personnel

         I  Office of Personnel Management (Parts 1--1199)
        II  Merit Systems Protection Board (Parts 1200--1299)
       III  Office of Management and Budget (Parts 1300--1399)
         V  The International Organizations Employees Loyalty 
                Board (Parts 1500--1599)
        VI  Federal Retirement Thrift Investment Board (Parts 
                1600--1699)
      VIII  Office of Special Counsel (Parts 1800--1899)
        IX  Appalachian Regional Commission (Parts 1900--1999)
        XI  Armed Forces Retirement Home (Parts 2100--2199)
       XIV  Federal Labor Relations Authority, General Counsel of 
                the Federal Labor Relations Authority and Federal 
                Service Impasses Panel (Parts 2400--2499)
        XV  Office of Administration, Executive Office of the 
                President (Parts 2500--2599)
       XVI  Office of Government Ethics (Parts 2600--2699)
       XXI  Department of the Treasury (Parts 3100--3199)
      XXII  Federal Deposit Insurance Corporation (Parts 3200--
                3299)
     XXIII  Department of Energy (Parts 3300--3399)
      XXIV  Federal Energy Regulatory Commission (Parts 3400--
                3499)
       XXV  Department of the Interior (Parts 3500--3599)
      XXVI  Department of Defense (Parts 3600-- 3699)
    XXVIII  Department of Justice (Parts 3800--3899)
      XXIX  Federal Communications Commission (Parts 3900--3999)
       XXX  Farm Credit System Insurance Corporation (Parts 4000--
                4099)
      XXXI  Farm Credit Administration (Parts 4100--4199)

[[Page 601]]

    XXXIII  Overseas Private Investment Corporation (Parts 4300--
                4399)
     XXXIV  Securities and Exchange Commission (Parts 4400--4499)
      XXXV  Office of Personnel Management (Parts 4500--4599)
    XXXVII  Federal Election Commission (Parts 4700--4799)
        XL  Interstate Commerce Commission (Parts 5000--5099)
       XLI  Commodity Futures Trading Commission (Parts 5100--
                5199)
      XLII  Department of Labor (Parts 5200--5299)
     XLIII  National Science Foundation (Parts 5300--5399)
       XLV  Department of Health and Human Services (Parts 5500--
                5599)
      XLVI  Postal Rate Commission (Parts 5600--5699)
     XLVII  Federal Trade Commission (Parts 5700--5799)
    XLVIII  Nuclear Regulatory Commission (Parts 5800--5899)
      XLIX  Federal Labor Relations Authority (Parts 5900--5999)
         L  Department of Transportation (Parts 6000--6099)
       LII  Export-Import Bank of the United States (Parts 6200--
                6299)
      LIII  Department of Education (Parts 6300--6399)
       LIV  Environmental Protection Agency (Parts 6400--6499)
        LV  National Endowment for the Arts (Parts 6500--6599)
       LVI  National Endowment for the Humanities (Parts 6600--
                6699)
      LVII  General Services Administration (Parts 6700--6799)
     LVIII  Board of Governors of the Federal Reserve System 
                (Parts 6800--6899)
       LIX  National Aeronautics and Space Administration (Parts 
                6900--6999)
        LX  United States Postal Service (Parts 7000--7099)
       LXI  National Labor Relations Board (Parts 7100--7199)
      LXII  Equal Employment Opportunity Commission (Parts 7200--
                7299)
     LXIII  Inter-American Foundation (Parts 7300--7399)
      LXIV  Merit Systems Protection Board (Parts 7400--7499)
       LXV  Department of Housing and Urban Development (Parts 
                7500--7599)
      LXVI  National Archives and Records Administration (Parts 
                7600--7699)
     LXVII  Institute of Museum and Library Services (Parts 7700--
                7799)
    LXVIII  Commission on Civil Rights (Parts 7800--7899)
      LXIX  Tennessee Valley Authority (Parts 7900--7999)
       LXX  Court Services and Offender Supervision Agency for the 
                District of Columbia (Parts 8000--8099)
      LXXI  Consumer Product Safety Commission (Parts 8100--8199)
    LXXIII  Department of Agriculture (Parts 8300--8399)
     LXXIV  Federal Mine Safety and Health Review Commission 
                (Parts 8400--8499)
     LXXVI  Federal Retirement Thrift Investment Board (Parts 
                8600--8699)
    LXXVII  Office of Management and Budget (Parts 8700--8799)
      LXXX  Federal Housing Finance Agency (Parts 9000--9099)
    LXXXII  Special Inspector General for Iraq Reconstruction 
                (Parts 9200--9299)

[[Page 602]]

   LXXXIII  Special Inspector General for Afghanistan 
                Reconstruction (Parts 9300--9399)
    LXXXIV  Bureau of Consumer Financial Protection (Parts 9400--
                9499)
    LXXXVI  National Credit Union Administration (9600--9699)
     XCVII  Department of Homeland Security Human Resources 
                Management System (Department of Homeland 
                Security--Office of Personnel Management) (Parts 
                9700--9799)
     XCVII  Council of the Inspectors General on Integrity and 
                Efficiency (Parts 9800--9899)

                      Title 6--Domestic Security

         I  Department of Homeland Security, Office of the 
                Secretary (Parts 1--99)
         X  Privacy and Civil Liberties Oversight Board (Parts 
                1000--1099)

                         Title 7--Agriculture

            Subtitle A--Office of the Secretary of Agriculture 
                (Parts 0--26)
            Subtitle B--Regulations of the Department of 
                Agriculture
         I  Agricultural Marketing Service (Standards, 
                Inspections, Marketing Practices), Department of 
                Agriculture (Parts 27--209)
        II  Food and Nutrition Service, Department of Agriculture 
                (Parts 210--299)
       III  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 300--399)
        IV  Federal Crop Insurance Corporation, Department of 
                Agriculture (Parts 400--499)
         V  Agricultural Research Service, Department of 
                Agriculture (Parts 500--599)
        VI  Natural Resources Conservation Service, Department of 
                Agriculture (Parts 600--699)
       VII  Farm Service Agency, Department of Agriculture (Parts 
                700--799)
      VIII  Grain Inspection, Packers and Stockyards 
                Administration (Federal Grain Inspection Service), 
                Department of Agriculture (Parts 800--899)
        IX  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Fruits, Vegetables, Nuts), Department 
                of Agriculture (Parts 900--999)
         X  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Milk), Department of Agriculture 
                (Parts 1000--1199)
        XI  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Miscellaneous Commodities), Department 
                of Agriculture (Parts 1200--1299)
       XIV  Commodity Credit Corporation, Department of 
                Agriculture (Parts 1400--1499)
        XV  Foreign Agricultural Service, Department of 
                Agriculture (Parts 1500--1599)

[[Page 603]]

       XVI  Rural Telephone Bank, Department of Agriculture (Parts 
                1600--1699)
      XVII  Rural Utilities Service, Department of Agriculture 
                (Parts 1700--1799)
     XVIII  Rural Housing Service, Rural Business-Cooperative 
                Service, Rural Utilities Service, and Farm Service 
                Agency, Department of Agriculture (Parts 1800--
                2099)
        XX  Local Television Loan Guarantee Board (Parts 2200--
                2299)
       XXV  Office of Advocacy and Outreach, Department of 
                Agriculture (Parts 2500--2599)
      XXVI  Office of Inspector General, Department of Agriculture 
                (Parts 2600--2699)
     XXVII  Office of Information Resources Management, Department 
                of Agriculture (Parts 2700--2799)
    XXVIII  Office of Operations, Department of Agriculture (Parts 
                2800--2899)
      XXIX  Office of Energy Policy and New Uses, Department of 
                Agriculture (Parts 2900--2999)
       XXX  Office of the Chief Financial Officer, Department of 
                Agriculture (Parts 3000--3099)
      XXXI  Office of Environmental Quality, Department of 
                Agriculture (Parts 3100--3199)
     XXXII  Office of Procurement and Property Management, 
                Department of Agriculture (Parts 3200--3299)
    XXXIII  Office of Transportation, Department of Agriculture 
                (Parts 3300--3399)
     XXXIV  National Institute of Food and Agriculture (Parts 
                3400--3499)
      XXXV  Rural Housing Service, Department of Agriculture 
                (Parts 3500--3599)
     XXXVI  National Agricultural Statistics Service, Department 
                of Agriculture (Parts 3600--3699)
    XXXVII  Economic Research Service, Department of Agriculture 
                (Parts 3700--3799)
   XXXVIII  World Agricultural Outlook Board, Department of 
                Agriculture (Parts 3800--3899)
       XLI  [Reserved]
      XLII  Rural Business-Cooperative Service and Rural Utilities 
                Service, Department of Agriculture (Parts 4200--
                4299)

                    Title 8--Aliens and Nationality

         I  Department of Homeland Security (Immigration and 
                Naturalization) (Parts 1--499)
         V  Executive Office for Immigration Review, Department of 
                Justice (Parts 1000--1399)

                 Title 9--Animals and Animal Products

         I  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 1--199)

[[Page 604]]

        II  Grain Inspection, Packers and Stockyards 
                Administration (Packers and Stockyards Programs), 
                Department of Agriculture (Parts 200--299)
       III  Food Safety and Inspection Service, Department of 
                Agriculture (Parts 300--599)

                           Title 10--Energy

         I  Nuclear Regulatory Commission (Parts 0--199)
        II  Department of Energy (Parts 200--699)
       III  Department of Energy (Parts 700--999)
         X  Department of Energy (General Provisions) (Parts 
                1000--1099)
      XIII  Nuclear Waste Technical Review Board (Parts 1300--
                1399)
      XVII  Defense Nuclear Facilities Safety Board (Parts 1700--
                1799)
     XVIII  Northeast Interstate Low-Level Radioactive Waste 
                Commission (Parts 1800--1899)

                      Title 11--Federal Elections

         I  Federal Election Commission (Parts 1--9099)
        II  Election Assistance Commission (Parts 9400--9499)

                      Title 12--Banks and Banking

         I  Comptroller of the Currency, Department of the 
                Treasury (Parts 1--199)
        II  Federal Reserve System (Parts 200--299)
       III  Federal Deposit Insurance Corporation (Parts 300--399)
        IV  Export-Import Bank of the United States (Parts 400--
                499)
         V  Office of Thrift Supervision, Department of the 
                Treasury (Parts 500--599)
        VI  Farm Credit Administration (Parts 600--699)
       VII  National Credit Union Administration (Parts 700--799)
      VIII  Federal Financing Bank (Parts 800--899)
        IX  Federal Housing Finance Board (Parts 900--999)
         X  Bureau of Consumer Financial Protection (Parts 1000--
                1099)
        XI  Federal Financial Institutions Examination Council 
                (Parts 1100--1199)
       XII  Federal Housing Finance Agency (Parts 1200--1299)
      XIII  Financial Stability Oversight Council (Parts 1300--
                1399)
       XIV  Farm Credit System Insurance Corporation (Parts 1400--
                1499)
        XV  Department of the Treasury (Parts 1500--1599)
       XVI  Office of Financial Research (Parts 1600--1699)
      XVII  Office of Federal Housing Enterprise Oversight, 
                Department of Housing and Urban Development (Parts 
                1700--1799)
     XVIII  Community Development Financial Institutions Fund, 
                Department of the Treasury (Parts 1800--1899)

[[Page 605]]

               Title 13--Business Credit and Assistance

         I  Small Business Administration (Parts 1--199)
       III  Economic Development Administration, Department of 
                Commerce (Parts 300--399)
        IV  Emergency Steel Guarantee Loan Board (Parts 400--499)
         V  Emergency Oil and Gas Guaranteed Loan Board (Parts 
                500--599)

                    Title 14--Aeronautics and Space

         I  Federal Aviation Administration, Department of 
                Transportation (Parts 1--199)
        II  Office of the Secretary, Department of Transportation 
                (Aviation Proceedings) (Parts 200--399)
       III  Commercial Space Transportation, Federal Aviation 
                Administration, Department of Transportation 
                (Parts 400--1199)
         V  National Aeronautics and Space Administration (Parts 
                1200--1299)
        VI  Air Transportation System Stabilization (Parts 1300--
                1399)

                 Title 15--Commerce and Foreign Trade

            Subtitle A--Office of the Secretary of Commerce (Parts 
                0--29)
            Subtitle B--Regulations Relating to Commerce and 
                Foreign Trade
         I  Bureau of the Census, Department of Commerce (Parts 
                30--199)
        II  National Institute of Standards and Technology, 
                Department of Commerce (Parts 200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)
        IV  Foreign-Trade Zones Board, Department of Commerce 
                (Parts 400--499)
       VII  Bureau of Industry and Security, Department of 
                Commerce (Parts 700--799)
      VIII  Bureau of Economic Analysis, Department of Commerce 
                (Parts 800--899)
        IX  National Oceanic and Atmospheric Administration, 
                Department of Commerce (Parts 900--999)
        XI  Technology Administration, Department of Commerce 
                (Parts 1100--1199)
      XIII  East-West Foreign Trade Board (Parts 1300--1399)
       XIV  Minority Business Development Agency (Parts 1400--
                1499)
            Subtitle C--Regulations Relating to Foreign Trade 
                Agreements
        XX  Office of the United States Trade Representative 
                (Parts 2000--2099)
            Subtitle D--Regulations Relating to Telecommunications 
                and Information
     XXIII  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                2300--2399)

