[Title 49 CFR ]
[Code of Federal Regulations (annual edition) - October 1, 2019 Edition]
[From the U.S. Government Publishing Office]
[[Page i]]
Title 49
Transportation
________________________
Parts 300 to 399
Revised as of October 1, 2019
Containing a codification of documents of general
applicability and future effect
As of October 1, 2019
Published by the Office of the Federal Register
National Archives and Records Administration as a
Special Edition of the Federal Register
[[Page ii]]
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[[Page iii]]
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........................ 743
Alphabetical List of Agencies Appearing in the CFR...... 763
List of CFR Sections Affected........................... 773
[[Page iv]]
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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
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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
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[[Page vi]]
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[[Page vii]]
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Oliver A. Potts,
Director,
Office of the Federal Register
October 1, 2019
[[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 V--National Highway Traffic Safety Administration
(DOT), 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 some of the current
regulations issued under chapter X--Surface Transportation Board and the
ninth volume (part 1200 to end) contains the rest of the current
regulations issued under chapter X--Surface Transportation Board,
chapter XI--Research and Innovative Technology Administration (DOT), and
chapter XII--Transportation Security Administration (DHS). The contents
of these volumes represent all current regulations codified under this
title of the CFR as of October 1, 2019.
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.
For this volume, Gabrielle E. Burns was Chief Editor. The Code of
Federal Regulations publication program is under the direction of John
Hyrum Martinez, assisted by Stephen J. Frattini.
[[Page 1]]
TITLE 49--TRANSPORTATION
(This book contains parts 300 to 399)
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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
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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 Motor carrier safety assistance program and
high priority program................... 19
355 Compatibility of State laws and regulations
affecting interstate motor carrier
operations.............................. 36
356 Motor carrier routing regulations........... 39
360 Fees for motor carrier registration and
insurance............................... 39
365 Rules governing applications for operating
authority............................... 46
366 Designation of process agent................ 63
367 Standards for registration with States...... 65
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..................... 68
369 Reports of motor carriers................... 71
370 Principles and practices for the
investigation and voluntary disposition
of loss and damage claims and processing
salvage................................. 76
371 Brokers of property......................... 79
372 Exemptions, commercial zones, and terminal
areas................................... 83
373 Receipts and bills.......................... 97
374 Passenger carrier regulations............... 99
[[Page 6]]
375 Transportation of household goods in
interstate commerce; consumer protection
regulations............................. 106
376 Lease and interchange of vehicles........... 148
377 Payment of transportation charges........... 155
378 Procedures governing the processing,
investigation, and disposition of
overcharge, duplicate payment, or
overcollection claims................... 158
379 Preservation of records..................... 161
380 Special training requirements............... 165
381 Waivers, exemptions, and pilot programs..... 201
382 Controlled substances and alcohol use and
testing................................. 208
383 Commercial driver's license standards;
requirements and penalties.............. 235
384 State compliance with commercial driver's
license program......................... 281
385 Safety fitness procedures................... 295
386 Rules of practice for FMCSA proceedings..... 351
387 Minimum levels of financial responsibility
for motor carriers...................... 386
388 Cooperative agreements with States.......... 410
389 Rulemaking procedures--Federal motor carrier
safety regulations...................... 412
390 Federal motor carrier safety regulations;
general................................. 418
391 Qualifications of drivers and longer
combination vehicle (LCV) driver
instructors............................. 474
392 Driving of commercial motor vehicles........ 516
393 Parts and accessories necessary for safe
operation............................... 525
394
[Reserved]
395 Hours of service of drivers................. 615
396 Inspection, repair, and maintenance......... 680
397 Transportation of hazardous materials;
driving and parking rules............... 688
398 Transportation of migrant workers........... 706
399 Employee safety and health standards........ 713
Appendix A to Subchapter B [Reserved]
Appendix B to Subchapter B--Special Agents.................. 716
Appendixes C-E to Subchapter B [Reserved]
Appendix F to Subchapter B--Commercial Zones................ 717
Appendix G to Subchapter B--Minimum Periodic Inspection
Standards................................................. 735
[[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 [Reserved]
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 [Reserved]
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 a site which does not contain significant concave curvatures or
slope reversals that may result in the focusing of
[[Page 9]]
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_MOTOR CARRIER SAFETY ASSISTANCE PROGRAM
AND HIGH PRIORITY PROGRAM--Table of Contents
Subpart A_General
Sec.
350.101 What is the Motor Carrier Safety Assistance Program (MCSAP) and
High Priority Program?
350.103 What is the purpose of this part?
350.105 What definitions are used in this part?
350.107 What entities are eligible for funding under this part?
350.109 What are the national Motor Carrier Safety Assistance Program
(MCSAP) elements?
350.110 What are the national High Priority 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 MCSAP Funds?
350.203 What conditions must an applicant meet to qualify for High
Priority Program Funds?
350.205 How and when does a State apply for MCSAP funding?
350.206 How and when does one apply for High Priority Program funding?
350.207 What response does a State receive to its CVSP submission?
350.208 What response will the applicant for a High Priority Program
receive?
350.209 How does a State demonstrate that it satisfies the conditions
for Basic Program funding?
350.210 How does an applicant demonstrate it satisfies the conditions
for High Priority 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
the MCSAP and High Priority Program?
350.305 Are U.S. Territories subject to the MCSAP matching funds
requirement?
350.307 How long are MCSAP funds available to a State?
350.308 How long are High Priority Program funds available?
350.309 What activities are eligible for reimbursement under the MCSAP?
350.310 What types of activities and projects are eligible for
reimbursement under the High Priority Program?
350.311 What specific items are eligible for reimbursement under the
MCSAP and High Priority Program?
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?
350.323 What criteria are used in the Basic Program Funds allocation?
350.325 [Reserved]
350.327 How may States qualify for Incentive 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, 31141, 31161,
31310-31311, 31502; and 49 CFR 1.87.
Source: 65 FR 15102, Mar. 21, 2000, unless otherwise noted.
[[Page 20]]
Subpart A_General
Sec. 350.101 What is the Motor Carrier Safety Assistance Program (MCSAP)
and High Priority Program?
(a) What is the 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 (CMVs). 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 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 State 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.
(b) What is the High Priority Program? The High Priority Program is
a discretionary financial assistance program that supports, enriches,
and augments State CMV safety programs through partnerships with States,
local governments, federally recognized Indian tribes, other political
jurisdictions, and other persons to carry out high priority activities
and projects that augment motor carrier safety activities and, projects
planned in accordance with the MCSAP. It also promotes the deployment of
innovative technology for the CMV information systems and networks.
[81 FR 71010, Oct. 14, 2016]
Sec. 350.103 What is the purpose of this part?
The purpose of this part is to ensure that the Federal Motor Carrier
Safety Administration (FMCSA), and States, local government agencies,
other political jurisdictions, federally recognized Indian tribes, and
other organizations and persons 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, as amended at 81 FR 71010, Oct. 14, 2016]
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
Highway Administration (FHWA) 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 Vehicles Miles Traveled (VMT) as defined by the
Federal Highway Administration (FHWA) 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 total MCSAP funds less the Administrative
Takedown and Incentive Funds.
[[Page 21]]
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) or the Plan 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.
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.
Innovative Technology Deployment funds means funds provided to
States for carrying out the deployment of innovative technology that
support commercial vehicle information systems and networks.
Large truck means a truck over 10,000 pounds gross vehicle weight
rating including single unit trucks and truck tractors (FARS
definition).
Lead State Agency means the State CMV safety agency designated by
the Governor to be responsible for administering the Plan throughout the
State.
Level of effort--see Maintenance of effort.
Maintenance of effort means the level of effort Lead State Agencies
are required to maintain each fiscal year in accordance with 49 CFR
350.301. Maintenance of effort is also referred to as ``maintenance of
expenditure'' and ``level of effort.''
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 safety audits means the safety audits of interstate,
and, at the State's discretion, intrastate, new entrant motor carriers
under 49 U.S.C. 31144(g) that are required as a condition of MCSAP
eligibility under Sec. 350.201(z).
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 and 31144, 49 CFR parts 365 and 368, and Sec. 392.9a.
Plan--see Commercial Vehicle Safety Plan or CVSP.
State or States means 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.
[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; 80 FR 59071, Oct.
1, 2015; 81 FR 71010, Oct. 14, 2016; 83 FR 22873, May 17, 2018]
Sec. 350.107 What entities are eligible for funding under this part?
(a) For MCSAP, 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 FMCSA.