[[Page 606]]

                    Title 16--Commercial Practices

         I  Federal Trade Commission (Parts 0--999)
        II  Consumer Product Safety Commission (Parts 1000--1799)

             Title 17--Commodity and Securities Exchanges

         I  Commodity Futures Trading Commission (Parts 1--199)
        II  Securities and Exchange Commission (Parts 200--399)
        IV  Department of the Treasury (Parts 400--499)

          Title 18--Conservation of Power and Water Resources

         I  Federal Energy Regulatory Commission, Department of 
                Energy (Parts 1--399)
       III  Delaware River Basin Commission (Parts 400--499)
        VI  Water Resources Council (Parts 700--799)
      VIII  Susquehanna River Basin Commission (Parts 800--899)
      XIII  Tennessee Valley Authority (Parts 1300--1399)

                       Title 19--Customs Duties

         I  U.S. Customs and Border Protection, Department of 
                Homeland Security; Department of the Treasury 
                (Parts 0--199)
        II  United States International Trade Commission (Parts 
                200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)
        IV  U.S. Immigration and Customs Enforcement, Department 
                of Homeland Security (Parts 400--599)

                     Title 20--Employees' Benefits

         I  Office of Workers' Compensation Programs, Department 
                of Labor (Parts 1--199)
        II  Railroad Retirement Board (Parts 200--399)
       III  Social Security Administration (Parts 400--499)
        IV  Employees' Compensation Appeals Board, Department of 
                Labor (Parts 500--599)
         V  Employment and Training Administration, Department of 
                Labor (Parts 600--699)
        VI  Office of Workers' Compensation Programs, Department 
                of Labor (Parts 700--799)
       VII  Benefits Review Board, Department of Labor (Parts 
                800--899)
      VIII  Joint Board for the Enrollment of Actuaries (Parts 
                900--999)
        IX  Office of the Assistant Secretary for Veterans' 
                Employment and Training Service, Department of 
                Labor (Parts 1000--1099)

[[Page 607]]

                       Title 21--Food and Drugs

         I  Food and Drug Administration, Department of Health and 
                Human Services (Parts 1--1299)
        II  Drug Enforcement Administration, Department of Justice 
                (Parts 1300--1399)
       III  Office of National Drug Control Policy (Parts 1400--
                1499)

                      Title 22--Foreign Relations

         I  Department of State (Parts 1--199)
        II  Agency for International Development (Parts 200--299)
       III  Peace Corps (Parts 300--399)
        IV  International Joint Commission, United States and 
                Canada (Parts 400--499)
         V  Broadcasting Board of Governors (Parts 500--599)
       VII  Overseas Private Investment Corporation (Parts 700--
                799)
        IX  Foreign Service Grievance Board (Parts 900--999)
         X  Inter-American Foundation (Parts 1000--1099)
        XI  International Boundary and Water Commission, United 
                States and Mexico, United States Section (Parts 
                1100--1199)
       XII  United States International Development Cooperation 
                Agency (Parts 1200--1299)
      XIII  Millennium Challenge Corporation (Parts 1300--1399)
       XIV  Foreign Service Labor Relations Board; Federal Labor 
                Relations Authority; General Counsel of the 
                Federal Labor Relations Authority; and the Foreign 
                Service Impasse Disputes Panel (Parts 1400--1499)
        XV  African Development Foundation (Parts 1500--1599)
       XVI  Japan-United States Friendship Commission (Parts 
                1600--1699)
      XVII  United States Institute of Peace (Parts 1700--1799)

                          Title 23--Highways

         I  Federal Highway Administration, Department of 
                Transportation (Parts 1--999)
        II  National Highway Traffic Safety Administration and 
                Federal Highway Administration, Department of 
                Transportation (Parts 1200--1299)
       III  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 1300--1399)

                Title 24--Housing and Urban Development

            Subtitle A--Office of the Secretary, Department of 
                Housing and Urban Development (Parts 0--99)
            Subtitle B--Regulations Relating to Housing and Urban 
                Development
         I  Office of Assistant Secretary for Equal Opportunity, 
                Department of Housing and Urban Development (Parts 
                100--199)

[[Page 608]]

        II  Office of Assistant Secretary for Housing-Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 200--299)
       III  Government National Mortgage Association, Department 
                of Housing and Urban Development (Parts 300--399)
        IV  Office of Housing and Office of Multifamily Housing 
                Assistance Restructuring, Department of Housing 
                and Urban Development (Parts 400--499)
         V  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 500--599)
        VI  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 600--699) [Reserved]
       VII  Office of the Secretary, Department of Housing and 
                Urban Development (Housing Assistance Programs and 
                Public and Indian Housing Programs) (Parts 700--
                799)
      VIII  Office of the Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Section 8 Housing Assistance 
                Programs, Section 202 Direct Loan Program, Section 
                202 Supportive Housing for the Elderly Program and 
                Section 811 Supportive Housing for Persons With 
                Disabilities Program) (Parts 800--899)
        IX  Office of Assistant Secretary for Public and Indian 
                Housing, Department of Housing and Urban 
                Development (Parts 900--1699)
         X  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Interstate Land Sales 
                Registration Program) (Parts 1700--1799)
       XII  Office of Inspector General, Department of Housing and 
                Urban Development (Parts 2000--2099)
        XV  Emergency Mortgage Insurance and Loan Programs, 
                Department of Housing and Urban Development (Parts 
                2700--2799)
        XX  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 3200--3899)
      XXIV  Board of Directors of the HOPE for Homeowners Program 
                (Parts 4000--4099)
       XXV  Neighborhood Reinvestment Corporation (Parts 4100--
                4199)

                           Title 25--Indians

         I  Bureau of Indian Affairs, Department of the Interior 
                (Parts 1--299)
        II  Indian Arts and Crafts Board, Department of the 
                Interior (Parts 300--399)
       III  National Indian Gaming Commission, Department of the 
                Interior (Parts 500--599)
        IV  Office of Navajo and Hopi Indian Relocation (Parts 
                700--799)
         V  Bureau of Indian Affairs, Department of the Interior, 
                and Indian Health Service, Department of Health 
                and Human Services (Part 900)

[[Page 609]]

        VI  Office of the Assistant Secretary-Indian Affairs, 
                Department of the Interior (Parts 1000--1199)
       VII  Office of the Special Trustee for American Indians, 
                Department of the Interior (Parts 1200--1299)

                      Title 26--Internal Revenue

         I  Internal Revenue Service, Department of the Treasury 
                (Parts 1--End)

           Title 27--Alcohol, Tobacco Products and Firearms

         I  Alcohol and Tobacco Tax and Trade Bureau, Department 
                of the Treasury (Parts 1--399)
        II  Bureau of Alcohol, Tobacco, Firearms, and Explosives, 
                Department of Justice (Parts 400--699)

                   Title 28--Judicial Administration

         I  Department of Justice (Parts 0--299)
       III  Federal Prison Industries, Inc., Department of Justice 
                (Parts 300--399)
         V  Bureau of Prisons, Department of Justice (Parts 500--
                599)
        VI  Offices of Independent Counsel, Department of Justice 
                (Parts 600--699)
       VII  Office of Independent Counsel (Parts 700--799)
      VIII  Court Services and Offender Supervision Agency for the 
                District of Columbia (Parts 800--899)
        IX  National Crime Prevention and Privacy Compact Council 
                (Parts 900--999)
        XI  Department of Justice and Department of State (Parts 
                1100--1199)

                            Title 29--Labor

            Subtitle A--Office of the Secretary of Labor (Parts 
                0--99)
            Subtitle B--Regulations Relating to Labor
         I  National Labor Relations Board (Parts 100--199)
        II  Office of Labor-Management Standards, Department of 
                Labor (Parts 200--299)
       III  National Railroad Adjustment Board (Parts 300--399)
        IV  Office of Labor-Management Standards, Department of 
                Labor (Parts 400--499)
         V  Wage and Hour Division, Department of Labor (Parts 
                500--899)
        IX  Construction Industry Collective Bargaining Commission 
                (Parts 900--999)
         X  National Mediation Board (Parts 1200--1299)
       XII  Federal Mediation and Conciliation Service (Parts 
                1400--1499)
       XIV  Equal Employment Opportunity Commission (Parts 1600--
                1699)

[[Page 610]]

      XVII  Occupational Safety and Health Administration, 
                Department of Labor (Parts 1900--1999)
        XX  Occupational Safety and Health Review Commission 
                (Parts 2200--2499)
       XXV  Employee Benefits Security Administration, Department 
                of Labor (Parts 2500--2599)
     XXVII  Federal Mine Safety and Health Review Commission 
                (Parts 2700--2799)
        XL  Pension Benefit Guaranty Corporation (Parts 4000--
                4999)

                      Title 30--Mineral Resources

         I  Mine Safety and Health Administration, Department of 
                Labor (Parts 1--199)
        II  Bureau of Safety and Environmental Enforcement, 
                Department of the Interior (Parts 200--299)
        IV  Geological Survey, Department of the Interior (Parts 
                400--499)
         V  Bureau of Ocean Energy Management, Department of the 
                Interior (Parts 500--599)
       VII  Office of Surface Mining Reclamation and Enforcement, 
                Department of the Interior (Parts 700--999)
       XII  Office of Natural Resources Revenue, Department of the 
                Interior (Parts 1200--1299)

                 Title 31--Money and Finance: Treasury

            Subtitle A--Office of the Secretary of the Treasury 
                (Parts 0--50)
            Subtitle B--Regulations Relating to Money and Finance
         I  Monetary Offices, Department of the Treasury (Parts 
                51--199)
        II  Fiscal Service, Department of the Treasury (Parts 
                200--399)
        IV  Secret Service, Department of the Treasury (Parts 
                400--499)
         V  Office of Foreign Assets Control, Department of the 
                Treasury (Parts 500--599)
        VI  Bureau of Engraving and Printing, Department of the 
                Treasury (Parts 600--699)
       VII  Federal Law Enforcement Training Center, Department of 
                the Treasury (Parts 700--799)
      VIII  Office of International Investment, Department of the 
                Treasury (Parts 800--899)
        IX  Federal Claims Collection Standards (Department of the 
                Treasury--Department of Justice) (Parts 900--999)
         X  Financial Crimes Enforcement Network, Department of 
                the Treasury (Parts 1000--1099)

                      Title 32--National Defense

            Subtitle A--Department of Defense
         I  Office of the Secretary of Defense (Parts 1--399)

[[Page 611]]

         V  Department of the Army (Parts 400--699)
        VI  Department of the Navy (Parts 700--799)
       VII  Department of the Air Force (Parts 800--1099)
            Subtitle B--Other Regulations Relating to National 
                Defense
       XII  Defense Logistics Agency (Parts 1200--1299)
       XVI  Selective Service System (Parts 1600--1699)
      XVII  Office of the Director of National Intelligence (Parts 
                1700--1799)
     XVIII  National Counterintelligence Center (Parts 1800--1899)
       XIX  Central Intelligence Agency (Parts 1900--1999)
        XX  Information Security Oversight Office, National 
                Archives and Records Administration (Parts 2000--
                2099)
       XXI  National Security Council (Parts 2100--2199)
      XXIV  Office of Science and Technology Policy (Parts 2400--
                2499)
     XXVII  Office for Micronesian Status Negotiations (Parts 
                2700--2799)
    XXVIII  Office of the Vice President of the United States 
                (Parts 2800--2899)

               Title 33--Navigation and Navigable Waters

         I  Coast Guard, Department of Homeland Security (Parts 
                1--199)
        II  Corps of Engineers, Department of the Army (Parts 
                200--399)
        IV  Saint Lawrence Seaway Development Corporation, 
                Department of Transportation (Parts 400--499)

                          Title 34--Education

            Subtitle A--Office of the Secretary, Department of 
                Education (Parts 1--99)
            Subtitle B--Regulations of the Offices of the 
                Department of Education
         I  Office for Civil Rights, Department of Education 
                (Parts 100--199)
        II  Office of Elementary and Secondary Education, 
                Department of Education (Parts 200--299)
       III  Office of Special Education and Rehabilitative 
                Services, Department of Education (Parts 300--399)
        IV  Office of Vocational and Adult Education, Department 
                of Education (Parts 400--499)
         V  Office of Bilingual Education and Minority Languages 
                Affairs, Department of Education (Parts 500--599)
        VI  Office of Postsecondary Education, Department of 
                Education (Parts 600--699)
       VII  Office of Educational Research and Improvement, 
                Department of Education (700--799)[Reserved]
            Subtitle C--Regulations Relating to Education
        XI  National Institute for Literacy (Parts 1100--1199)
       XII  National Council on Disability (Parts 1200--1299)