[[Page 22]]
(b) For the High Priority Program, the Administrator may make
discretionary grants to and enter into cooperative agreements with
States, local governments, federally recognized Indian tribes, other
political jurisdictions as necessary, and any person to carry out high
priority activities and projects that augment motor carrier safety
activities and to States for projects planned in accordance with the
Innovative Technology Deployment Program.
[81 FR 71010, Oct. 14, 2016]
Sec. 350.109 What are the national Motor Carrier Safety Assistance Program
(MCSAP) 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. 350.110 What are the national High Priority Program elements?
FMCSA may generally use these funds to support, enrich, or evaluate
State CMV safety programs and to accomplish the objectives listed below:
(a) Increase public awareness and education on commercial motor
vehicle safety.
(b) Target unsafe driving of commercial motor vehicles and
noncommercial motor vehicles in areas identified as high risk crash
corridors.
(c) Improve the safe and secure movement of hazardous materials.
(d) Improve safe transportation of goods and persons in foreign
commerce.
(e) Demonstrate new technologies to improve commercial motor vehicle
safety.
(f) Support participation in performance and registration
information systems management developed under 49 U.S.C. 31106--
(1) For entities not responsible for submitting the CVSP under this
part, or
(2) For entities responsible for submitting the CVSP under this
part--
(i) Before October 1, 2020, to achieve compliance with the
requirements of participation; and
(ii) Beginning October 1, 2020, or once compliance is achieved,
whichever is sooner, for special initiatives or projects that exceed
routine operations required for participation.
(g) Conduct Safety Data improvement Projects--
(1) That complete or exceed the requirements of the program
developed to meet Sec. 350.201(r) of this part for entities not
responsible for submitting the CVSP under this part; or
(2) That exceed the requirements of the program developed to meet
Sec. 350.201(r) of this part for entities that are responsible for
submitting the CVSP under this part.
(h) Otherwise improve commercial motor vehicle safety regulations.
[81 FR 71010, Oct. 14, 2016]
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 MCSAP Funds?
To qualify for MCSAP Funds, each State must:
(a) Assume responsibility for improving motor carrier safety by
adopting and enforcing State safety laws and regulations, standards, and
orders that are compatible with Federal regulations, 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), and standards, and orders of the Federal
Government, except as may be determined by the Administrator to be
inapplicable to a State enforcement program.
(b) Implement performance-based activities, including deployment and
maintenance of technology to enhance the efficiency and effectiveness of
CMV safety programs.
[[Page 23]]
(c) Designate a Lead State Agency responsible for administering the
CVSP throughout the State.
(d) Give satisfactory assurances that the Lead State Agency has or
will have the legal authority, resources, and qualified personnel
necessary to enforce the FMCSRs and HMRs or compatible State laws or
regulations, standards and orders in the CVSP.
(e) Give satisfactory assurances that the State will devote adequate
resources to the administration of the CVSP including the enforcement of
the FMCSRs, HMRs, or compatible State laws, regulations, standards, and
orders throughout the State.
(f) Provide that the total expenditure of amounts of the Lead State
Agency responsible for administering the Plan will be maintained at a
level of effort each fiscal year in accordance with 49 CFR 350.301.
(g) Provide a right of entry (or other method a State may use that
is adequate to obtain necessary information) and inspection to carry out
the CVSP.
(h) Provide that all reports required in the CVSP under this section
be available to FMCSA upon request.
(i) Provide that the Lead State Agency adopt the reporting standards
and use the forms for recordkeeping, inspections, and investigations
that FMCSA prescribes.
(j) Require all registrants of CMVs to demonstrate their knowledge
of applicable FMCSRs, HMRs, or compatible State laws or regulations,
standards, and orders.
(k) Grant maximum reciprocity for inspections conducted under the
North American Inspection Standards through the use of a nationally
accepted system that allows ready identification of previously inspected
CMVs.
(l) Ensure that activities described in 49 CFR 350.309, if financed
through MCSAP funds, will not diminish the effectiveness of the
development and implementation of the programs to improve motor carrier,
CMV, and driver safety.
(m) Ensure that the Lead State Agency will coordinate the CVSP, data
collection and information systems, with the State highway safety
improvement program under 23 U.S.C. 148(c).
(n) Ensure participation in appropriate FMCSA information technology
and data 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) Provide satisfactory assurances that the State will undertake
efforts that will emphasize and improve enforcement of State and local
traffic laws and regulations related to CMV safety.
(q) Provide satisfactory assurances that the State will address
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 regulations 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 training to MCSAP personnel to
recognize drivers impaired by alcohol or controlled substances.
(3) Activities related to criminal interdiction, including human
trafficking, when conducted with an appropriate CMV inspection, and
appropriate strategies for carrying out those interdiction activities,
including interdiction activities that affect the transportation of
controlled substances (as defined in section 102 of the Comprehensive
Drug Abuse Prevention and Control Act of 1970 (21 U.S.C. 802) and listed
in part 1308 of title 21, Code of Federal Regulations) by any occupant
of a CMV.
(r) Establish and dedicate sufficient resources to a program to
ensure that accurate, complete, and timely motor carrier safety data are
collected and reported, and to ensure the State's participation in a
national motor carrier safety data correction system prescribed by
FMCSA.
(s)(1) Provide that the State will enforce registration (i.e.,
operating authority) requirements under 49 U.S.C. 13902 and 31134, and
49 CFR 392.9a by
[[Page 24]]
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) Ensure that the State will cooperate in the enforcement of
financial responsibility requirements under 49 U.S.C. 13906, 31138,
31139, and 49 CFR part 387.
(t) Ensure consistent, effective, and reasonable sanctions.
(u) Ensure that roadside inspections will be conducted at locations
that are adequate to protect the safety of drivers and enforcement
personnel.
(v) Provide that the State will 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.
(w) Provide that the State will conduct comprehensive and highly
visible traffic enforcement and CMV safety inspection programs in high-
risk locations and corridors.
(x) 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 bus station, terminal,
border crossing, maintenance facility, destination, or other location
where a motor carrier may make a planned stop (excluding a weigh
station).
(y) Ensure that it transmits to roadside inspectors the notice of
each Federal exemption under 49 U.S.C. 31315(b) and 49 CFR 390.23 and
390.25 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.
(z) Except for a territory of the United States, conduct new entrant
safety audits of interstate and, at the State's discretion, intrastate
new entrant motor carriers under 49 U.S.C. 31144(g). The State must
verify the quality of the work conducted by a third party authorized to
conduct new entrant safety audits under 49 U.S.C. 31144(g) on its behalf
and the State remains solely responsible for the management and
oversight of the activities.
(aa) Agree to fully participate in performance and registration
information systems management under 49 U.S.C. 31106(b) not later than
October 1, 2020, by complying with the conditions for participation
under paragraph (3) of that section, or demonstrate to the FMCSA an
alternative approach for identifying and immobilizing a motor carrier
with serious safety deficiencies in a manner that provides an equivalent
level of safety.
(bb) In the case of a State that shares a land border with another
country, conduct a border CMV safety program focusing on international
commerce that includes enforcement and related projects or forfeit all
funds based on border-related activities.
(cc) Comply with the requirements of the innovative technology
deployment program in 49 U.S.C. 31102(l)(3) if the State funds operation
and maintenance costs associated with innovative technology deployment
with its MCSAP funding.
[81 FR 71011, Oct. 14, 2016]
Sec. 350.203 What conditions must an applicant meet to qualify
for High Priority Program Funds?
(a) States must meet the requirements of Sec. 350.201, as
applicable.
(b) If applicable, other applicants, as described in Sec. 350.107,
must meet the following conditions:
(1) Prepare a proposal in accordance with Sec. 350.213, and
coordinate the proposal with the Lead State Agency to ensure the
proposal is consistent with State and national CMV safety program
priorities.
(2) Prepare a proposal that is responsive to the notice of funding
availability.
(3) Certify that the applicant 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 15 percent of the proposed request.
[[Page 25]]
(6) Agree to prepare and submit all reports required in connection
with the proposal or other conditions of the grant or cooperative
agreement.
(7) Agree to use the forms and reporting criteria required by the
Lead State 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 databases appropriate to the
project.
[81 FR 71012, Oct. 14, 2016]
Sec. 350.205 How and when does a State apply for MCSAP funding?
(a) The Lead State Agency must submit the State's CVSP to 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; 81 FR 71012, Oct. 14, 2016]
Sec. 350.206 How and when does one apply for High Priority Program funding?
The FMCSA establishes and publishes application instructions and
criteria for eligible activities to be funded with financial assistance
agreements under this section in a notice of funding availability which
is published at least 30 days before the financial assistance program
application period closes.
[81 FR 71012, Oct. 14, 2016]
Sec. 350.207 What response does a State receive to its CVSP submission?
(a) FMCSA will notify the State, in writing, within 30 days of
receipt of the CVSP whether FMCSA--
(1) Approves the CVSP; or
(2) Withholds approval of the CVSP because it 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 FMCSA withholds approval--
(1) FMCSA will give the State a written explanation of the reasons
for withholding approval of the CVSP and allow the State to modify and
resubmit the CVSP for approval.
(2) The State will have 30 days from the date of the notice to
modify and resubmit the CVSP.
(c) Disapproval of a resubmitted CVSP is final for that fiscal year.
(d) Any State aggrieved by an adverse decision under this section
may seek judicial review under 5 U.S.C. chapter 7.
[81 FR 71012, Oct. 14, 2016]
Sec. 350.208 What response will the applicant for
a High Priority Program receive?
(a) If the grant or cooperative agreement is approved, the applicant
will receive a grant agreement to execute.
(b) If the grant or cooperative agreement is denied, the applicant
will receive a letter of denial from the Agency.
[81 FR 71012, Oct. 14, 2016]
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. 350.210 How does an applicant demonstrate it satisfies the conditions
for High Priority Program Funding?
An applicant for a High Priority Program Grant or cooperative
agreement should refer to Sec. 350.203. There is no separate
certification for this program.
[81 FR 71012, Oct. 14, 2016]
[[Page 26]]
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:
(a) The State has adopted commercial motor carrier and highway
hazardous materials safety regulations, standards and orders that are
compatible with the FMCSRs and the HMRs, and the standards and orders of
the Federal Government.
(b) The State has designated (name of Lead State Agency) as the Lead
State Agency to administer the Commercial Vehicle Safety Plan throughout
the State for the grant sought and (names of agencies) to perform
defined functions under the CVSP. The Lead State Agency has the legal
authority, resources, and qualified personnel necessary to enforce the
State's commercial motor carrier, driver, and highway hazardous
materials safety laws, regulations, standards, and orders.
(c) 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, regulations,
standards, and orders in a manner consistent with the approved Plan.
(d) The laws of the State provide the State's enforcement officials
right of entry (or other method a State may use that is adequate to
obtain the necessary information) 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.
(e) 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.
(f) The State has uniform reporting requirements and uses FMCSA-
designated forms for record keeping, inspection, investigations, and
other enforcement activities.
(g) The State has in effect a requirement that all registrants of
CMVs demonstrate their knowledge of the applicable Federal or State CMV
safety laws or regulations.
(h) The State must ensure that the total expenditure of amounts of
the Lead State Agency will be maintained at a level of effort each
fiscal year in accordance with 49 CFR 350.301.
(i) The State will ensure that MCSAP-funded enforcement of
activities under 49 CFR 350.309 will not diminish the effectiveness of
the development and implementation of the programs to improve motor
carrier, CMV, and driver safety.
(j) 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.
(k) The State will ensure that violation sanctions imposed and
collected by the State are consistent, effective, and reasonable.
(l) The State will:
(1) Establish and dedicate sufficient resources to 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;
(2) Participate in a national motor carrier safety data correction
program (DataQs);
(3) Participate in appropriate FMCSA systems including information
technology and data systems and other information systems; and
(4) Ensure information is exchanged in a timely manner with other
States.
(m) The State will ensure that the Plan, data collection, and
information data systems are coordinated with the State highway safety
improvement program under sec. 148(c) of title 23, U.S. Code. The name
of the Governor's highway safety representative (or other authorized
State official through
[[Page 27]]
whom coordination was accomplished) is ______. (Name)
(n) The State has undertaken efforts to emphasize and improve
enforcement of State and local traffic laws and regulations as they
pertain to CMV safety.
(o) The State will ensure that it has departmental policies
stipulating that roadside inspections will be conducted at locations
that are adequate to protect the safety of drivers and enforcement
personnel.
(p) 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.
(q) The State will enforce registration (i.e., operating authority)
requirements under 49 U.S.C 13902, 31134, and 49 CFR 392.9a by
prohibiting the operation of any vehicle discovered to be operating
without the required registration or beyond the scope of the motor
carrier's registration.
(r) The State will cooperate in the enforcement of financial
responsibility requirements under 49 U.S.C. 13906, 31138, 31139, and 49
CFR part 387.
(s) 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.
(t) The State will conduct comprehensive and highly visible traffic
enforcement and CMV safety inspection programs in high-risk locations
and corridors.
(u) The State will ensure that, except in the case of an imminent or
obvious safety hazard, an inspection of a vehicle transporting
passengers for a motor carrier of passengers is conducted at a bus
station, terminal, border crossing, maintenance facility, destination,
or other location where motor carriers may make planned stops (excluding
a weigh station).
(v) The State will transmit to roadside inspectors the notice of
each Federal exemption under 49 U.S.C. 31315(b) and 49 CFR 390.23 and
390.25 as provided to the State by FMCSA, including the name of the
entity granted the exemption and any terms and conditions that apply to
the exemption.
(w) Except for a territory of the United States, the State will
conduct safety audits of interstate and, at the State's discretion,
intrastate new entrant motor carriers under 49 U.S.C. 31144(g). The
State will verify the quality of the work conducted by a third party
authorized to conduct safety audits under 49 U.S.C. 31144(g) on its
behalf and the State remains solely responsible for the management and
oversight of the activities.
(x) The State fully participates in the performance and registration
information systems management under 49 U.S.C. 31106(b) not later than
October 1, 2020, or demonstrates to FMCSA an alternative approach for
identifying and immobilizing a motor carrier with serious safety
deficiencies in a manner that provides an equivalent level of safety.
(y) In the case of a State that shares a land border with another
country, the State will conduct a border CMV safety program focusing on
international commerce that includes enforcement and related projects or
it will forfeit all MCSAP funds based on border-related activities.
(z) If a State meets all MCSAP requirements and funds operation and
maintenance costs associated with innovative technology deployment with
MCSAP funds, the State agrees to comply with the Innovative Technology
Deployment requirements established pursuant to 49 CFR 350.310 and
350.311.
Date____________________________________________________________________
Signature_______________________________________________________________
[81 FR 71012, Oct. 14, 2016]
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
[[Page 28]]
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 (s).
(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) Criminal interdiction activities, including human trafficking,
and appropriate strategies for carrying out those interdiction
activities, including interdiction activities affecting the
transportation of controlled substances by any occupant of a CMV.
(4) Activities to enforce registration requirements under 49 U.S.C.
13902 and 31134 and to cooperate in the enforcement of 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.
(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.
[[Page 29]]
(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; 81 FR 71014, Oct. 14,
2016; 84 FR 51432, Sept. 30, 2019]
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 FMCSA--
(1) Withdrawing approval of the Plan and withholding all MCSAP
funding; or
(2) Finding the State in noncompliance and withholding--
(i) Up to 5 percent of MCSAP funds during the fiscal year that the
FMCSA notifies the State of its noncompliance;
(ii) Up to 10 percent of MCSAP funds for the first full fiscal year
of noncompliance;
(iii) Up to 25 percent of MCSAP funds for the second full fiscal
year of noncompliance; and
(iv) Not more than 50 percent of MCSAP funds for the third and any
subsequent full fiscal year of noncompliance.
(f) Any State aggrieved by an adverse decision under this section
may seek judicial review under 5 U.S.C. chapter 7.
[65 FR 15102, Mar. 21, 2000, as amended at 81 FR 81 FR 71014, Oct. 14,
2016]
Subpart C_Funding
Sec. 350.301 What level of effort must a State maintain to qualify
for MCSAP funding?
(a) Each fiscal year, the State must maintain the average aggregate
expenditure (level of effort) of the Lead State Agency, 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 that expenditure for fiscal years 2004 and 2005.
(b) In determining a State's average level of effort, FMCSA--
(1) May allow the State to exclude State expenditures for federally
sponsored demonstration and pilot CMV safety programs and strike forces.
(2) May allow the State to exclude expenditures for activities
related to border enforcement and new entrant safety audits;
(3) Shall require the State to exclude Federal funds; and
(4) Shall require the State to exclude State matching funds.