[[Page 612]]

                          Title 35 [Reserved]

             Title 36--Parks, Forests, and Public Property

         I  National Park Service, Department of the Interior 
                (Parts 1--199)
        II  Forest Service, Department of Agriculture (Parts 200--
                299)
       III  Corps of Engineers, Department of the Army (Parts 
                300--399)
        IV  American Battle Monuments Commission (Parts 400--499)
         V  Smithsonian Institution (Parts 500--599)
        VI  [Reserved]
       VII  Library of Congress (Parts 700--799)
      VIII  Advisory Council on Historic Preservation (Parts 800--
                899)
        IX  Pennsylvania Avenue Development Corporation (Parts 
                900--999)
         X  Presidio Trust (Parts 1000--1099)
        XI  Architectural and Transportation Barriers Compliance 
                Board (Parts 1100--1199)
       XII  National Archives and Records Administration (Parts 
                1200--1299)
        XV  Oklahoma City National Memorial Trust (Parts 1500--
                1599)
       XVI  Morris K. Udall Scholarship and Excellence in National 
                Environmental Policy Foundation (Parts 1600--1699)

             Title 37--Patents, Trademarks, and Copyrights

         I  United States Patent and Trademark Office, Department 
                of Commerce (Parts 1--199)
        II  U.S. Copyright Office, Library of Congress (Parts 
                200--299)
       III  Copyright Royalty Board, Library of Congress (Parts 
                300--399)
        IV  Assistant Secretary for Technology Policy, Department 
                of Commerce (Parts 400--599)

           Title 38--Pensions, Bonuses, and Veterans' Relief

         I  Department of Veterans Affairs (Parts 0--199)
        II  Armed Forces Retirement Home (Parts 200--299)

                       Title 39--Postal Service

         I  United States Postal Service (Parts 1--999)
       III  Postal Regulatory Commission (Parts 3000--3099)

                  Title 40--Protection of Environment

         I  Environmental Protection Agency (Parts 1--1099)
        IV  Environmental Protection Agency and Department of 
                Justice (Parts 1400--1499)
         V  Council on Environmental Quality (Parts 1500--1599)
        VI  Chemical Safety and Hazard Investigation Board (Parts 
                1600--1699)

[[Page 613]]

       VII  Environmental Protection Agency and Department of 
                Defense; Uniform National Discharge Standards for 
                Vessels of the Armed Forces (Parts 1700--1799)

          Title 41--Public Contracts and Property Management

            Subtitle A--Federal Procurement Regulations System 
                [Note]
            Subtitle B--Other Provisions Relating to Public 
                Contracts
        50  Public Contracts, Department of Labor (Parts 50-1--50-
                999)
        51  Committee for Purchase From People Who Are Blind or 
                Severely Disabled (Parts 51-1--51-99)
        60  Office of Federal Contract Compliance Programs, Equal 
                Employment Opportunity, Department of Labor (Parts 
                60-1--60-999)
        61  Office of the Assistant Secretary for Veterans' 
                Employment and Training Service, Department of 
                Labor (Parts 61-1--61-999)
   62--100  [Reserved]
            Subtitle C--Federal Property Management Regulations 
                System
       101  Federal Property Management Regulations (Parts 101-1--
                101-99)
       102  Federal Management Regulation (Parts 102-1--102-299)
  103--104  [Reserved]
       105  General Services Administration (Parts 105-1--105-999)
       109  Department of Energy Property Management Regulations 
                (Parts 109-1--109-99)
       114  Department of the Interior (Parts 114-1--114-99)
       115  Environmental Protection Agency (Parts 115-1--115-99)
       128  Department of Justice (Parts 128-1--128-99)
  129--200  [Reserved]
            Subtitle D--Other Provisions Relating to Property 
                Management [Reserved]
            Subtitle E--Federal Information Resources Management 
                Regulations System [Reserved]
            Subtitle F--Federal Travel Regulation System
       300  General (Parts 300-1--300-99)
       301  Temporary Duty (TDY) Travel Allowances (Parts 301-1--
                301-99)
       302  Relocation Allowances (Parts 302-1--302-99)
       303  Payment of Expenses Connected with the Death of 
                Certain Employees (Part 303-1--303-99)
       304  Payment of Travel Expenses from a Non-Federal Source 
                (Parts 304-1--304-99)

                        Title 42--Public Health

         I  Public Health Service, Department of Health and Human 
                Services (Parts 1--199)
        IV  Centers for Medicare & Medicaid Services, Department 
                of Health and Human Services (Parts 400--599)

[[Page 614]]

         V  Office of Inspector General-Health Care, Department of 
                Health and Human Services (Parts 1000--1999)

                   Title 43--Public Lands: Interior

            Subtitle A--Office of the Secretary of the Interior 
                (Parts 1--199)
            Subtitle B--Regulations Relating to Public Lands
         I  Bureau of Reclamation, Department of the Interior 
                (Parts 400--999)
        II  Bureau of Land Management, Department of the Interior 
                (Parts 1000--9999)
       III  Utah Reclamation Mitigation and Conservation 
                Commission (Parts 10000--10099)

             Title 44--Emergency Management and Assistance

         I  Federal Emergency Management Agency, Department of 
                Homeland Security (Parts 0--399)
        IV  Department of Commerce and Department of 
                Transportation (Parts 400--499)

                       Title 45--Public Welfare

            Subtitle A--Department of Health and Human Services 
                (Parts 1--199)
            Subtitle B--Regulations Relating to Public Welfare
        II  Office of Family Assistance (Assistance Programs), 
                Administration for Children and Families, 
                Department of Health and Human Services (Parts 
                200--299)
       III  Office of Child Support Enforcement (Child Support 
                Enforcement Program), Administration for Children 
                and Families, Department of Health and Human 
                Services (Parts 300--399)
        IV  Office of Refugee Resettlement, Administration for 
                Children and Families, Department of Health and 
                Human Services (Parts 400--499)
         V  Foreign Claims Settlement Commission of the United 
                States, Department of Justice (Parts 500--599)
        VI  National Science Foundation (Parts 600--699)
       VII  Commission on Civil Rights (Parts 700--799)
      VIII  Office of Personnel Management (Parts 800--899)
         X  Office of Community Services, Administration for 
                Children and Families, Department of Health and 
                Human Services (Parts 1000--1099)
        XI  National Foundation on the Arts and the Humanities 
                (Parts 1100--1199)
       XII  Corporation for National and Community Service (Parts 
                1200--1299)
      XIII  Office of Human Development Services, Department of 
                Health and Human Services (Parts 1300--1399)

[[Page 615]]

       XVI  Legal Services Corporation (Parts 1600--1699)
      XVII  National Commission on Libraries and Information 
                Science (Parts 1700--1799)
     XVIII  Harry S. Truman Scholarship Foundation (Parts 1800--
                1899)
       XXI  Commission on Fine Arts (Parts 2100--2199)
     XXIII  Arctic Research Commission (Part 2301)
      XXIV  James Madison Memorial Fellowship Foundation (Parts 
                2400--2499)
       XXV  Corporation for National and Community Service (Parts 
                2500--2599)

                          Title 46--Shipping

         I  Coast Guard, Department of Homeland Security (Parts 
                1--199)
        II  Maritime Administration, Department of Transportation 
                (Parts 200--399)
       III  Coast Guard (Great Lakes Pilotage), Department of 
                Homeland Security (Parts 400--499)
        IV  Federal Maritime Commission (Parts 500--599)

                      Title 47--Telecommunication

         I  Federal Communications Commission (Parts 0--199)
        II  Office of Science and Technology Policy and National 
                Security Council (Parts 200--299)
       III  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                300--399)
        IV  National Telecommunications and Information 
                Administration, Department of Commerce, and 
                National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 400--499)

           Title 48--Federal Acquisition Regulations System

         1  Federal Acquisition Regulation (Parts 1--99)
         2  Defense Acquisition Regulations System, Department of 
                Defense (Parts 200--299)
         3  Health and Human Services (Parts 300--399)
         4  Department of Agriculture (Parts 400--499)
         5  General Services Administration (Parts 500--599)
         6  Department of State (Parts 600--699)
         7  Agency for International Development (Parts 700--799)
         8  Department of Veterans Affairs (Parts 800--899)
         9  Department of Energy (Parts 900--999)
        10  Department of the Treasury (Parts 1000--1099)
        12  Department of Transportation (Parts 1200--1299)
        13  Department of Commerce (Parts 1300--1399)
        14  Department of the Interior (Parts 1400--1499)

[[Page 616]]

        15  Environmental Protection Agency (Parts 1500--1599)
        16  Office of Personnel Management, Federal Employees 
                Health Benefits Acquisition Regulation (Parts 
                1600--1699)
        17  Office of Personnel Management (Parts 1700--1799)
        18  National Aeronautics and Space Administration (Parts 
                1800--1899)
        19  Broadcasting Board of Governors (Parts 1900--1999)
        20  Nuclear Regulatory Commission (Parts 2000--2099)
        21  Office of Personnel Management, Federal Employees 
                Group Life Insurance Federal Acquisition 
                Regulation (Parts 2100--2199)
        23  Social Security Administration (Parts 2300--2399)
        24  Department of Housing and Urban Development (Parts 
                2400--2499)
        25  National Science Foundation (Parts 2500--2599)
        28  Department of Justice (Parts 2800--2899)
        29  Department of Labor (Parts 2900--2999)
        30  Department of Homeland Security, Homeland Security 
                Acquisition Regulation (HSAR) (Parts 3000--3099)
        34  Department of Education Acquisition Regulation (Parts 
                3400--3499)
        51  Department of the Army Acquisition Regulations (Parts 
                5100--5199)
        52  Department of the Navy Acquisition Regulations (Parts 
                5200--5299)
        53  Department of the Air Force Federal Acquisition 
                Regulation Supplement (Parts 5300--5399)[Reserved]
        54  Defense Logistics Agency, Department of Defense (Parts 
                5400--5499)
        57  African Development Foundation (Parts 5700--5799)
        61  Civilian Board of Contract Appeals, General Services 
                Administration (Parts 6100--6199)
        63  Department of Transportation Board of Contract Appeals 
                (Parts 6300--6399)
        99  Cost Accounting Standards Board, Office of Federal 
                Procurement Policy, Office of Management and 
                Budget (Parts 9900--9999)

                       Title 49--Transportation

            Subtitle A--Office of the Secretary of Transportation 
                (Parts 1--99)
            Subtitle B--Other Regulations Relating to 
                Transportation
         I  Pipeline and Hazardous Materials Safety 
                Administration, Department of Transportation 
                (Parts 100--199)
        II  Federal Railroad Administration, Department of 
                Transportation (Parts 200--299)
       III  Federal Motor Carrier Safety Administration, 
                Department of Transportation (Parts 300--399)
        IV  Coast Guard, Department of Homeland Security (Parts 
                400--499)

[[Page 617]]

         V  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 500--599)
        VI  Federal Transit Administration, Department of 
                Transportation (Parts 600--699)
       VII  National Railroad Passenger Corporation (AMTRAK) 
                (Parts 700--799)
      VIII  National Transportation Safety Board (Parts 800--999)
         X  Surface Transportation Board, Department of 
                Transportation (Parts 1000--1399)
        XI  Research and Innovative Technology Administration, 
                Department of Transportation (Parts 1400--
                1499)[Reserved]
       XII  Transportation Security Administration, Department of 
                Homeland Security (Parts 1500--1699)

                   Title 50--Wildlife and Fisheries

         I  United States Fish and Wildlife Service, Department of 
                the Interior (Parts 1--199)
        II  National Marine Fisheries Service, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 200--299)
       III  International Fishing and Related Activities (Parts 
                300--399)
        IV  Joint Regulations (United States Fish and Wildlife 
                Service, Department of the Interior and National 
                Marine Fisheries Service, National Oceanic and 
                Atmospheric Administration, Department of 
                Commerce); Endangered Species Committee 
                Regulations (Parts 400--499)
         V  Marine Mammal Commission (Parts 500--599)
        VI  Fishery Conservation and Management, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 600--699)

                      CFR Index and Finding Aids

            Subject/Agency Index
            List of Agency Prepared Indexes
            Parallel Tables of Statutory Authorities and Rules
            List of CFR Titles, Chapters, Subchapters, and Parts
            Alphabetical List of Agencies Appearing in the CFR

[[Page 619]]





           Alphabetical List of Agencies Appearing in the CFR




                     (Revised as of October 1, 2013)

                                                  CFR Title, Subtitle or 
                     Agency                               Chapter