(c) The State must include costs associated with activities
performed during the base period by the Lead State Agency that receives
funds under this part. It must include only those activities which meet
the current requirements for funding eligibility under the grant
program.
(d) States may use amounts generated under 49 U.S.C. 14504a as part
of the State's maintenance of effort, provided the amounts are not
applied to the match required under 49 CFR 350.303.
(e) Waivers and Modifications--Upon the request of a State, FMCSA
may waive or modify the requirements of this section for a total of 1
fiscal year per request if FMCSA determines that the waiver or
modification is reasonable, based on circumstances described by the
State.
[81 FR 71014, Oct. 14, 2016]
[[Page 30]]
Sec. 350.303 What are the State and Federal shares of expenses incurred
under the MCSAP and High Priority Program?
(a) FMCSA will reimburse at least 85 percent of the eligible costs
incurred under the MCSAP and High Priority Program.
(b) In-kind contributions are acceptable in meeting the matching
share if they represent eligible costs as established by 2 CFR part 200
or FMCSA policy.
(c) States may use amounts generated under 49 U.S.C. 14504a as part
of the State's match required for MCSAP, provided the amounts are not
applied to the maintenance of effort required under Sec. 350.301.
[81 FR 71014, Oct. 14, 2016]
Sec. 350.305 Are U.S. Territories subject to the MCSAP
matching funds requirement?
The Administrator waives the requirement for matching funds under
the MCSAP for the Virgin Islands, American Samoa, Guam, and the
Commonwealth of the Northern Mariana Islands.
[81 FR 71014, Oct. 14, 2016]
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. 350.308 How long are High Priority Program funds available?
(a) Funds for CMV safety activities under 49 CFR 350.310(a)-(h)
obligated to an entity will remain available for the rest of the fiscal
year in which they were obligated and the next 2 full fiscal years.
(b) Funds for Innovative Technology Deployment activities under 49
CFR 350.310(i) obligated to a State will remain available for the rest
of the fiscal year in which they were obligated and the next 4 full
fiscal years.
[81 FR 71014, Oct. 14, 2016]
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 activities are also eligible for reimbursement
when part of the approved Plan
(1) When accompanied by an appropriate North American Standard
Inspection and inspection report--
(i) Enforcement of CMV size and weight limitations at locations,
excluding fixed-weight facilities, such as near steep grades or
mountainous terrains, where the weight of a CMV can significantly affect
the safe operation of the vehicle, or at ports were intermodal shipping
containers enter and leave the United States; and
(ii) Detection of and enforcement activities taken as a result of
criminal activity, including the trafficking of human beings, in a CMV
or by any occupant, including the operator of the CMV; and
(2) For 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--
(i) The number of motor carrier safety activities, including
roadside safety inspections is maintained at a level at least equal to
the average level of such activities conducted in the State in fiscal
years 2004 and 2005; and
(ii) The State does not use more than 10 percent of the MCSAP Basic
funds for enforcement activities relating to non-CMVs necessary to
promote the safe operation of 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; 81
FR 71014, Oct. 14, 2016]
[[Page 31]]
Sec. 350.310 What types of activities and projects are eligible
for reimbursement under the High Priority Program?
The types of activities eligible for reimbursement under the High
Priority Program include:
(a) Increasing public awareness and education about CMV safety;
(b) Targeting unsafe driving of CMVs and non-CMVs in areas
identified as high risk crash corridors;
(c) Improving the safe and secure movement of hazardous materials;
(d) Improving safe transportation of goods and persons in foreign
commerce;
(e) Demonstrating new technologies to improve CMV safety;
(f) Supporting participation in performance and registration
information systems management (PRISM) under 49 U.S.C. 31106(b)--
(1) For Non-Lead State Agencies; or
(2) For Lead State Agencies--
(i) Before October 1, 2020, to achieve compliance with the
requirements of participation; and
(ii) Beginning on October 1, 2020, or once compliance is achieved,
whichever is sooner, for special initiatives or projects that exceed
routine operations required for participation;
(g) Conducting safety data improvement projects--
(1) That complete or exceed the requirements under 49 U.S.C.
31102(c)(2)(P) for Non-Lead State Agencies; or
(2) That exceed the requirements under 49 U.S.C. 31102(c)(2)(P) for
Lead State Agencies;
(h) Improving CMV safety and compliance with CMV safety regulations;
and
(i) Implementing and maintaining the Innovative Technology
Deployment of CMV information systems and networks in accordance with 49
U.S.C. 31102(l)(3).
[81 FR 71014, Oct. 14, 2016]
Sec. 350.311 What specific items are eligible for reimbursement
under the MCSAP and High Priority Program?
(a) FMCSA shall establish criteria for eligible activities to be
funded and publish those criteria in a notice of funding availability
before the MCSAP and High Priority Program application periods.
(b) All reimbursable items must be necessary, reasonable, allocable
and allowable under this part and 2 CFR part 200. The eligibility of
specific items is subject to review by FMCSA. The following types of
expenses are eligible for reimbursement:
(1) Personnel expenses, including recruitment and screening,
training, salaries and fringe benefits, and supervision.
(2) 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.
(3) Indirect expenses as allowed by 2 CFR part 200.
(4) 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, including operation and
maintenance costs related to innovative technology deployment.
(5) Clerical and administrative expenses, to the extent necessary
and directly attributable to the MCSAP.
(6) 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.
[81 FR 71015, Oct. 14, 2016]
Sec. 350.313 How are MCSAP funds allocated?
After deducting administrative expenses authorized in 49 U.S.C.
31104(c), the MCSAP funds are allocated among States with approved CVSPs
in two ways:
(a) As Basic Program Funds in accordance with Sec. 350.323 of this
part,
(b) As Incentive Funds in accordance with Sec. 350.327 of this
part.
[81 FR 71015, Oct. 14, 2016]
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.
[[Page 32]]
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. 350.323 What criteria are used in the Basic Program Funds allocation?
(a) First, 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 FHWA.
(2) All vehicle miles traveled (VMT) as defined by the FHWA.
(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 FHWA.
(b) Next, the FMCSA will average the funding awarded to a State, or
other equitable amounts, in fiscal years 2013, 2014, and 2015 for--
(1) Border enforcement grants under 49 U.S.C. 31107; and
(2) New entrant audit grants under 49 U.S.C. 31144(g)(5).
(c) FMCSA will add the amount in paragraph (a) of this section to
the amount in paragraph (b) of this section to calculate the total
amount of MCSAP Basic funding.
(d) Subject to the availability of funding and notwithstanding
fluctuations in the data elements used by FMCSA, the initial amounts
resulting from the calculation in paragraph (c) of this section shall be
adjusted to ensure that, for each State, the amount shall not be less
than 97 percent of the average amount of funding received or other
equitable amounts in fiscal years 2013, 2014, and 2015 for--
(1) MCSAP funds under 49 U.S.C. 31102;
(2) Border enforcement grants under 49 U.S.C. 31107; and
(3) New entrant audit grants under 49 U.S.C. 31144(g)(5).
(e) Distribution of Basic Program Funds for Puerto Rico and the U.S.
territories is subject to allocation as follows:
(1) U.S. territories receive a fixed amount of $350,000;
(2) Puerto Rico receives a maximum allocation of 4.944 percent or a
minimum allocation of 0.44 percent or $350,000, whichever is greater.
[81 FR 71015, Oct. 14, 2016]
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
[[Page 33]]
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.
(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. 350.331 How does a State ensure its laws and regulations
are compatible with the FMCSRs and HMRs?
(a) States must submit a copy of new or amended State laws or
regulations on CMV safety immediately after the enactment or issuance.
(b) A State must conduct a review of its laws and regulations for
compatibility and report the results of that review in the 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.
(c) As soon as practical after the effective date of any newly
enacted regulation or amendment to the FMCSRs 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; 81
FR 71015, Oct. 14, 2016]
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:
[[Page 34]]
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 a State has laws
or regulations incompatible with the Federal regulations?
(a) FMCSA may initiate a proceeding to withdraw Plan approval or
withhold MCSAP funds in accordance with 49 CFR 350.215 in the following
situations:
(1) When a State that currently has compatible CMV safety laws and
regulations pertaining to interstate commerce (i.e., rules identical to
the FMCSRs and HMRs or have the same effect as the FMCSRs and identical
to the HMRs) and intrastate commerce (i.e., rules identical to or within
the tolerance guidelines for the FMCSRs and identical to the HMRs)
enacts a law or regulation which results in an incompatible rule;
(2) When a State fails to adopt a new FMCSR or HMR or an amendment
to an FMCSR or HMR within 3 years of its effective date; or
(3) Upon a finding by FMCSA, based upon its own initiative or upon a
petition of any person, including any State, that a State law,
regulation or enforcement practice pertaining to CMV safety, in either
interstate or intrastate commerce, is incompatible with the FMCSRs or
HMRs.
(b) Any decision regarding the compatibility of 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.
[81 FR 71015, Oct. 14, 2016, as amended at 83 FR 22873, May 17, 2018]
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
[[Page 35]]
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 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.
[[Page 36]]
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.
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
[[Page 37]]
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]
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.
[[Page 38]]
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, for-hire 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
The following is a high-level summary of the hours-of-service
regulations governing property and passenger carriers. The description
below outlines only some of the major provisions, but does not capture
all the detailed requirements. For the detailed provisions, which
include rest breaks, sleeper berth, and records of duty status issues,
see part 395 of this subchapter.
The hours-of-service regulations prohibit both property and
passenger carriers from allowing or requiring any driver to drive as
follows:
1. Property. More than 11 hours after 10 consecutive hours off duty
within a consecutive 14-hour duty period, and more than 60/70 hours on
duty in 7/8 consecutive days. A driver may restart a 7/8 consecutive day
period after taking 34 or more consecutive hours off duty, which
includes two periods from 1 a.m. to 5 a.m., home terminal time. The
restart may be used only once per week, or 168 hours, measured from the
beginning of the previous restart.
2. Passenger. More than 10 hours after 8 consecutive hours off duty
within a 15-hour duty period, and more than 60/70 hours on duty in 7/8
consecutive days.
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 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
[[Page 39]]
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; 79 FR 59455, Oct. 2, 2014; 81 FR 68344, Oct. 4, 2016]
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.
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
(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.
PART 360_FEES FOR MOTOR CARRIER REGISTRATION AND INSURANCE--Table of Contents
Sec.
360.1 Fees for registration-related services.
[[Page 40]]
360.1T Fees for registration-related services.
360.2 [Reserved]
360.3 Filing fees.
360.3T Filing fees.
360.4 [Reserved]
360.5 Updating user fees.
360.5T Updating user fees.
Authority: 31 U.S.C. 9701; 49 U.S.C. 13908; and 49 CFR 1.87.
Source: 80 FR 63702, Oct. 21, 2015, unless otherwise noted.
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 Information
and 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 Management Information and Services (MC-MM).
(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
(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.
[80 FR 63702, Oct. 21, 2015, as amended at 83 FR 48725, Sept. 27, 2018]
Effective Date Note: At 82 FR 5297, Jan. 17, 2017, Sec. 360.1 was
suspended, effective Jan. 14, 2017.
Sec. 360.1T Fees for registration-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 Management Information
and Services, 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 Management Information and Services (MC-MM).
(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
[[Page 41]]
be permanently retained by the requestor.
[82 FR 5297, Jan. 17, 2017, as amended at 83 FR 22873, May 17, 2018; 83
FR 48725, Sept. 27, 2018]
Sec. 360.2 [Reserved]
Effective Date Note: At 82 FR 5297, Jan. 17, 2017, Sec. 360.2 was
suspended, effective Jan. 14, 2017.
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
[[Page 42]]
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.
(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 for $420.
original qualification
as self-insurer for
cargo insurance.
------------------------------------------------------------------------
Effective Date Note: At 82 FR 5297, Jan. 17, 2017, Sec. 360.3 was
suspended, effective Jan. 14, 2017.
Sec. 360.3T 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 Registration and Safety Information (MC-RS) 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
[[Page 43]]
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.
(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 the Office of Registration and Safety Information (MC-
RS):
(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 Registration and Safety
Information (MC-RS).
(ii) Basis. The applicant must show the waiver or reduction of the
fee is in
[[Page 44]]
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 Registration and Safety Information (MC-RS), will
notify the applicant of the decision to grant or deny the request for
waiver or reduction.
(f) Schedule of filing fees.
----------------------------------------------------------------------------------------------------------------
Type of proceeding Fee
----------------------------------------------------------------------------------------------------------------
Part I: Licensing:
(1)............................... An application for motor carrier $300.
operating 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 250.
transport explosives.
(5)............................... An application for authority to deviate 150.
from authorized regular-route authority.
(6)............................... An application for motor carrier 100.
temporary 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 $10 per accepted certificate,
self-insurer accepted certificate of surety bond or other
insurance, surety bond, and other instrument submitted in lieu
instrument submitted in lieu of a of a broker 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.
[82 FR 5297, Jan. 17, 2017, as amended at 83 FR 22873, May 17, 2018]
Sec. 360.4 [Reserved]
Effective Date Note: At 82 FR 5297, Jan. 17, 2017, Sec. 360.4 was
suspended, effective Jan. 14, 2017.
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
[[Page 45]]
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.
Effective Date Note: At 82 FR 5297, Jan. 17, 2017, Sec. 360.5 was
suspended, effective Jan. 14, 2017.
Sec. 360.5T 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 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.
[[Page 46]]
(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.
[82 FR 5298, Jan. 17, 2017]
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.
365.101T Applications governed by these rules.
365.102-365.103 [Reserved]
365.103T Modified procedure.
365.104 [Reserved]
365.105 Starting the application process: Form MCSA-1.
365.105T Starting the application process: Form OP-1.
365.106 [Reserved]
365.106T Starting the application process: URS online application.
365.107 Types of applications.
365.107T Types of applications.
365.108 [Reserved]
365.109 FMCSA review of the application.
365.109T FMCSA review of the application.
365.110 Need to complete New Entrant Safety Assurance Program.
365.111 Appeals to rejections of the application.
365.111T 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.
365.119T Opposed applications.
365.121 Filing a reply statement.
365.123 Applicant withdrawal.
Subpart B_How To Oppose Requests for Authority
365.201 Definitions.
365.201T Definitions.
365.203 Time for filing.
365.203T Time for filing.
365.205 Contents of the protest.
365.207 Withdrawal.
Subpart C_General Rules Governing the Application Process
365.301 [Reserved]
365.301T Applicable rules.
365.303 Contacting another party.
365.305 Serving copies of pleadings.
365.307 Replies to motions.
365.309 FAX filings.
[[Page 47]]
Subpart D_Transfer of Operating Rights Under 49 U.S.C. 10926
365.401 Scope of rules.
365.403 Definitions.
365.405 Reporting requirement.
Subpart D_Transfer of Operating Rights Under 49 U.S.C. 10926
365.401T Scope of rules.
365.403T Definitions.
365.405T Applications.
365.407T Notice.
365.409T FMCSA action and criteria for approval.
365.411T Responsive pleadings.
365.413T 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.
365.507T FMCSA action on the application.
365.509 Requirement to notify FMCSA of change in applicant information.
365.509T 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, 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 of motor carrier registration to
operate as a motor 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 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.
(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.
(j) The rules in this part do not apply to ``pipeline welding
trucks'' as defined in 49 CFR 390.38(b).
[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; 81 FR
47720, July 22, 2016; 80 FR 63704, Oct. 21, 2015]
Effective Date Note: At 82 FR 5299, Jan. 17, 2017, Sec. 365.101 was
suspended, effective Jan. 14, 2017.
Sec. 365.101T 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]
[[Page 48]]
(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 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, pageI-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.
(j) The rules in this part do not apply to ``pipeline welding
trucks'' as defined in 49 CFR 390.38(b).
[82 FR 5299, Jan. 17, 2017]
Sec. 365.102-365.103 [Reserved]
Effective Date Note: At 82 FR 5299, Jan. 17, 2017, Sec. Sec.
365.102 and 365.103 were suspended, effective Jan. 14, 2017.
Sec. 365.103T 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.
[82 FR 5299, Jan. 17, 2017]
Sec. 365.104 [Reserved]
Effective Date Note: At 82 FR 5299, Jan. 17, 2017, Sec. 365.104 was
suspended, effective Jan. 14, 2017.
Sec. 365.105 Starting the application process: Form MCSA-1.
(a) Each applicant must apply for operating authority by
electronically filing Form MCSA-1, the URS online 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) 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: https://
www.fmcsa.dot.gov/mission/field-offices. The forms and information about
filing procedures can be downloaded at: https://www.fmcsa.dot.gov/
registration/registration-forms.
(c) Form MCSA-1 is the URS online application and is available,
including complete instructions, from the FMCSA Web site at http://
www.fmcsa.dot.gov/urs.