Administrative Committee of the Federal Register  1, I
Administrative Conference of the United States    1, III
Advisory Council on Historic Preservation         36, VIII
Advocacy and Outreach, Office of                  7, XXV
Afghanistan Reconstruction, Special Inspector     22, LXXXIII
     General for
African Development Foundation                    22, XV
  Federal Acquisition Regulation                  48, 57
Agency for International Development              2, VII; 22, II
  Federal Acquisition Regulation                  48, 7
Agricultural Marketing Service                    7, I, IX, X, XI
Agricultural Research Service                     7, V
Agriculture Department                            2, IV; 5, LXXIII
  Advocacy and Outreach, Office of                7, XXV
  Agricultural Marketing Service                  7, I, IX, X, XI
  Agricultural Research Service                   7, V
  Animal and Plant Health Inspection Service      7, III; 9, I
  Chief Financial Officer, Office of              7, XXX
  Commodity Credit Corporation                    7, XIV
  Economic Research Service                       7, XXXVII
  Energy Policy and New Uses, Office of           2, IX; 7, XXIX
  Environmental Quality, Office of                7, XXXI
  Farm Service Agency                             7, VII, XVIII
  Federal Acquisition Regulation                  48, 4
  Federal Crop Insurance Corporation              7, IV
  Food and Nutrition Service                      7, II
  Food Safety and Inspection Service              9, III
  Foreign Agricultural Service                    7, XV
  Forest Service                                  36, II
  Grain Inspection, Packers and Stockyards        7, VIII; 9, II
       Administration
  Information Resources Management, Office of     7, XXVII
  Inspector General, Office of                    7, XXVI
  National Agricultural Library                   7, XLI
  National Agricultural Statistics Service        7, XXXVI
  National Institute of Food and Agriculture      7, XXXIV
  Natural Resources Conservation Service          7, VI
  Operations, Office of                           7, XXVIII
  Procurement and Property Management, Office of  7, XXXII
  Rural Business-Cooperative Service              7, XVIII, XLII, L
  Rural Development Administration                7, XLII
  Rural Housing Service                           7, XVIII, XXXV, L
  Rural Telephone Bank                            7, XVI
  Rural Utilities Service                         7, XVII, XVIII, XLII, L
  Secretary of Agriculture, Office of             7, Subtitle A
  Transportation, Office of                       7, XXXIII
  World Agricultural Outlook Board                7, XXXVIII
Air Force Department                              32, VII
  Federal Acquisition Regulation Supplement       48, 53
Air Transportation Stabilization Board            14, VI
Alcohol and Tobacco Tax and Trade Bureau          27, I
Alcohol, Tobacco, Firearms, and Explosives,       27, II
     Bureau of
AMTRAK                                            49, VII
American Battle Monuments Commission              36, IV
American Indians, Office of the Special Trustee   25, VII

[[Page 620]]

Animal and Plant Health Inspection Service        7, III; 9, I
Appalachian Regional Commission                   5, IX
Architectural and Transportation Barriers         36, XI
     Compliance Board
Arctic Research Commission                        45, XXIII
Armed Forces Retirement Home                      5, XI
Army Department                                   32, V
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 51
Bilingual Education and Minority Languages        34, V
     Affairs, Office of
Blind or Severely Disabled, Committee for         41, 51
     Purchase from People Who Are
Broadcasting Board of Governors                   22, V
  Federal Acquisition Regulation                  48, 19
Bureau of Ocean Energy Management, Regulation,    30, II
     and Enforcement
Census Bureau                                     15, I
Centers for Medicare & Medicaid Services          42, IV
Central Intelligence Agency                       32, XIX
Chemical Safety and Hazardous Investigation       40, VI
     Board
Chief Financial Officer, Office of                7, XXX
Child Support Enforcement, Office of              45, III
Children and Families, Administration for         45, II, III, IV, X
Civil Rights, Commission on                       5, LXVIII; 45, VII
Civil Rights, Office for                          34, I
Council of the Inspectors General on Integrity    5, XCVIII
     and Efficiency
Court Services and Offender Supervision Agency    5, LXX
     for the District of Columbia
Coast Guard                                       33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage)                46, III
Commerce Department                               2, XIII; 44, IV; 50, VI
  Census Bureau                                   15, I
  Economic Analysis, Bureau of                    15, VIII
  Economic Development Administration             13, III
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 13
  Foreign-Trade Zones Board                       15, IV
  Industry and Security, Bureau of                15, VII
  International Trade Administration              15, III; 19, III
  National Institute of Standards and Technology  15, II
  National Marine Fisheries Service               50, II, IV
  National Oceanic and Atmospheric                15, IX; 50, II, III, IV, 
       Administration                             VI
  National Telecommunications and Information     15, XXIII; 47, III, IV
       Administration
  National Weather Service                        15, IX
  Patent and Trademark Office, United States      37, I
  Productivity, Technology and Innovation,        37, IV
       Assistant Secretary for
  Secretary of Commerce, Office of                15, Subtitle A
  Technology Administration                       15, XI
  Technology Policy, Assistant Secretary for      37, IV
Commercial Space Transportation                   14, III
Commodity Credit Corporation                      7, XIV
Commodity Futures Trading Commission              5, XLI; 17, I
Community Planning and Development, Office of     24, V, VI
     Assistant Secretary for
Community Services, Office of                     45, X
Comptroller of the Currency                       12, I
Construction Industry Collective Bargaining       29, IX
     Commission
Consumer Financial Protection Bureau              5, LXXXIV; 12, X
Consumer Product Safety Commission                5, LXXI; 16, II
Copyright Royalty Board                           37, III
Corporation for National and Community Service    2, XXII; 45, XII, XXV
Cost Accounting Standards Board                   48, 99
Council on Environmental Quality                  40, V
Court Services and Offender Supervision Agency    5, LXX; 28, VIII
     for the District of Columbia
Customs and Border Protection                     19, I

[[Page 621]]

Defense Contract Audit Agency                     32, I
Defense Department                                2, XI; 5, XXVI; 32, 
                                                  Subtitle A; 40, VII
  Advanced Research Projects Agency               32, I
  Air Force Department                            32, VII
  Army Department                                 32, V; 33, II; 36, III, 
                                                  48, 51
  Defense Acquisition Regulations System          48, 2
  Defense Intelligence Agency                     32, I
  Defense Logistics Agency                        32, I, XII; 48, 54
  Engineers, Corps of                             33, II; 36, III
  National Imagery and Mapping Agency             32, I
  Navy Department                                 32, VI; 48, 52
  Secretary of Defense, Office of                 2, XI; 32, I
Defense Contract Audit Agency                     32, I
Defense Intelligence Agency                       32, I
Defense Logistics Agency                          32, XII; 48, 54
Defense Nuclear Facilities Safety Board           10, XVII
Delaware River Basin Commission                   18, III
District of Columbia, Court Services and          5, LXX; 28, VIII
     Offender Supervision Agency for the
Drug Enforcement Administration                   21, II
East-West Foreign Trade Board                     15, XIII
Economic Analysis, Bureau of                      15, VIII
Economic Development Administration               13, III
Economic Research Service                         7, XXXVII
Education, Department of                          2, XXXIV; 5, LIII
  Bilingual Education and Minority Languages      34, V
       Affairs, Office of
  Civil Rights, Office for                        34, I
  Educational Research and Improvement, Office    34, VII
       of
  Elementary and Secondary Education, Office of   34, II
  Federal Acquisition Regulation                  48, 34
  Postsecondary Education, Office of              34, VI
  Secretary of Education, Office of               34, Subtitle A
  Special Education and Rehabilitative Services,  34, III
       Office of
  Vocational and Adult Education, Office of       34, IV
Educational Research and Improvement, Office of   34, VII
Election Assistance Commission                    2, LVIII; 11, II
Elementary and Secondary Education, Office of     34, II
Emergency Oil and Gas Guaranteed Loan Board       13, V
Emergency Steel Guarantee Loan Board              13, IV
Employee Benefits Security Administration         29, XXV
Employees' Compensation Appeals Board             20, IV
Employees Loyalty Board                           5, V
Employment and Training Administration            20, V
Employment Standards Administration               20, VI
Endangered Species Committee                      50, IV
Energy, Department of                             2, IX; 5, XXIII; 10, II, 
                                                  III, X
  Federal Acquisition Regulation                  48, 9
  Federal Energy Regulatory Commission            5, XXIV; 18, I
  Property Management Regulations                 41, 109
Energy, Office of                                 7, XXIX
Engineers, Corps of                               33, II; 36, III
Engraving and Printing, Bureau of                 31, VI
Environmental Protection Agency                   2, XV; 5, LIV; 40, I, IV, 
                                                  VII
  Federal Acquisition Regulation                  48, 15
  Property Management Regulations                 41, 115
Environmental Quality, Office of                  7, XXXI
Equal Employment Opportunity Commission           5, LXII; 29, XIV
Equal Opportunity, Office of Assistant Secretary  24, I
     for
Executive Office of the President                 3, I
  Administration, Office of                       5, XV
  Environmental Quality, Council on               40, V
  Management and Budget, Office of                2, Subtitle A; 5, III, 
                                                  LXXVII; 14, VI; 48, 99

[[Page 622]]

  National Drug Control Policy, Office of         21, III
  National Security Council                       32, XXI; 47, 2
  Presidential Documents                          3
  Science and Technology Policy, Office of        32, XXIV; 47, II
  Trade Representative, Office of the United      15, XX
       States
Export-Import Bank of the United States           2, XXXV; 5, LII; 12, IV
Family Assistance, Office of                      45, II
Farm Credit Administration                        5, XXXI; 12, VI
Farm Credit System Insurance Corporation          5, XXX; 12, XIV
Farm Service Agency                               7, VII, XVIII
Federal Acquisition Regulation                    48, 1
Federal Aviation Administration                   14, I
  Commercial Space Transportation                 14, III
Federal Claims Collection Standards               31, IX
Federal Communications Commission                 5, XXIX; 47, I
Federal Contract Compliance Programs, Office of   41, 60
Federal Crop Insurance Corporation                7, IV
Federal Deposit Insurance Corporation             5, XXII; 12, III
Federal Election Commission                       5, XXXVII; 11, I
Federal Emergency Management Agency               44, I
Federal Employees Group Life Insurance Federal    48, 21
     Acquisition Regulation
Federal Employees Health Benefits Acquisition     48, 16
     Regulation
Federal Energy Regulatory Commission              5, XXIV; 18, I
Federal Financial Institutions Examination        12, XI
     Council
Federal Financing Bank                            12, VIII
Federal Highway Administration                    23, I, II
Federal Home Loan Mortgage Corporation            1, IV
Federal Housing Enterprise Oversight Office       12, XVII
Federal Housing Finance Agency                    5, LXXX; 12, XII
Federal Housing Finance Board                     12, IX
Federal Labor Relations Authority                 5, XIV, XLIX; 22, XIV
Federal Law Enforcement Training Center           31, VII
Federal Management Regulation                     41, 102
Federal Maritime Commission                       46, IV
Federal Mediation and Conciliation Service        29, XII
Federal Mine Safety and Health Review Commission  5, LXXIV; 29, XXVII
Federal Motor Carrier Safety Administration       49, III
Federal Prison Industries, Inc.                   28, III
Federal Procurement Policy Office                 48, 99
Federal Property Management Regulations           41, 101
Federal Railroad Administration                   49, II
Federal Register, Administrative Committee of     1, I
Federal Register, Office of                       1, II
Federal Reserve System                            12, II
  Board of Governors                              5, LVIII
Federal Retirement Thrift Investment Board        5, VI, LXXVI
Federal Service Impasses Panel                    5, XIV
Federal Trade Commission                          5, XLVII; 16, I
Federal Transit Administration                    49, VI
Federal Travel Regulation System                  41, Subtitle F
Financial Crimes Enforcement Network              31, X
Financial Research Office                         12, XVI
Financial Stability Oversight Council             12, XIII
Fine Arts, Commission on                          45, XXI
Fiscal Service                                    31, II
Fish and Wildlife Service, United States          50, I, IV
Food and Drug Administration                      21, I
Food and Nutrition Service                        7, II
Food Safety and Inspection Service                9, III
Foreign Agricultural Service                      7, XV
Foreign Assets Control, Office of                 31, V
Foreign Claims Settlement Commission of the       45, V
     United States
Foreign Service Grievance Board                   22, IX
Foreign Service Impasse Disputes Panel            22, XIV
Foreign Service Labor Relations Board             22, XIV
Foreign-Trade Zones Board                         15, IV

[[Page 623]]