[80 FR 63704, Oct. 21, 2015; 81 FR 68344, Oct. 4, 2016]
Effective Date Note: At 82 FR 5299, Jan. 17, 2017, Sec. 365.105 was
suspended, effective Jan. 14, 2017.
Sec. 365.105T Starting the application process: Form OP-1.
(a)(1) 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.
(2) Form OP-1(NNA) must be filed by a non-North America-domiciled
motor property, including household goods,
[[Page 49]]
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 360.3T(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:https://
www.fmcsa.dot.gov/mission/field-offices. The forms and information about
filing procedures can be downloaded at:https://www.fmcsa.dot.gov/
registration/registration-forms.
[82 FR 5299, Jan. 17, 2017]
Sec. 365.106T Starting the application process: URS online application.
(a) Notwithstanding Sec. 365.105T, new applicants as defined in
paragraph (b) of this section must apply for a USDOT number and if
applicable, operating authority by electronically filing Form MCSA-1,
the URS online application, to request authority pursuant to 49 U.S.C.
13902, 13903, or 13904 to operate as a:
(1) Motor carrier of property (not household goods), property
(household goods) or passengers;
(2) Broker of general commodities or household goods; or
(3) Freight forwarder of general commodities or household goods.
(b) For purposes of this section, a ``new applicant'' is an entity
applying for a USDOT number and if applicable, operating authority who
does not at the time of application have an active registration or
USDOT, Motor Carrier (MC), Mexico owned or controlled (MX) or Freight
Forwarder (FF) number, and who has never had an active registration or
USDOT, MC, MX, or FF number.
(c) Form MCSA-1 is the URS online application, and both the
application and its instructions are available from the FMCSA Web site
at http://www.fmcsa.dot.gov/urs.
[82 FR 5299, Jan. 17, 2017]
Sec. 365.106 [Reserved]
Effective Date Note: At 82 FR 5299, Jan. 17, 2017, Sec. 365.106 was
suspended, effective Jan. 14, 2017.
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.
(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,
[[Page 50]]
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.
[80 FR 63704, Oct. 21, 2015]
Effective Date Note: At 82 FR 5299, Jan. 17, 2017, Sec. 365.107 was
suspended, effective Jan. 14, 2017.
Sec. 365.107T 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.
[82 FR 5299, Jan. 17, 2017]
Sec. 365.108 [Reserved]
Effective Date Note: At 82 FR 5299, Jan. 17, 2017, Sec. 365.108 was
suspended, effective Jan. 14, 2017.
[[Page 51]]
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) 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.
(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 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; 81 FR 63704, Oct.
21, 2015]
Effective Date Note: At 82 FR 5299, Jan. 17, 2017, Sec. 365.109 was
suspended, effective Jan. 14, 2017.
Sec. 365.109T 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.
[[Page 52]]
(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.
[82 FR 5300, Jan. 17, 2017]
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.
[80 FR 63705, Oct. 21, 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, 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.
(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.
[59 FR 63728, Dec. 9, 1994, as amended at 80 FR 63705, Oct. 21, 2015]
Effective Date Note: At 82 FR 5300, Jan. 17, 2017, Sec. 365.111 was
suspended, effective Jan. 14, 2017.
Sec. 365.111T 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.
[82 FR 5300, Jan. 17, 2017]
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 and to FMCSA. All protests must
include statements made under oath (verified statements). There are no
personal appearances or formal hearings.
[80 FR 63705, Oct. 21, 2015]
Effective Date Note: At 82 FR 5300, Jan. 17, 2017, Sec. 365.119 was
suspended, effective Jan. 14, 2017.
Sec. 365.119T Opposed applications.
If the application is opposed, opposing parties are required to send
a copy of their protest to the applicant
[82 FR 5300, Jan. 17, 2017]
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.
[[Page 53]]
(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 operating authority files a
protest. A person filing a valid protest is known as a protestant.
[81 FR 63705, Oct. 21, 2015]
Effective Date Note: At 82 FR 5300, Jan. 17, 2017, Sec. 365.201 was
suspended, effective Jan. 14, 2017.
Sec. 365.201T Definitions.
A person wishing to oppose a request for permanent authority files a
protest. A person filing a valid protest becomes a protestant.
[82 FR 5300, Jan. 17, 2017]
Sec. 365.203 Time for filing.
A protest shall be filed (received at the FMCSA, Office of
Registration and Safety Information (MC-RS), 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
[80 FR 63705, Oct. 21, 2015, as amended at 84 FR 51432, Sept. 30, 2019]
Effective Date Note: At 82 FR 5300, Jan. 17, 2017, Sec. 365.203 was
suspended, effective Jan. 14, 2017. At 84 FR 51432, Sept. 30, 2019, the
suspension was lifted and amendments were made to Sec. 365.203. In that
same document, Sec. 365.203 was again suspended indefinitely.
Sec. 365.203T Time for filing.
A protest shall be filed (received at the FMCSA, Office of
Registration and Safety Information (MC-RS), 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.
[84 FR 51432, Sept. 30, 2019]
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 800-
832-5660 or via the web form at https://www.fmcsa.dot.gov/ask 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; 81 FR 68344, Oct. 4, 2016]
Sec. 365.207 Withdrawal.
A protestant wishing to withdraw from a proceeding shall inform the
FMCSA and applicant in writing.
[[Page 54]]
Subpart C_General Rules Governing the Application Process
Sec. 365.301 [Reserved]
Effective Date Note: At 82 FR 5300, Jan. 17, 2017, Sec. 365.301 was
suspended, effective Jan. 14, 2017.
Sec. 365.301T 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.
[82 FR 5300, Jan. 17, 2017]
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_Transfers of Operating Authority
Source: 80 FR 63705, Oct. 21, 2015, unless otherwise noted.
Effective Date Note: At 82 FR 5300, Jan. 17, 2017, subpart D
(Sec. Sec. 365.401-365.413) was suspended, effective Jan. 14, 2017.
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 using the
URS online application, Form MCSA-1, (available at http://
www.fmcsa.dot.gov/urs) in accordance with Sec. 390.201(d)(5) of this
subchapter.
(b) The following information must be furnished:
[[Page 55]]
(1) Full name, address and USDOT Numbers of the transferee and
transferor.
(2) A copy of the operating authority being transferred.
Subpart D_Transfer of Operating Rights Under 49 U.S.C. 10926
Source: 82 FR 5300, Jan. 17, 2017, unless otherwise noted.
Sec. 365.401T 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
360.3T(f)(8).
Sec. 365.403T Definitions.
For the purposes of this part, the following definitions apply:
(a) Transfer. (1) Transfers include all transactions (i.e., the sale
or lease of interstate operating rights, 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.
(2) The execution of a chattel mortgage, deed of trust, or other
similar document does not constitute a transfer or require 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 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 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.
[82 FR 5300, Jan. 17, 2017, as amended at 83 FR 22873, May 17, 2018]
Sec. 365.405T 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,
Office of Registration and Safety Information (MC-RS), 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,
[[Page 56]]
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. 365.409T. (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.
Sec. 365.407T Notice.
The FMCSA will give notice of approved transfer applications through
publication in the FMCSA Register.
Sec. 365.409T 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. 365.405T 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.
Sec. 365.411T 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.
[[Page 57]]
(b) Protests and petitions for reconsideration must be filed with
the Federal Motor Carrier Safety Administration, Office of Registration
and Safety Information (MC-RS), 1200 New Jersey Ave. SE., Washington, DC
20590-0001, and be served on appropriate parties.
Sec. 365.413T 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 or signed copy
of form MCSA-5889, ``Motor Carrier Records Change Form,'' OMB No. 2126-
0060, must be submitted to the Federal Motor Carrier Safety
Administration. It must be submitted in one of the following three ways.
(1) Scanned and submitted via the web form at https://
www.fmcsa.dot.gov/ask;
(2) Faxed to (202-366-3477); or
(3) Mailed to the Federal Motor Carrier Safety Administration,
Office of Registration and Safety Information (MC-RS), 1200 New Jersey
Ave. SE., Washington, DC 20590-0001. The envelope should be marked
``NAME CHANGE''.
(c) The registrant must provide:
(1) The docket number(s) and name of the carrier, freight forwarder,
or property broker 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 change must be included with the request. The
fee for filing a name change request is in Sec. 360.3T(f) of this
chapter.
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
[[Page 58]]
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 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 them from the FMCSA Web site at: http://
www.fmcsa.dot.gov/mission/forms.
[67 FR 12714, Mar. 19, 2002, as amended at 80 FR 59071, Oct. 1, 2015]
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
[[Page 59]]
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) 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
(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.
(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.
[67 FR 12714, Mar. 19, 2002, as amended at 80 FR 63705, Oct. 21, 2015]
Effective Date Note: At 82 FR 5302, Jan. 17, 2017, Sec. 365.507 was
suspended, effective Jan. 14, 2017.
Sec. 365.507T 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. 365.109T(b).
(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. 387.301T 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.
(f) The FMCSA may grant permanent operating authority to a Mexico-
domiciled carrier no earlier than 18 months
[[Page 60]]
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.
[82 FR 5302, Jan. 17, 2017]
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.
(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.
[67 FR 12714, Mar. 19, 2002, as amended at 80 FR 63705, Oct. 21, 2015]
Effective Date Note: At 82 FR 5302, Jan. 17, 2017, Sec. 365.509 was
suspended, effective Jan. 14, 2017.
Sec. 365.509T 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
[82 FR 5302, Jan. 17, 2017]
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;
(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;
[[Page 61]]
(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 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.
[[Page 62]]
(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 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
[[Page 63]]
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.
366.1T Applicability.
366.2 Form of designation.
366.2T Form of designation.
366.3 Eligible persons.
366.3T Eligible persons.
366.4 Required States.
366.4T Required States.
366.5 Blanket designations.
366.5T Blanket designations.
366.6 Cancellation or change.
366.6T Cancellation or change.
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.
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)).
[80 FR 63705, Oct. 21, 2015]
Effective Date Note: At 82 FR 5303, Jan. 17, 2017, Sec. 366.1 was
suspended, effective Jan. 14, 2017.
Sec. 366.1T 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)).
[82 FR 5303, Jan. 17, 2017]
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.
[[Page 64]]
(b) All Motor Carriers, Brokers, and Freight Forwarders that are
registered with FMCSA on September 30, 2016 must file their Form BOC-3
designation by no later than April 14, 2017. All other Motor Carriers,
Brokers, and Freight Forwarders must file the FORM BOC-3 designation at
the time of their application for registration. Failure to file a
designation in accordance with this paragraph will result in
deactivation of the carrier's USDOT Number.
[80 FR 63705, Oct. 21, 2015; 81 FR 49554, July 28, 2016]
Effective Date Note: At 82 FR 5303, Jan. 17, 2017, Sec. 366.2 was
suspended, effective Jan. 14, 2017.
Sec. 366.2T 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 required. One
copy must be retained by the carrier or broker at its principal place of
business.
[82 FR 5303, Jan. 17, 2017]
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.
[80 FR 63705, Oct. 21, 2015]
Effective Date Note: At 82 FR 5303, Jan. 17, 2017, Sec. 366.3 was
suspended, effective Jan. 14, 2017.
Sec. 366.3T 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.
[82 FR 5303, Jan. 17, 2017]
Sec. 366.4 Required States.
(a) Every motor carrier, except a motor carrier operating
exclusively in Alaska or Hawaii, 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. Every motor carrier
maintaining a principal place of business and operating exclusively in
Alaska or Hawaii must designate a process agent for the State where
operations are conducted.
(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.
[80 FR 63706, Oct. 21, 2015; 81 FR 49554, July 28, 2016]
Effective Date Note: At 82 FR 5303, Jan. 17, 2017, Sec. 366.4 was
suspended, effective Jan. 14, 2017.
Sec. 366.4T 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.
[82 FR 5303, Jan. 17, 2017]
[[Page 65]]
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.
[80 FR 63706, Oct. 21, 2015]
Effective Date Note: At 82 FR 5303, Jan. 17, 2017, Sec. 366.5 was
suspended, effective Jan. 14, 2017.
Sec. 366.5T 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.
[82 FR 5303, Jan. 17, 2017]
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.
[80 FR 63706, Oct. 21, 2015]
Effective Date Note: At 82 FR 5303, Jan. 17, 2017, Sec. 366.6 was
suspended, effective Jan. 14, 2017.
Sec. 366.6T 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.
366.4T in whole or in part for 1 year, designation is no longer required
and may be canceled without making another designation.
[82 FR 5303, Jan. 17, 2017]
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.
[[Page 66]]
367.30 Fees under the Unified Carrier Registration Plan and Agreement
for registration years beginning in 2010 and ending in 2017.
367.40 Fees under the Unified Carrier Registration Plan and Agreement
for registration year 2018.
367.50 Fees under the Unified Carrier Registration Plan and Agreement
for registration year 2019.
367.60 Fees under the Unified Carrier Registration Plan and Agreement
for registration years beginning in 2020.
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]
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 and ending in 2017.
Table 1 to Sec. 367.30--Fees Under the Unified Carrier Registration Plan and Agreement for Each Registration
Year 2010-2017
----------------------------------------------------------------------------------------------------------------
Number of commercial
motor vehicles owned or Fee per entity for exempt
operated by exempt or or non-exempt motor
Bracket non-exempt motor carrier, motor private Fee per entity for broker
carrier, motor private carrier, or freight or leasing company
carrier, or freight forwarder
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 ...........................
----------------------------------------------------------------------------------------------------------------
[83 FR 612, Jan. 5, 2018]
[[Page 67]]
Sec. 367.40 Fees under the Unified Carrier Registration Plan and Agreement
for registration year 2018.
Table 1 to Sec. 367.40--Fees Under the Unified Carrier Registration Plan and Agreement for Registration Year
2018
----------------------------------------------------------------------------------------------------------------
Number of commercial
motor vehicles owned or Fee per entity for exempt
operated by exempt or or non-exempt motor
Bracket non-exempt motor carrier, motor private Fee per entity for broker
carrier, motor private carrier, or freight or leasing company
carrier, or freight forwarder
forwarder
----------------------------------------------------------------------------------------------------------------
B1.......................... 0-2..................... $69 $69
B2.......................... 3-5..................... 206
B3.......................... 6-20.................... 410
B4.......................... 21-100.................. 1,431
B5.......................... 101-1,000............... 6,820
B6.......................... 1,001 and above......... 66,597 ...........................
----------------------------------------------------------------------------------------------------------------
[83 FR 612, Jan. 5, 2018]
Sec. 367.50 Fees under the Unified Carrier Registration Plan and Agreement
for registration year 2019.
Table 1 to Sec. 367.50--Fees Under the Unified Carrier Registration Plan and Agreement for Registration Year
2019
----------------------------------------------------------------------------------------------------------------
Number of commercial
motor vehicles owned or Fee per entity for exempt
operated by exempt or or non-exempt motor
Bracket non-exempt motor carrier, motor private Fee per entity for broker
carrier, motor private carrier, or freight or leasing company
carrier, or freight forwarder
forwarder
----------------------------------------------------------------------------------------------------------------
B1.......................... 0-2..................... $62 $62
B2.......................... 3-5..................... 185
B3.......................... 6-20.................... 368
B4.......................... 21-100.................. 1,283
B5.......................... 101-1,000............... 6,112
B6.......................... 1,001 and above......... 59,689 ...........................
----------------------------------------------------------------------------------------------------------------
[83 FR 67130, Dec. 28, 2018]
Sec. 367.60 Fees under the Unified Carrier Registration Plan and Agreement
for registration years beginning in 2020.
Table 1 to Sec. 367.60--Fees Under the Unified Carrier Registration Plan and Agreement for Registration Year
2020 and Each Subsequent Registration Year Thereafter
----------------------------------------------------------------------------------------------------------------
Number of commercial
motor vehicles owned or Fee per entity for exempt
operated by exempt or or non-exempt motor
Bracket non-exempt motor carrier, motor private Fee per entity for broker
carrier, motor private carrier, or freight or leasing company
carrier, or freight forwarder
forwarder
----------------------------------------------------------------------------------------------------------------
B1.......................... 0-2..................... $68 $68
B2.......................... 3-5..................... 204
B3.......................... 6-20.................... 407
B4.......................... 21-100.................. 1,420
B5.......................... 101-1,000............... 6,766
B6.......................... 1,001 and above......... 66,072 ...........................
----------------------------------------------------------------------------------------------------------------
[83 FR 67130, Dec. 28, 2018]
[[Page 68]]
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.
368.3-1T Starting the application process: URS online application.
368.3T Applying for a certificate of registration.
368.4 Requirement to notify FMCSA of change in applicant information.
368.4T 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.
368.8T Appeals.
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.