Forest Service                                    36, II
General Services Administration                   5, LVII; 41, 105
  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5
  Federal Management Regulation                   41, 102
  Federal Property Management Regulations         41, 101
  Federal Travel Regulation System                41, Subtitle F
  General                                         41, 300
  Payment From a Non-Federal Source for Travel    41, 304
       Expenses
  Payment of Expenses Connected With the Death    41, 303
       of Certain Employees
  Relocation Allowances                           41, 302
  Temporary Duty (TDY) Travel Allowances          41, 301
Geological Survey                                 30, IV
Government Accountability Office                  4, I
Government Ethics, Office of                      5, XVI
Government National Mortgage Association          24, III
Grain Inspection, Packers and Stockyards          7, VIII; 9, II
     Administration
Harry S. Truman Scholarship Foundation            45, XVIII
Health and Human Services, Department of          2, III; 5, XLV; 45, 
                                                  Subtitle A,
  Centers for Medicare & Medicaid Services        42, IV
  Child Support Enforcement, Office of            45, III
  Children and Families, Administration for       45, II, III, IV, X
  Community Services, Office of                   45, X
  Family Assistance, Office of                    45, II
  Federal Acquisition Regulation                  48, 3
  Food and Drug Administration                    21, I
  Human Development Services, Office of           45, XIII
  Indian Health Service                           25, V
  Inspector General (Health Care), Office of      42, V
  Public Health Service                           42, I
  Refugee Resettlement, Office of                 45, IV
Homeland Security, Department of                  2, XXX; 6, I; 8, I
  Coast Guard                                     33, I; 46, I; 49, IV
  Coast Guard (Great Lakes Pilotage)              46, III
  Customs and Border Protection                   19, I
  Federal Emergency Management Agency             44, I
  Human Resources Management and Labor Relations  5, XCVII
       Systems
  Immigration and Customs Enforcement Bureau      19, IV
  Transportation Security Administration          49, XII
HOPE for Homeowners Program, Board of Directors   24, XXIV
     of
Housing and Urban Development, Department of      2, XXIV; 5, LXV; 24, 
                                                  Subtitle B
  Community Planning and Development, Office of   24, V, VI
       Assistant Secretary for
  Equal Opportunity, Office of Assistant          24, I
       Secretary for
  Federal Acquisition Regulation                  48, 24
  Federal Housing Enterprise Oversight, Office    12, XVII
       of
  Government National Mortgage Association        24, III
  Housing--Federal Housing Commissioner, Office   24, II, VIII, X, XX
       of Assistant Secretary for
  Housing, Office of, and Multifamily Housing     24, IV
       Assistance Restructuring, Office of
  Inspector General, Office of                    24, XII
  Public and Indian Housing, Office of Assistant  24, IX
       Secretary for
  Secretary, Office of                            24, Subtitle A, VII
Housing--Federal Housing Commissioner, Office of  24, II, VIII, X, XX
     Assistant Secretary for
Housing, Office of, and Multifamily Housing       24, IV
     Assistance Restructuring, Office of
Human Development Services, Office of             45, XIII
Immigration and Customs Enforcement Bureau        19, IV
Immigration Review, Executive Office for          8, V
Independent Counsel, Office of                    28, VII
Indian Affairs, Bureau of                         25, I, V

[[Page 624]]

Indian Affairs, Office of the Assistant           25, VI
     Secretary
Indian Arts and Crafts Board                      25, II
Indian Health Service                             25, V
Industry and Security, Bureau of                  15, VII
Information Resources Management, Office of       7, XXVII
Information Security Oversight Office, National   32, XX
     Archives and Records Administration
Inspector General
  Agriculture Department                          7, XXVI
  Health and Human Services Department            42, V
  Housing and Urban Development Department        24, XII, XV
Institute of Peace, United States                 22, XVII
Inter-American Foundation                         5, LXIII; 22, X
Interior Department                               2, XIV
  American Indians, Office of the Special         25, VII
       Trustee
  Bureau of Ocean Energy Management, Regulation,  30, II
       and Enforcement
  Endangered Species Committee                    50, IV
  Federal Acquisition Regulation                  48, 14
  Federal Property Management Regulations System  41, 114
  Fish and Wildlife Service, United States        50, I, IV
  Geological Survey                               30, IV
  Indian Affairs, Bureau of                       25, I, V
  Indian Affairs, Office of the Assistant         25, VI
       Secretary
  Indian Arts and Crafts Board                    25, II
  Land Management, Bureau of                      43, II
  National Indian Gaming Commission               25, III
  National Park Service                           36, I
  Natural Resource Revenue, Office of             30, XII
  Ocean Energy Management, Bureau of              30, V
  Reclamation, Bureau of                          43, I
  Secretary of the Interior, Office of            2, XIV; 43, Subtitle A
  Surface Mining Reclamation and Enforcement,     30, VII
       Office of
Internal Revenue Service                          26, I
International Boundary and Water Commission,      22, XI
     United States and Mexico, United States 
     Section
International Development, United States Agency   22, II
     for
  Federal Acquisition Regulation                  48, 7
International Development Cooperation Agency,     22, XII
     United States
International Joint Commission, United States     22, IV
     and Canada
International Organizations Employees Loyalty     5, V
     Board
International Trade Administration                15, III; 19, III
International Trade Commission, United States     19, II
Interstate Commerce Commission                    5, XL
Investment Security, Office of                    31, VIII
Iraq Reconstruction, Special Inspector General    5, LXXXVII
     for
James Madison Memorial Fellowship Foundation      45, XXIV
Japan-United States Friendship Commission         22, XVI
Joint Board for the Enrollment of Actuaries       20, VIII
Justice Department                                2, XXVIII; 5, XXVIII; 28, 
                                                  I, XI; 40, IV
  Alcohol, Tobacco, Firearms, and Explosives,     27, II
       Bureau of
  Drug Enforcement Administration                 21, II
  Federal Acquisition Regulation                  48, 28
  Federal Claims Collection Standards             31, IX
  Federal Prison Industries, Inc.                 28, III
  Foreign Claims Settlement Commission of the     45, V
       United States
  Immigration Review, Executive Office for        8, V
  Offices of Independent Counsel                  28, VI
  Prisons, Bureau of                              28, V
  Property Management Regulations                 41, 128
Labor Department                                  5, XLII
  Employee Benefits Security Administration       29, XXV
  Employees' Compensation Appeals Board           20, IV
  Employment and Training Administration          20, V

[[Page 625]]

  Employment Standards Administration             20, VI
  Federal Acquisition Regulation                  48, 29
  Federal Contract Compliance Programs, Office    41, 60
       of
  Federal Procurement Regulations System          41, 50
  Labor-Management Standards, Office of           29, II, IV
  Mine Safety and Health Administration           30, I
  Occupational Safety and Health Administration   29, XVII
  Office of Workers' Compensation Programs        20, VII
  Public Contracts                                41, 50
  Secretary of Labor, Office of                   29, Subtitle A
  Veterans' Employment and Training Service,      41, 61; 20, IX
       Office of the Assistant Secretary for
  Wage and Hour Division                          29, V
  Workers' Compensation Programs, Office of       20, I
Labor-Management Standards, Office of             29, II, IV
Land Management, Bureau of                        43, II
Legal Services Corporation                        45, XVI
Library of Congress                               36, VII
  Copyright Royalty Board                         37, III
  U.S. Copyright Office                           37, II
Local Television Loan Guarantee Board             7, XX
Management and Budget, Office of                  5, III, LXXVII; 14, VI; 
                                                  48, 99
Marine Mammal Commission                          50, V
Maritime Administration                           46, II
Merit Systems Protection Board                    5, II, LXIV
Micronesian Status Negotiations, Office for       32, XXVII
Millennium Challenge Corporation                  22, XIII
Mine Safety and Health Administration             30, I
Minority Business Development Agency              15, XIV
Miscellaneous Agencies                            1, IV
Monetary Offices                                  31, I
Morris K. Udall Scholarship and Excellence in     36, XVI
     National Environmental Policy Foundation
Museum and Library Services, Institute of         2, XXXI
National Aeronautics and Space Administration     2, XVIII; 5, LIX; 14, V
  Federal Acquisition Regulation                  48, 18
National Agricultural Library                     7, XLI
National Agricultural Statistics Service          7, XXXVI
National and Community Service, Corporation for   2, XXII; 45, XII, XXV
National Archives and Records Administration      2, XXVI; 5, LXVI; 36, XII
  Information Security Oversight Office           32, XX
National Capital Planning Commission              1, IV
National Commission for Employment Policy         1, IV
National Commission on Libraries and Information  45, XVII
     Science
National Council on Disability                    34, XII
National Counterintelligence Center               32, XVIII
National Credit Union Administration              5, LXXXVI; 12, VII
National Crime Prevention and Privacy Compact     28, IX
     Council
National Drug Control Policy, Office of           21, III
National Endowment for the Arts                   2, XXXII
National Endowment for the Humanities             2, XXXIII
National Foundation on the Arts and the           45, XI
     Humanities
National Highway Traffic Safety Administration    23, II, III; 47, VI; 49, V
National Imagery and Mapping Agency               32, I
National Indian Gaming Commission                 25, III
National Institute for Literacy                   34, XI
National Institute of Food and Agriculture        7, XXXIV
National Institute of Standards and Technology    15, II
National Intelligence, Office of Director of      32, XVII
National Labor Relations Board                    5, LXI; 29, I
National Marine Fisheries Service                 50, II, IV
National Mediation Board                          29, X
National Oceanic and Atmospheric Administration   15, IX; 50, II, III, IV, 
                                                  VI
National Park Service                             36, I
National Railroad Adjustment Board                29, III

[[Page 626]]

National Railroad Passenger Corporation (AMTRAK)  49, VII
National Science Foundation                       2, XXV; 5, XLIII; 45, VI
  Federal Acquisition Regulation                  48, 25
National Security Council                         32, XXI
National Security Council and Office of Science   47, II
     and Technology Policy
National Telecommunications and Information       15, XXIII; 47, III, IV
     Administration
National Transportation Safety Board              49, VIII
Natural Resources Conservation Service            7, VI
Natural Resource Revenue, Office of               30, XII
Navajo and Hopi Indian Relocation, Office of      25, IV
Navy Department                                   32, VI
  Federal Acquisition Regulation                  48, 52
Neighborhood Reinvestment Corporation             24, XXV
Northeast Interstate Low-Level Radioactive Waste  10, XVIII
     Commission
Nuclear Regulatory Commission                     2, XX; 5, XLVIII; 10, I
  Federal Acquisition Regulation                  48, 20
Occupational Safety and Health Administration     29, XVII
Occupational Safety and Health Review Commission  29, XX
Ocean Energy Management, Bureau of                30, V
Offices of Independent Counsel                    28, VI
Office of Workers' Compensation Programs          20, VII
Oklahoma City National Memorial Trust             36, XV
Operations Office                                 7, XXVIII
Overseas Private Investment Corporation           5, XXXIII; 22, VII
Patent and Trademark Office, United States        37, I
Payment From a Non-Federal Source for Travel      41, 304
     Expenses
Payment of Expenses Connected With the Death of   41, 303
     Certain Employees
Peace Corps                                       2, XXXVII; 22, III
Pennsylvania Avenue Development Corporation       36, IX
Pension Benefit Guaranty Corporation              29, XL
Personnel Management, Office of                   5, I, XXXV; 45, VIII
  Human Resources Management and Labor Relations  5, XCVII
       Systems, Department of Homeland Security
  Federal Acquisition Regulation                  48, 17
  Federal Employees Group Life Insurance Federal  48, 21
       Acquisition Regulation
  Federal Employees Health Benefits Acquisition   48, 16
       Regulation
Pipeline and Hazardous Materials Safety           49, I
     Administration
Postal Regulatory Commission                      5, XLVI; 39, III
Postal Service, United States                     5, LX; 39, I
Postsecondary Education, Office of                34, VI
President's Commission on White House             1, IV
     Fellowships
Presidential Documents                            3
Presidio Trust                                    36, X
Prisons, Bureau of                                28, V
Private and Civil Liberties Oversight Board       6, X
Procurement and Property Management, Office of    7, XXXII
Productivity, Technology and Innovation,          37, IV
     Assistant Secretary
Public Contracts, Department of Labor             41, 50
Public and Indian Housing, Office of Assistant    24, IX
     Secretary for
Public Health Service                             42, I
Railroad Retirement Board                         20, II
Reclamation, Bureau of                            43, I
Recovery Accountability and Transparency Board    4, II
Refugee Resettlement, Office of                   45, IV
Relocation Allowances                             41, 302
Research and Innovative Technology                49, XI
     Administration
Rural Business-Cooperative Service                7, XVIII, XLII, L
Rural Development Administration                  7, XLII
Rural Housing Service                             7, XVIII, XXXV, L
Rural Telephone Bank                              7, XVI
Rural Utilities Service                           7, XVII, XVIII, XLII, L

[[Page 627]]