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 electronically file an application that includes the
following:
(1) Form MCSA-1--URS online 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;
(2) The information supplied must be accurate and complete in
accordance with the instructions to Form MCSA-1, the URS online
application, 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, the URS online application, and Form BOC-3.
(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) [Reserved]
(f) Form MCSA-1 is the URS online application and is available,
including complete instructions, from the FMCSA Web site at http://
www.fmcsa.dot.gov/urs.
[67 FR 12660, Mar. 19, 2002, as amended by 78 FR 52648, Aug. 23, 2013;
80 FR 63706, Oct. 21, 2015]
Effective Date Note: At 82 FR 5297, Jan. 17, 2017, Sec. 368.3 was
suspended, effective Jan. 14, 2017.
[[Page 69]]
Sec. 368.3-1T Starting the application process: URS online application.
(a) Notwithstanding any other provision of this part, new applicants
as defined in paragraph (b) of this section must apply for a USDOT
number and operating authority by electronically filing Form MCSA-1, the
URS online application (available at http://www.fmcsa.dot.gov/urs) to
request authority pursuant to 49 U.S.C. 13902 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) For purposes of this section, a ``new applicant'' is an citizen
of Mexico or a motor carrier owned or controlled by a citizen of Mexico,
applying for a USDOT number and operating authority who does not at the
time of application have an active registration or USDOT, Motor Carrier
(MC), Mexico owned or controlled (MX) or Freight Forwarder (FF) number,
and who has never had an active registration or USDOT, MC, MX, or FF
number.
(c) Form MCSA-1, is the URS online application, and both the
application and its instructions are available from the FMCSA Web site
at http://www.fmcsa.dot.gov/urs.
[82 FR 5303, Jan. 17, 2017]
Sec. 368.3T 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 360.3T(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.
[82 FR 5303, Jan. 17, 2017]
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.
(b) If you fail to comply with paragraph (a) of this section, the
FMCSA may suspend or revoke the Certificate
[[Page 70]]
of Registration until you meet those requirements.
[67 FR 12660, Mar. 19, 2002, as amended by 80 FR 63707, Oct. 21, 2015]
Effective Date Note: At 82 FR 5303, Jan. 17, 2017, Sec. 368.4 was
suspended, effective Jan. 14, 2017.
Sec. 368.4T 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.
[82 FR 5303, Jan. 17, 2017]
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.
(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.
[[Page 71]]
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.
[80 FR 63707, Oct. 21, 2015]
Effective Date Note: At 82 FR 5304, Jan. 17, 2017, Sec. 368.8 was
suspended, effective Jan. 14, 2017.
Sec. 368.8T 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.
[82 FR 5304, Jan. 17, 2017]
PART 369_REPORTS OF MOTOR CARRIERS--Table of Contents
Sec.
369.1 Annual reports of for-hire, non-exempt motor carriers of property,
motor carriers of household goods, and dual property carriers.
369.2 Classification of carriers--for-hire, non-exempt motor carriers of
property, household goods carriers, and dual property
carriers.
369.3 Classification of carriers--for-hire, non-exempt 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.
Authority: 49 U.S.C. 14123; 49 CFR 1.87.
Sec. 369.1 Annual reports of for-hire, non-exempt motor carriers
of property, motor carriers of household goods, and dual property carriers.
(a) Annual Report Form M. All class I and class II for-hire, non-
exempt motor 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) Where to file report. Carriers must file the annual report with
the Federal Motor Carrier Safety Administration at the address in Sec.
369.6. You can obtain blank copies of the report form from the Federal
Motor Carrier Safety Administration Web site http://www.fmcsa.dot.gov/
forms/reporting/mcs_info.htmfos.
[64 FR 13921, Mar. 23, 1999. Redesignated at 71 FR 45742, Aug. 10, 2006,
and amended at 71 FR 45743, Aug. 10, 2006; 78 FR 76245, Dec. 17, 2013;
81 FR 68344, Oct. 4, 2016]
Sec. 369.2 Classification of carriers--for-hire, non-exempt motor carriers
of property, household goods carriers, and dual property carriers.
(a) For-hire, non-exempt 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 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
[[Page 72]]
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; 81 FR 68345, Oct. 4,
2016]
Sec. 369.3 Classification of carriers--for-hire, non-exempt motor carriers
of passengers.
(a) For-hire, non-exempt motor 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 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,
[[Page 73]]
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; 81 FR 68345, Oct. 4, 2016]
Sec. 369.4 Annual reports of Class I carriers of passengers.
(a) All Class I motor carriers of passengers shall complete and file
Motor Carrier Annual Report Form MP-1 for Motor Carriers of Passengers
(Form MP-1).
(b) Accounting period. (1) Motor Carrier Annual Report Form MP-1
shall be used to file annual selected motor carrier data.
(2) The annual accounting period shall be based either:
(i) On the 31st day of December in each year, or
(ii) An accounting year of 13 4-week periods ending at the close of
the last 7 days of each calendar year.
(3) A carrier electing to adopt an accounting year of 13 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.
(c) The annual report shall be filed on or before March 31 of the
year following the year to which it relates. The annual report shall be
filed with the Federal Motor Carrier Safety Administration at the
address in Sec. 369.6. Copies of Form MP-1 may be obtained from the
FMCSA.
[78 FR 76245, Dec. 17, 2013]
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 Registration and Safety Information (MC-RS),
1200 New
[[Page 74]]
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; 79 FR 59455, Oct. 2, 2014]
Sec. 369.8 Requests for exemptions from filing.
(a) General. This section governs requests for exemptions from
filing of the report 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). For Annual Form M, both
the report and the request are due by March 31 of the year following the
year to which it relates.
(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.
(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; 78 FR 76245, Dec. 17, 2013]
Sec. 369.9 Requests for exemptions from public release.
(a) General. This section governs requests for exemptions from
public release of the report required 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
[[Page 75]]
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.
(e) Decision to grant or deny a request. (1) After each due date of
each annual report specified in Sec. 369.1, FMCSA will 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. For
Annual Form M, both the report and the request are due by March 31, and
the decision is due by 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.
[[Page 76]]
(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; 78 FR 76245, Dec. 17, 2013]
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:
(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]
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.
[[Page 77]]
(b) Minimum filing requirements. A written communication 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 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 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.
[62 FR 32042, June 12, 1997, as amended at 83 FR 16223, Apr. 16, 2018]
Sec. 370.5 Acknowledgment of claims.
(a) Each carrier shall, upon receipt in writing of a proper claim in
the manner and form described in the regulations in the past,
acknowledge the receipt of such claim in writing 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 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;
[[Page 78]]
(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.
[62 FR 32042, June 12, 1997, as amended at 83 FR 16223, Apr. 16, 2018]
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 bill of lading, evidence of the
freight charges, if any, and either the invoice, a copy of the invoice,
or an exact copy thereof or any extract made therefrom, certified by the
claimant to 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.
[62 FR 32042, June 12, 1997, as amended at 83 FR 16223, Apr. 16, 2018]
Sec. 370.9 Disposition of claims.
(a) Each carrier subject to 49 U.S.C. subtitle IV, part B which
receives a written 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 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 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 household goods
motor carrier as defined in Sec. 375.103 of this subchapter 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.
[62 FR 32042, June 12, 1997, as amended at 78 FR 58478, Sept. 24, 2013;
81 FR 68345, Oct. 4, 2016; 83 FR 16224, Apr. 16, 2018]
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
[[Page 79]]
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 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
[[Page 80]]
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;
(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.
[[Page 81]]
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.
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 number
and valid operating authority issued by FMCSA to transport household 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.
(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.
[75 FR 72996, Nov. 29, 2010, as amended at 83 FR 16224, Apr. 16, 2018]
[[Page 82]]
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 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 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.
[75 FR 72996, Nov. 29, 2010, as amended at 83 FR 16224, Apr. 16, 2018]
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:
[[Page 83]]
(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;
(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.
[[Page 84]]
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.
372.245 New Mexico Commercial Zone.
372.247 City of El Paso, TX.
Subpart C_Terminal Areas
372.300 Distances and population data.
372.301 Terminal areas of motor carriers and freight forwarders at
municipalities served.
372.303 Terminal areas of motor carriers and freight forwarders at
unincorporated communities served.
Authority: 49 U.S.C. 13504 and 13506; Pub. L. 105-178, sec. 4031,
112 Stat. 418; and 49 CFR 1.87.
Editorial Note: Nomenclature changes to part 372 appear at 66 FR
49870, Oct. 1, 2001.