Saint Lawrence Seaway Development Corporation     33, IV
Science and Technology Policy, Office of          32, XXIV
Science and Technology Policy, Office of, and     47, II
     National Security Council
Secret Service                                    31, IV
Securities and Exchange Commission                5, XXXIV; 17, II
Selective Service System                          32, XVI
Small Business Administration                     2, XXVII; 13, I
Smithsonian Institution                           36, V
Social Security Administration                    2, XXIII; 20, III; 48, 23
Soldiers' and Airmen's Home, United States        5, XI
Special Counsel, Office of                        5, VIII
Special Education and Rehabilitative Services,    34, III
     Office of
State Department                                  2, VI; 22, I; 28, XI
  Federal Acquisition Regulation                  48, 6
Surface Mining Reclamation and Enforcement,       30, VII
     Office of
Surface Transportation Board                      49, X
Susquehanna River Basin Commission                18, VIII
Technology Administration                         15, XI
Technology Policy, Assistant Secretary for        37, IV
Tennessee Valley Authority                        5, LXIX; 18, XIII
Thrift Supervision Office, Department of the      12, V
     Treasury
Trade Representative, United States, Office of    15, XX
Transportation, Department of                     2, XII; 5, L
  Commercial Space Transportation                 14, III
  Contract Appeals, Board of                      48, 63
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 12
  Federal Aviation Administration                 14, I
  Federal Highway Administration                  23, I, II
  Federal Motor Carrier Safety Administration     49, III
  Federal Railroad Administration                 49, II
  Federal Transit Administration                  49, VI
  Maritime Administration                         46, II
  National Highway Traffic Safety Administration  23, II, III; 47, IV; 49, V
  Pipeline and Hazardous Materials Safety         49, I
       Administration
  Saint Lawrence Seaway Development Corporation   33, IV
  Secretary of Transportation, Office of          14, II; 49, Subtitle A
  Surface Transportation Board                    49, X
  Transportation Statistics Bureau                49, XI
Transportation, Office of                         7, XXXIII
Transportation Security Administration            49, XII
Transportation Statistics Bureau                  49, XI
Travel Allowances, Temporary Duty (TDY)           41, 301
Treasury Department                               5, XXI; 12, XV; 17, IV; 
                                                  31, IX
  Alcohol and Tobacco Tax and Trade Bureau        27, I
  Community Development Financial Institutions    12, XVIII
       Fund
  Comptroller of the Currency                     12, I
  Customs and Border Protection                   19, I
  Engraving and Printing, Bureau of               31, VI
  Federal Acquisition Regulation                  48, 10
  Federal Claims Collection Standards             31, IX
  Federal Law Enforcement Training Center         31, VII
  Financial Crimes Enforcement Network            31, X
  Fiscal Service                                  31, II
  Foreign Assets Control, Office of               31, V
  Internal Revenue Service                        26, I
  Investment Security, Office of                  31, VIII
  Monetary Offices                                31, I
  Secret Service                                  31, IV
  Secretary of the Treasury, Office of            31, Subtitle A
  Thrift Supervision, Office of                   12, V
Truman, Harry S. Scholarship Foundation           45, XVIII
United States and Canada, International Joint     22, IV
     Commission
United States and Mexico, International Boundary  22, XI
   and Water Commission, United States Section
[[Page 628]]

U.S. Copyright Office                             37, II
Utah Reclamation Mitigation and Conservation      43, III
     Commission
Veterans Affairs Department                       2, VIII; 38, I
  Federal Acquisition Regulation                  48, 8
Veterans' Employment and Training Service,        41, 61; 20, IX
     Office of the Assistant Secretary for
Vice President of the United States, Office of    32, XXVIII
Vocational and Adult Education, Office of         34, IV
Wage and Hour Division                            29, V
Water Resources Council                           18, VI
Workers' Compensation Programs, Office of         20, I
World Agricultural Outlook Board                  7, XXXVIII

[[Page 629]]

                                     

                                     



                           Redesignation Table



At 71 FR 45742, Aug. 10, 2006, a document was published that transferred 
part 1420 in 49 CFR Chapter XI to 49 CFR Chapter III and redesignated it 
as new part 369. For the convenience of the user, the following 
Redesignation Table shows the relationship of the old regulations to the 
new regulations.

                           Redesignation Table
------------------------------------------------------------------------
              Old section                          New section
------------------------------------------------------------------------
           1420 Part heading                    369 Part heading
------------------------------------------------------------------------
1420.1................................  369.1
1420.2................................  369.2
1420.3................................  369.3
1420.4................................  369.4
1420.5................................  369.5
1420.6................................  369.6
1420.7 [Reserved].....................  369.7 [Reserved]
1420.8................................  369.8
1420.9................................  369.9
1420.10...............................  369.10
1420.11...............................  369.11
------------------------------------------------------------------------


[[Page 631]]



List of CFR Sections Affected



All changes in this volume of the Code of Federal Regulations (CFR) that 
were made by documents published in the Federal Register since January 
1, 2008 are enumerated in the following list. Entries indicate the 
nature of the changes effected. Page numbers refer to Federal Register 
pages. The user should consult the entries for chapters, parts and 
subparts as well as sections for revisions.
For changes to this volume of the CFR prior to this listing, consult the 
annual edition of the monthly List of CFR Sections Affected (LSA). The 
LSA is available at www.fdsys.gov. For changes to this volume of the CFR 
prior to 2001, see the ``List of CFR Sections Affected, 1949-1963, 1964-
1972, 1973-1985, and 1986-2000'' published in 11 separate volumes. The 
``List of CFR Sections Affected 1986-2000'' is available at 
www.fdsys.gov.

                                  2008

49 CFR
                                                                   73 FR
                                                                    Page
Chapter III
365.101 (i) added..................................................76488
365.105 (a) revised................................................76488
367.20 Heading and table heading corrected.........................10158
383 Authority citation revised.....................................73123
383.5 Amended......................................................73123
383.71 (a) revised; (g) and (h) added..............................73123
383.73 (a)(5) redesignated as (a)(6); (b)(4)(ii), (5), (c)(3), 
        (4), (d)(1) and (2) amended; new (a)(5), (b)(6), (c)(5), 
        (d)(3) and (j) added.......................................73124
383.95 Revised.....................................................73125
384 Authority citation revised.....................................73125
384.105 (b) amended................................................73125
384.107 (b) and (c) revised........................................73125
384.206 (a)(2)(ii) and (iii) amended; (a)(1) and (b) revised.......73125
384.208 (b) amended................................................73125
384.225 Heading, (a) and (e) revised; (f) added; amended...........73125
384.226 Amended....................................................73126
384.231 (d) amended................................................73126
384.234 Added......................................................73126
384.301 (d) added..................................................73126
385 Comment period extension........................................9233
    Policy statement.................................35975, 53383, 65565
    Documents availability.........................................44171
    Regulation at 72 FR 71269 confirmed............................69586
    Authority citation revised.....................................76818
385.1 (e) added....................................................76818
385.3 Amended......................................................76818
385.201 Revised....................................................76818
385.203 (a) and (b) amended........................................76819
385.305 (b)(3) removed; (b)(4) redesignated as new (b)(3)..........76488
385.306 Added......................................................76488
385.307 (a) revised................................................76488
385.308 Added......................................................76488
385.319 Revised....................................................76489
385.321 Revised....................................................76489
385.323 Revised....................................................76490
385.325 (b) revised................................................76490
385.327 Revised....................................................76490
385.329 Revised....................................................76490
385.331 Revised....................................................76491
385.337 (a) revised................................................76491
385.405 (a) revised................................................76491
385.421 (a)(2) revised.............................................76491
385.501--385.503 (Subpart F) Added.................................76819
385.601--385.609 (Subpart H) Added.................................76491
385.701--385.717 (Subpart I) Added.................................76494
385 Appendix A amended.............................................76496
386 Authority citation and heading revised.........................76819
386.1 Revised......................................................76819
386.72 (b) revised.................................................76819
386.83 Revised.....................................................76819
386 Appendix A amended.............................................76820
387 Authority citation revised.....................................76496
387.3 (c)(1) revised...............................................76496

[[Page 632]]

387.7 (e) revised..................................................76496
387.9 Revised......................................................76496
387.31 (e) revised.................................................76496
390 Authority citation revised..............................76497, 76820
390.3 (h) added....................................................76820
390.5 Amended...............................................73126, 76820
390.15 (a) revised.................................................76821
390.19 Revised..............................................76497, 76821
390.21 Heading, (a) and (b)(2) revised; (g) added..................76821
390.40--390.46 (Subpart C) Added...................................76822
391 Authority citation revised.....................................73126
391.2 Heading revised..............................................73126
391.23 (a)(1) and (b) revised; (m) added...........................73126
391.25 (a), (b) introductory text and (c)(1) amended...............73127
391.41 (a) revised.................................................73127
391.43 (g) revised.................................................73127
391.51 (b)(2), (4) and (d)(1) amended; (b)(7), (8), (d)(4) and (5) 
        revised....................................................73127
392 Authority citation revised.....................................76823
392.7 Existing text designated as (a); (b) added...................76823
393 Authority citation revised.....................................76823
393.1 (b) revised; (c) and (d) added...............................76823
395 Policy statement...............................................65565
395 Comment period extension........................................9233
    Policy statement...............................................35975
    Documents availability.........................................44171
395.0 Removed......................................................69586
395.1 Regulation at 72 FR 71269 confirmed..........................69586
395.3 Regulation at 72 FR 71270 confirmed..........................69586
396 Authority citation revised.....................................76823
396.1 Revised......................................................76823
396.3 (a) introductory text and (b) introductory text revised......76824
396.9 Revised......................................................76824
396.11 (a) revised.................................................76824
396.12 Added.......................................................76824
396.17 Revised.....................................................76825
396.19 Revised.....................................................76825
396.21 Revised.....................................................76825
396.23 Revised.....................................................76825
396.25 Revised.....................................................76825
350--399 (Subchapter B) Appendix G added...........................76827

                                  2009

49 CFR
                                                                   74 FR
                                                                    Page
Chapter III
356.3 Removed.......................................................2901
    Regulation at 74 FR 2901 eff. date delay proposed...............9172
    Regulation at 74 FR 2901 eff. date delayed to 6-15-09..........11318
    Regulation at 74 FR 2901 confirmed.............................36614
365.101 (e) revised; (f) removed....................................2901
    Regulation at 74 FR 2901 eff. date delay proposed...............9172
    Regulation at 74 FR 2901 eff. date delayed to 6-15-09..........11318
    Regulation at 74 FR 2901 confirmed.............................36614
373 Authority citation revised.....................................15393
373.201 Revised....................................................15393
374.303 (f) revised.................................................2901
    Regulation at 74 FR 2901 eff. date delay proposed...............9172
    Regulation at 74 FR 2901 eff. date delayed to 6-15-09..........11318
    Regulation at 74 FR 2901 confirmed.............................36614
374.311 (a) and (b) revised.........................................2901
    Regulation at 74 FR 2901 eff. date delay proposed...............9172
    Regulation at 74 FR 2901 eff. date delayed to 6-15-09..........11318
    Regulation at 74 FR 2901 confirmed.............................36614
386.83 (a)(1) revised..............................................68708
390 Policy statement........................................37653, 43640
390.21 (g)(4)(v) added.............................................68708
390.40 (d) revised.................................................68708
392.7 (b) revised..................................................68708
393.11 (d) correctly removed; Table 1 heading correctly revised; 
        CFR correction.............................................47112
396.11 (a)(1) introductory text and (2) revised....................68709
396.12 (d) revised.................................................68709

                                  2010

49 CFR
                                                                   75 FR
                                                                    Page
Chapter III
Chapter III Policy statement........................................4305
325.91 (b) revised; eff. 11-19-10..................................57193
    Regulation at 75 FR 57193 confirmed............................67634
350 Authority citation revised.....................................17240
350.201 Introductory text revised; (z) added.......................17240
365 Authority citation revised.....................................35328

[[Page 633]]

365.109 (a)(5)(iii) revised; eff. 3-21-11..........................35328
367 Authority citation revised.....................................22012
367.1--367.7 (Subpart A) Removed...................................22012
367.20 Heading revised.............................................22012
367.30 Added.......................................................22012
371 Authority citation revised.....................................72996
371.1--371.13 Designated as Subpart A; subpart heading added.......72996
371.101--371.121 (Subpart B) Added.................................72996
375 Authority citation revised.....................................72998
375.213 (a), (b)(1) and (d) revised; (e) added.....................72998
375.409 Revised....................................................72998
383.5 Amended; eff. 10-27-10.......................................59134
383.51 (c) Table Two amended; eff. 10-27-10........................59134
383.71 (a) revised.................................................28500
383.73 (a)(5), (g), (j)(1)(iii) introductory text and (D) revised 
                                                                   28501
383.153 (e) added..................................................28501
384.301 (e) added; eff. 10-27-10...................................59135
385 Authority citation revised.....................................17240
    Policy statement...............................................57696
385.1 (a) revised..................................................17240
385.3 Amended......................................................17240
385.5 Revised......................................................17241
385.9 (a) revised..................................................17241
385.11 Heading revised; (g) added..................................17241
385.13 (e) added...................................................17241
385.15 (a) revised.................................................17241
385.17 (k) and (l) added...........................................17241
385.19 (a) and (b) revised.........................................17241
385.407 (a) revised................................................17241
385.801--385.819 (Subpart J) Added.................................17241
385.807 (a) revised................................................55491
385.815 (e) revised................................................55491
385 Appendix B amended; Appendix C added...........................17244
386 Authority citation revised.....................................72998
386 Appendix B amended.............................................72998
387.11 (d) added...................................................38430
387.35 (d) added...................................................38430
387.301 (b) revised; eff. 3-21-11..................................35328
387.303 (c) revised; eff. 3-21-11..................................35328
387.307 (a) redesignated as (a)(1); (a)(2) added...................72998
387.313 (f) added; eff. 3-21-11....................................35328
387.315 (d) added..................................................38430
387.403 (a) revised; eff. 3-21-11..................................35328
387.409 (d) added..................................................38430
387.413 (f) added; eff. 3-21-11....................................35329
389 Authority citation revised.....................................29916
389.11 Revised.....................................................29916
389.39 Added.......................................................29916
390 Authority citation revised......................................5002
    Policy statement...............................................32860
390.3 (f)(6)(ii) removed; (f)(6)(i) redesignated as (f)(6)..........5002
    (f)(1) and (6) revised; eff. 10-27-10..........................59135
390.5 Amended; eff. 10-27-10.......................................59135
390.42 (b) compliance date extended to 6-30-11.....................51419
391.2 Revised; eff. 10-27-10.......................................59135
391.15 (e) added; eff. 10-27-10....................................59136
391.23 (m)(2)(i)(A) amended; (m)(2)(i)(B) revised..................28502
391.41 (a)(2) revised..............................................28502
391.51 (b)(7)(ii) revised..........................................28502
392.80 (Subpart H) Added; eff. 10-27-10............................59136
393.55 (e) revised; eff. 11-22-10..................................57396
    Regulation at 75 FR 57396 confirmed............................67634
395 Waiver.........................................................13441
    Authority citation revised.....................................17245
    Policy statement...............................................32860
    Exemption......................................................61626
395.2 Amended......................................................17245
395.8 (a)(2) and (e) revised.......................................17245
395.11 Added.......................................................17245
395.13 (b)(2) revised; (b)(4) added................................17245
395.15 (a) introductory text added; (a)(1) revised.................17245
395.16 Added.......................................................17245
395.18 Added.......................................................17248
395 Appendix A added...............................................17248
    Appendix A amended.............................................55491
396.9 Heading, (c) heading and (1) revised.........................17252

                                  2011

49 CFR
                                                                   76 FR
                                                                    Page
Chapter III
383 Policy statement........................................32327, 50433
    Authority citation revised.....................................75486
383.5 Amended...............................................26878, 75486
383.23 Revised.....................................................26878
383.25 Added.......................................................26879
383.37 Revised.....................................................26879

[[Page 634]]

383.51 (a), (b) introductory text, (c) introductory text, (d) 
        introductory text and (e) introductory text revised; 
        Tables 1 through 4 amended.................................26879
383.51 (c) Table 2 amended.........................................75486
383.71 Revised.....................................................26881
383.72 Revised.....................................................26883
383.73 Revised.....................................................26883
383.75 Revised.....................................................26886
383.77 Revised.....................................................26887
383.79 Added.......................................................26887
383.93 (a) revised.................................................26887
383.95 Revised.....................................................26887
383.110 Revised....................................................26888
383.111 Revised....................................................26888
383.113 Revised....................................................26889
383.115 Revised....................................................26890
383.117 Revised....................................................26890
383.119 Revised....................................................26890
383.121 Revised....................................................26890
383.123 Revised....................................................26891
383.110--383.123 (Subpart G) Appendix removed......................26891
383.131 Revised....................................................26891
383.133 Revised....................................................26891
383.135 Revised....................................................26892
383.151--383.155 (Subpart J) Heading revised.......................26892
383.151 Revised....................................................26892
383.153 Revised....................................................26892
    (f) and (g) correctly redesignated as (g) and (h)..............39018
383.155 Revised....................................................26893
384 Authority citation revised.....................................75486
384.105 (b) amended................................................26893
384.107 (b) revised................................................68332
384.201 Revised....................................................26893
384.204 Revised....................................................26894
384.205 Revised....................................................26894
384.206 Revised....................................................26894
384.207 Introductory text and (a) revised..........................26894
384.208 (a) revised................................................26894
384.209 (a) revised................................................26894
384.210 Revised....................................................26894
384.211 Revised....................................................26894
384.212 Revised....................................................26894
384.214 Revised....................................................26895
384.217 Revised....................................................26895
384.220 Revised....................................................26895
384.225 (a) and (b) revised........................................26895
384.226 Revised....................................................26895
384.227 Added......................................................26895
384.228 Added......................................................26895
384.229 Added......................................................26896
384.231 (b) revised................................................26896
384.301 (e) revised................................................26896
    (f) correctly added............................................39018
    (g) added......................................................68332
    (h) added......................................................75486
384.405 Revised....................................................26896
385 Appendix B amendedL26897, 81186
386 Appendix B amended.............................................81186
390 Policy statement........................................32327, 50433
    Authority citation revised.....................................75486
390.3 (f)(1) and (6) revised.......................................75487
    (f)(1) corrected...............................................82180
390.5 Amended......................................................75487
390.23 (c) revised.................................................81186
390.42 (b) compliance date extended to 6-30-12.....................29169
391 Authority citation revised.....................................75487
391.2 Revised......................................................75487
391.15 (f) added...................................................75487
391.23 (m)(2) introductory text, (i) introductory text and (ii) 
        revised....................................................70663
391.41 (a)(2)(i) revised...........................................70663
392 Authority citation revised.....................................75487
392.80 (d) revised.................................................75487
392.82 Added.......................................................75487
393 Policy statement...............................................20867
    Authority citation revised.....................................56321
393.42 (a) and (b)(2) revised; eff. 10-13-11.......................56321
393.71 (a)(3) and (c)(4) revised; eff. 10-13-11....................56322
395 Authority citation revised.....................................25590
395.1 (a)(1) revised; (r) added....................................25590
    (b) heading, (1) introductory text, (d)(2), (e)(1)(iv), (2), 
(g)(1), (2)(ii) and (q) revised....................................81186
395.2 Amended...............................................25590, 81187
395.3 Revised......................................................81188

                                  2012

49 CFR
                                                                   77 FR
                                                                    Page
Chapter III
Chapter III Exemptions.............................................59840
303 Authority citation revised.....................................59822
325 Authority citation revised.....................................59823
350 Authority citation revised.....................................59823
350.105 Amended....................................................59823
350.201 Introductory text revised; (z) removed.....................28449
    Introductory text revised......................................28454
350.205 (a) amended................................................59823

[[Page 635]]

350.213 (o) removed; (p), (q) and (r) redesignated as new (o), (p) 
        and (q)....................................................59823
350.313 (b) removed; (c) and (d) redesignated as new (b) and (c) 
                                                                   59823
350.327 (f) removed................................................59823
350.329 Heading revised............................................59823
350.331 (b) amended................................................59823
350.335 (e) amended................................................59823
350.341 (h)(3) added...............................................24126
355 Authority citation revised.....................................59823
356 Authority citation revised.....................................59823
360 Authority citation revised.....................................59823
365 Authority citation revised.....................................59823
    Policy statement...............................................64050
366 Authority citation revised.....................................59823
367 Authority citation revised.....................................59823
368 Authority citation revised.....................................59823
369 Authority citation revised..............................38214, 59823
    Regulation at 77 FR 38214 withdrawn............................51705
369.1 (b) removed; (c) redesignated as new (b); new (b) revised....38214
    Regulation at 77 FR 38214 withdrawn............................51705
369.4 Revised......................................................38214
    Regulation at 77 FR 38214 withdrawn............................51705
369.8 (d) revised; table following (d) removed.....................38214
    Regulation at 77 FR 38214 withdrawn............................51705
369.9 (d)(4) and table following (e)(4) removed; (e)(4) revised....38214
    Regulation at 77 FR 38214 withdrawn............................51705
369.11 Removed.....................................................38214
    Regulation at 77 FR 38214 withdrawn............................51705
370 Authority citation revised.....................................59823
371 Policy statement........................................32901, 64050
    Authority citation revised.....................................59823
372 Authority citation revised.....................................59823
373 Authority citation revised.....................................59823
374 Authority citation revised.....................................59823
375 Authority citation revised.......................25373, 36934, 59823
    Policy statement...............................................32901
    Regulation at 77 FR 36934 confirmed............................48460
375.103 Amended.............................................36934, 59823
    Regulation at 77 FR 36934 confirmed............................48460
375.209 (b)(3) removed; (b)(4) redesignated as new (b)(3)..........36934
    Regulation at 77 FR 36934 confirmed............................48460
    (b) introductory text amended..................................59824
375.213 (e)(3) revised; eff. 11-13-12..............................41704
    Regulation at 77 FR 41704 confirmed; eff. 11-13-12.............51706
375.401 (g) and (h) redesignated as (h) and (i); new (g) added.....25373
375.403 (a)(6)(ii) revised.........................................36934
    Regulation at 77 FR 36934 confirmed............................48460
375.405 (b)(7)(ii) revised.........................................36935
    Regulation at 77 FR 36935 confirmed............................48460
375.505 (b)(12) revised; (e) removed...............................25373
375.609 (h) added..................................................36935
    Regulation at 77 FR 36935 confirmed............................48460
375 Appendix A amended.............................................59824
    Policy statement...............................................64050
376 Authority citation revised.....................................59824
377 Authority citation revised.....................................59824
378 Authority citation revised.....................................59824
379 Authority citation revised.....................................59824
379 Appendix A amended.............................................59824
380 Authority citation revised.....................................59825
381 Authority citation revised.....................................59825
382 Authority citation revised.....................................59825
382.107 Introductory text revised; amended.........................59825
382.201 Amended.....................................................4483
382.211 Revised.....................................................4483
382.213 Revised.....................................................4483
382.215 Amended.....................................................4483
383 Policy statement...............................................30919
    Authority citation revised.....................................59825
383.5 Amended; eff. 10-26-12.......................................51709
    Regulation at 77 FR 51709 withdrawn............................65497
383.51 (b) Table 1, (c) Table 2 and (e)(2) Table 4 amended.........59825
383.71 (b)(1)(i) removed; (b)(1)(ii)(A) through (D) redesignated 
        as new (b)(1)(i) through (iv); (h)(2) amended..............59825
383.73 (o)(1)(iii)(E) revised......................................24127
383.91 (a)(3) amended..............................................59825
383.141 (a) revised................................................59825
384 Policy statement...............................................30919
    Authority citation revised.....................................59825
384.215 (b) amended................................................59825

[[Page 636]]

384.234 Correctly revised..........................................26989
385 Policy statement.................................30919, 38215, 49384
    Authority citation revised..............................59825, 64762
385.1 (a) revised..................................................28450
385.3 Amended......................................................28450
385.4 Revised......................................................59825
385.5 Revised...............................................28450, 28454
385.9 (a) revised..................................................28450
385.11 Heading revised; (g) removed................................28450
385.13 (e) removed.................................................28450
    (e) added......................................................28454
385.15 (a) revised..........................................28450, 28454
385.17 (k) and (l) removed.........................................28450
    (f) revised....................................................64762
385.19 (a) and (b) revised.........................................28450
    (b) amended....................................................59826
385.321 Table correctly amended....................................26989
385.403 (d) revised................................................59826
385.407 (a) revised................................................28450
    (c) revised....................................................59826
385.415 (b)(1) revised.............................................59826
385.801--385.819 (Subpart J) Removed...............................28450
385 Appendix B amended; Appendix C removed.........................28451
    Appendix B amended......................................28454, 59826
386 Policy statement........................................32901, 34249
    Authority citation revised.....................................59826
386.5 (f) amended..................................................59826
386.18 (a) and (c) revised.........................................24870
386.73 Added.......................................................24870
386.82 (a)(2) amended..............................................59826
386 Appendix A amended.............................................24872
387 Policy statement...............................................32901
    Authority citation revised.....................................59826
387.303 (b)(1) and (2) revised.....................................59826
388 Authority citation revised.....................................59827
389 Authority citation revised.....................................59827
390 Authority citation revised..............................24127, 59827
390.5 Amended......................................................24127
    Amended; eff. 10-26-12.........................................51709
    Regulation at 77 FR 51709 withdrawn............................65497
390.21 (b)(5) removed..............................................59827
390.27 Revised.....................................................59827
390.42 (b) revised.................................................34852
    (b) amended....................................................59828
390.101--390.115 (Subpart D) Added.................................24127
391 Authority citation revised..............................24130, 59828
391.15 (f)(1) amended...............................................1891
391.23 (m)(1) revised; (m)(2)(i)(A) amended; (m)(2)(i)(B) 
        redesignated as (m)(2)(i)(C); new (m)(2)(i)(B) added.......24130
391.41 (b)(12) revised..............................................4483
391.42 Added.......................................................24130
391.43 (f) amended..................................................4483
    (f) form corrected.............................................10391
    (a), (g) and (h) revised; (i) added............................24130
391.51 (b)(7)(iii), (8), (d)(4) and (5) amended; (b)(9) and (d)(6) 
        added......................................................24133
392 Authority citation revised.....................................59828
393 Authority citation revised..............................46638, 59828
393.7 (b)(15) removed..............................................46638
393.17 (b) introductory text amended...............................59828
393.47 (e) revised.................................................46638
393.53 (b) and (c) revised.........................................46639
393.77 (b)(13) amended.............................................59828
395 Policy statement.................................30921, 33098, 33331
    Regulation at 77 FR 33098 comment period extended to 10-5-12 
                                                                   46640
    Authority citation revised.....................................59828
395.1 (b)(1) correctly revised......................................7544
395.2 Amended......................................................28451
395.8 (a)(2) and (e) revised.......................................28451
    (a)(2) revised.................................................28454
    (a)(1) revised.................................................59828
395.11 Removed.....................................................28451
395.13 (b)(2) revised; (b)(4) removed..............................28451
395.15 (a) heading and (1) revised.................................28451
395.16 Removed.....................................................28451
395.18 Removed.....................................................28451
395 Appendix A removed.............................................28451
396 Authority citation revised..............................34852, 59828
396.9 Heading, (c) heading and (1) revised.........................28451
396.11 (a) and (b) revised.........................................34852
    (b)(4) amended.................................................59828
396.12 (b)(4) revised..............................................34852
397 Authority citation revised.....................................59828
397.5 (d)(3) revised...............................................59828
397.19 (a)(3) amended..............................................59828
397.101 (b) introductory text, (2) and (d) introductory text 
        amended....................................................59828
398 Authority citation revised.....................................59828

[[Page 637]]

398.5 (d) amended..................................................59828
399 Authority citation revised.....................................59828
350--399 (Subch. B) Appendix G amended......................46639, 59829
    Appendix B amended.............................................59828

                                  2013

  (Regulations published from January 1, 2013, through October 1, 2013)

49 CFR
                                                                   78 FR
                                                                    Page
Chapter III
325 Authority citation revised.....................................58477
325.1 (c)(6) amended...............................................58477
325.13 (d)(1) amended..............................................58477
350.103 Revised....................................................60230
350.201 (f), (n) and (s) revised; (z) added........................60230
350.205 (b) amended................................................58478
350.211 (8) and (11) revised; (22) added...........................60231
350.301 (a) and (c) revised........................................60231
350.341 (h)(2) amended.............................................58478
355 Appendix A amended.............................................58478
360 Revised; eff. 10-23-15.........................................52644
365 Interpretation.................................................52457
    Authority citation revised..............................52646, 58478
365.101 (a) and (h) revised; eff. 10-23-15.........................52646
365.103 Removed; eff. 10-23-15.....................................52646
365.105 Revised; eff. 10-23-15.....................................52646
365.107 Revised; eff. 10-23-15.....................................52646
365.109 (a)(5), (6) and (b) revised; eff. 10-23-15.................52647
365.110 Added; eff. 10-23-15.......................................52647
365.111 (a) revised; eff. 10-23-15.................................52647
365.119 Revised; eff. 10-23-15.....................................52647
365.201 Revised; eff. 10-23-15.....................................52647
365.203 Revised; eff. 10-23-15.....................................52647
365.301 Removed; eff. 10-23-15.....................................52647
365.401--365.405 (Subpart D) Revised; eff. 10-23-15................53647
365.507 (e)(2) revised; eff. 10-23-15..............................53647
365.509 (a) revised; eff. 10-23-15.................................52648
365.501--365.511 (Subpart E) Appendix A amended....................58478
366 Authority citation revised.....................................52648
366.1 Revised; eff. 10-23-15.......................................52648
366.2 Revised; eff. 4-25-16........................................52648
366.3 Revised; eff. 10-23-15.......................................52648
366.4 Revised; eff. 10-23-15.......................................52648
366.5 Revised; eff. 10-23-15.......................................52648
366.6 Revised; eff. 10-23-15.......................................52648
368 Authority citation revised.....................................52648
368.3 (a), (b) and (f) revised; (e) removed; eff. 10-23-15.........52648
368.4 (a) revised; eff. 10-23-15...................................52649
368.8 Revised; eff. 10-23-15.......................................52649
369.2 Amended......................................................58478
369.3 Amended......................................................58478
370.9 (b) amended..................................................58478
372.109 (a) amended................................................58478
372.117 (a) amended................................................58478
372.211 (e) amended................................................58478
372.213 (e) amended................................................58478
372.227 (d) and (e) amended........................................58478
372.229 (d) and (e) amended........................................58478
372.231 (d) and (e) amended........................................58478
372.233 (e) amended................................................58479
375.105 (b) revised................................................58479
376.11 (d)(1) amended..............................................58479
380.502 (b) amended................................................58479
380.513 (e) amended................................................58479
380 Appendix A amended.............................................58479
381.310 (c)(5) amended.............................................58479
381.410 (c)(8) amended.............................................58479
381.500 (d) revised................................................60231
382 Authority citation revised.....................................16194
382.103 (d)(4) added...............................................16194
382.401 (b)(2), (c)(5)(iv) and (d) amended.........................58479
382.403 (e) amended................................................58479
382.601 (b)(11) amended............................................58479
383 Authority citation revised..............................16194, 17880
383.3 (h) added....................................................16194
    (f)(3)(i)(A) revised...........................................58479
383.5 Amended...............................................58479, 60231
383.37 Introductory text revised...................................60231
383.51 Table 2 amended.............................................58479
    (a)(7) added...................................................60231
383.53 (b)(2) and (c) amended......................................58480
383.71 (a) introductory text, (1) introductory text, (b)(1) 
        introductory text, (g) and (h) amended.....................58480
383.73 (a)(2)(vi), (b)(6), (c)(7), (d)(7), (e)(5), (f)(2)(ii) and 
        (m) revised................................................17880
    (a)(1), (2) introductory text, (vii), (b)(3)(v), (5), (c)(8), 
(d)(8), (e)(6), (o)(1)(i), (4)(ii) amended.........................58480
383.75 (a)(7) and (8)(v) revised...................................17881
383.153 (b)(1) and (h) revised.....................................17881
    (g) and (h) amended............................................58480
384 Authority citation revised.....................................17881
384.105 Amended....................................................17881
384.206 (a)(1)(ii) and (2)(iii) amended............................58480

[[Page 638]]

384.209 Revised....................................................60232
384.216 (b) amended................................................58480
384.222 Amended....................................................58480
384.223 Amended....................................................58480
384.225 (a)(2)(i) amended..........................................58480
384.227 (c) revised; (d) added.....................................17881
384.228 (h) revised................................................17882
384.229 (a) revised................................................58480
384.301 (f) revised................................................17882
384.305 (a) amended................................................58481
384.309 (a)(2) amended.............................................58481
384.403 (a) amended................................................58481
384.405 (b)(1) revised.............................................17882
385 Authority citation revised.....................................52649
    Authority citation revised.....................................56620
385.3 Amended...............................................58481, 60232
385.4 (b)(1) revised...............................................56620
    (a) amended; (b) introductory text revised.....................58481
385.301 Revised; eff. 10-23-15.....................................52649
385.303 Revised; eff. 10-23-15.....................................52649
385.305 Revised; eff. 10-23-15.....................................52649
385.329 (b) introductory text, (1), (c)(1) and (d) revised; eff. 
        10-23-15...................................................52649
385.405 Revised; eff. 10-23-15.....................................52649
385.407 (c) revised................................................58481
385.409 (a) revised; eff. 10-23-15.................................52650
385.419 Revised; eff. 10-23-15.....................................52650
385.421 (a)(1) and (2) revised; eff. 10-23-15......................52650
    (a)(9) amended.................................................58481
385.603 Revised; eff. 10-23-15.....................................52650
385.607 (e)(2) revised; eff. 10-23-15..............................52650
385.609 (a)(2) revised; (a)(3) removed; eff. 10-23-15..............52650
385.713 (b) introductory text, (1), (c) introductory text, (1) and 
        (d) revised; eff. 10-23-15.................................52650
385 Appendix A amended.............................................60232
386.2 Amended......................................................58481
386.7 Amended......................................................58481
386.8 (c)(2) amended...............................................58481
386.11 (a) introductory text, (b) introductory text, and (3) 
        amended....................................................58481
386.13 (a)(5) revised..............................................58481
386.22 (d) and (e) amended.........................................58481
386.48 Amended.....................................................58481
386.51 (a) amended.................................................58481
386.72 (b)(3) amended..............................................58481
386.73 (g)(8)(iii) amended.........................................58481
386.81 (a) amended.................................................60232
386.83 (c) revised.................................................58481
386.84 (a), (b)(1), (c) and (d) introductory text revised..........60232
386 Appendices A and B amended.....................................60233
387 Authority citation revised.....................................52650
387.5 Amended......................................................58482
387.17 Amended.....................................................60233
387.19 Added; eff. 10-23-15........................................52650
387.29 Amended.....................................................58482
387.33 Revised; eff. 10-23-15......................................52651
387.41 Amended.....................................................60233
387.43 Added; eff. 10-23-15........................................52651
387.301 (a)(1) revised; eff. 10-23-15..............................52651
387.303 (b)(1)(iii) added; eff. 10-23-15...........................52651
387.307 (c)(8) and (d)(1) amended..................................58482
    (a) revised....................................................60233
387.313 (b) and (d) revised; eff. 10-23-15.........................52651
387.315 (a), (b) and (c) amended...................................58482
387.323 Revised; eff. 10-23-15.....................................52651
387.403 Revised; eff. 10-23-15.....................................52652
    (c) added......................................................60233
387.405 Revised....................................................60233
387.409 (a), (b) and (c) amended...................................58482
387.413 (b) revised; eff. 10-23-15.................................52652
387.419 Revised; eff. 10-23-15.....................................52652
389.25 Revised.....................................................58482
390 Authority citation revised..............................16194, 52652
390.3 Revised; eff. 10-23-15.......................................52652
    (f)(1) and (6) amended.........................................58482
390.5 Amended...............................................16194, 58482
    Amended; eff. 10-23-15.........................................52653
390.19 (b)(4) added................................................52653
    Revised; eff. 10-23-15.........................................52653
    Heading revised................................................58482
390.21 (b)(1) revised; eff. 10-23-15...............................52653
    (e)(2)(iv), (g)(4)(iii), (v)(A)(i) and (iii amended............58482
390.39 Added.......................................................16194
390.40 (a) revised; eff. 10-23-15..................................52654
    (f) and (j) amended............................................58483
390.107 Introductory text amended..................................58483
390.201--390.209 (Subpart E) Added; eff. 10-23-15..................52654
391 Authority citation revised.....................................16195
391.2 (d) added....................................................16195
    (a) introductory text, (b) and (c) amended.....................58483
391.15 (c)(1)(i) and (ii) amended..................................58483
391.47 (c), (d)(1), (2) and (f) amended............................58483
391.49 (g), (h), (j)(1), (2) and (k) amended.......................58483

[[Page 639]]

391.65 (a) introductory text, (1), (2) introductory text, (i), 
        (iii) and (vii) revised....................................58483
392 Authority citation revised; eff. 10-23-15......................52655
    Authority citation revised.....................................58923
392.9a (b) revised.................................................60234
392.9b Added.......................................................52655
392.12 Added.......................................................58923
393.3 Revised......................................................58483
393.11 Table 1 amended.............................................58484
393.49 (a) amended.................................................58484
393.67 (a)(2), (3) and (c)(9) amended..............................58484
393.65--393.69 (Subpart E) Authority citation removed..............58484
393.71 (h)(7) amended; authority citation removed..................58484
393.77 (b)(15)(i) redesignated as (c)..............................58484
393.95 (j) amended.................................................58484
393.102 (b) and (c) introductory text amended......................58484
393.118 (d)(3)(iv)(B)(2)(i) amended; (d)(5) redesignated as (e)....58484
393.120 (b) heading, (1)(iv), (2) introductory text, (c) heading, 
        (d) heading, (1)(v) and (3)(iv) amended....................58484
393.124 (a) redesignated as (e); new (e)(2)(ii)(B) and (f)(2)(i) 
        amended....................................................58484
393.136 (b)(2) amended.............................................58484
393.203 (a) amended................................................58484
395 Authority citation revised.....................................16195
    Waiver.........................................................41716
    Guidance................................................41852, 48817
395.1 (k) revised; (s) added.......................................16195
    (g)(1)(i)(B), (C) and (ii)(C) revised; (m) heading amended.....58484
395.3 (d) revised..................................................58485
395.8 (c) note and (f)(11) amended.................................58485
396 Authority citation revised.....................................16195
396.1 (c) added....................................................16195
396.9 (c)(1) amended...............................................58485
396.11 (a)(1)(xi), (b)(1)(ix), (2)(ix) and (iv)(B) amended.........58485
396.15 (b)(1) and (c) amended......................................58485
397.65 Amended.....................................................58485
397.67 (b) introductory text and (d) amended.......................58485
397.69 (b) amended.................................................58485
397.71 Table amended...............................................58485
397.73 (a) and (b) amended.........................................58485
397.101 (d) and (g) introductory text amended......................58485
397.201 (c) amended................................................58486
397.213 (b)(4) amended.............................................58486
350--399 (Subchapter B) Appendix G amended.........................58486
    Appendix B amended.............................................60234


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