[Title 49 CFR ]
[Code of Federal Regulations (annual edition) - October 1, 2022 Edition]
[From the U.S. Government Publishing Office]
[[Page i]]
Title 49
Transportation
________________________
Parts 300 to 399
Revised as of October 1, 2022
Containing a codification of documents of general
applicability and future effect
As of October 1, 2022
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........................ 723
Alphabetical List of Agencies Appearing in the CFR...... 743
List of CFR Sections Affected........................... 753
[[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
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 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, 2022
[[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, 2022.
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
(MCSAP) and high priority program....... 19
355
[Reserved]
356 Motor carrier routing regulations........... 36
360 Fees for motor carrier registration and
insurance............................... 36
365 Rules governing applications for operating
authority............................... 43
366 Designation of process agent................ 60
367 Standards for registration with States...... 62
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..................... 63
369 Reports of motor carriers................... 66
370 Principles and practices for the
investigation and voluntary disposition
of loss and damage claims and processing
salvage................................. 71
371 Brokers of property......................... 74
372 Exemptions, commercial zones, and terminal
areas................................... 79
373 Receipts and bills.......................... 111
374 Passenger carrier regulations............... 112
[[Page 6]]
375 Transportation of household goods in
interstate commerce; consumer protection
regulations............................. 119
376 Lease and interchange of vehicles........... 149
377 Payment of transportation charges........... 156
378 Procedures governing the processing,
investigation, and disposition of
overcharge, duplicate payment, or
overcollection claims................... 159
379 Preservation of records..................... 162
380 Special training requirements............... 166
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.............. 236
384 State compliance with commercial driver's
license program......................... 282
385 Safety fitness procedures................... 296
386 Rules of practice for FMCSA proceedings..... 353
387 Minimum levels of financial responsibility
for motor carriers...................... 388
388
[Reserved]
389 Rulemaking procedures--Federal motor carrier
safety regulations...................... 412
390 Federal motor carrier safety regulations;
general................................. 419
391 Qualifications of drivers and longer
combination vehicle (LCV) driver
instructors............................. 470
392 Driving of commercial motor vehicles........ 513
393 Parts and accessories necessary for safe
operation............................... 522
394
[Reserved]
395 Hours of service of drivers................. 612
396 Inspection, repair, and maintenance......... 677
397 Transportation of hazardous materials;
driving and parking rules............... 691
398 Transportation of migrant workers........... 708
399 Employee safety and health standards........ 715
Appendix A to Subchapter B [Reserved]
Appendix B to Subchapter B--Special Agents.................. 718
Appendixes C-E to Subchapter B [Reserved]
[[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;
66 FR 49869, Oct. 1, 2001]
[[Page 19]]
SUBCHAPTER B_FEDERAL MOTOR CARRIER SAFETY REGULATIONS
PART 350_MOTOR CARRIER SAFETY ASSISTANCE PROGRAM (MCSAP) AND HIGH PRIORITY
PROGRAM--Table of Contents
Subpart A_General
Sec.
350.101 What is the purpose of this part?
350.103 When do the financial assistance program changes take effect?
350.105 What definitions are used in this part?
Subpart B_MCSAP Administration
350.201 What is MCSAP?
350.203 What are the national MCSAP elements?
350.205 What entities are eligible for funding under MCSAP?
350.207 What conditions must a State meet to qualify for MCSAP funds?
350.209 How and when does a State apply for MCSAP funds using a CVSP?
350.211 What must a State include for the first year of the CVSP?
350.213 What must a State include for the second and third years of the
CVSP?
350.215 What response does a State receive to its CVSP?
350.217 How are MCSAP funds allocated?
350.219 How are MCSAP funds awarded under a continuing resolution or an
extension of FMCSA's authorization?
350.221 How long are MCSAP funds available to a State?
350.223 What are the Federal and State shares of costs incurred under
MCSAP?
350.225 What MOE must a State maintain to qualify for MCSAP funds?
350.227 What activities are eligible for reimbursement under MCSAP?
350.229 What specific costs are eligible for reimbursement under MCSAP?
350.231 What are the consequences for failure to meet MCSAP conditions?
Subpart C_MCSAP-Required Compatibility Review
350.301 What is the purpose of this subpart?
350.303 How does a State ensure compatibility?
350.305 What specific variances from the FMCSRs are allowed for State
laws and regulations applicable to intrastate commerce and are
not subject to Federal jurisdiction?
350.307 How may a State obtain a new exemption for State laws or
regulations for a specific industry involved in intrastate
commerce?
350.309 What are the consequences if a State has provisions that are not
compatible?
Subpart D_High Priority Program
350.401 What is the High Priority Program and what entities are eligible
for funding under the High Priority Program?
350.403 What are the High Priority Program objectives?
350.405 What conditions must an applicant meet to qualify for High
Priority Program funds?
350.407 How and when does an eligible entity apply for High Priority
Program funds?
350.409 What response will an applicant receive under the High Priority
Program?
350.411 How long are High Priority Program funds available to a
recipient?
350.413 What are the Federal and recipient shares of costs incurred
under the High Priority Program?
350.415 What types of activities and projects are eligible for
reimbursement under the High Priority Program?
350.417 What specific costs are eligible for reimbursement under the
High Priority Program?
Authority: 49 U.S.C. 504, 13902, 31101, 31102, 31104, 31106, 31108,
31136, 31141, 31161, 31310, 31311, 31502; secs. 5106 and 5107, Pub. L.
114-94, 129 Stat. 1312, 1530; and 49 CFR 1.87.
Source: 85 FR 37796, June 24, 2020, unless otherwise noted.
Subpart A_General
Sec. 350.101 What is the purpose of this part?
The purpose of this part is to provide direction for entities
seeking MCSAP or High Priority Program funding to improve motor carrier,
CMV, and driver safety.
Sec. 350.103 When do the financial assistance program changes take effect?
The changes to the FMCSA financial assistance programs under this
part take effect for fiscal year 2021 (beginning October 1, 2020)
financial assistance funds and beyond.
[[Page 20]]
Sec. 350.105 What definitions are used in this part?
Unless specifically defined in this section, terms used in this part
are subject to the definitions in 49 CFR part 390. As used in this part:
Administrative takedown funds means funds FMCSA deducts each fiscal
year from the amounts made available for MCSAP and the High Priority
Program for expenses incurred by FMCSA for training State and local
government employees and for the administration of the programs.
Administrator means the administrator of FMCSA.
Border State means a State that shares a land border with Canada or
Mexico.
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 the driver.
(3) Regardless of weight, is used in the transportation of hazardous
materials and is required to be placarded pursuant to 49 CFR part 172,
subpart F.
Commercial vehicle safety plan (CVSP) means a State's CMV safety
objectives, strategies, activities, and performance measures that cover
a 3-year period, including the submission of the CVSP for the first year
and annual updates thereto for the second and third years.
Compatible or compatibility means State laws, regulations,
standards, and orders on CMV safety that:
(1) As applicable to interstate commerce not involving the movement
of hazardous materials:
(i) Are identical to or have the same effect as the FMCSRs; or
(ii) If in addition to or more stringent than the FMCSRs, have a
safety benefit, do not unreasonably frustrate the Federal goal of
uniformity, and do not cause an unreasonable burden on interstate
commerce when enforced;
(2) As applicable to intrastate commerce not involving the movement
of hazardous materials:
(i) Are identical to or have the same effect as the FMCSRs; or
(ii) Fall within the limited variances from the FMCSRs allowed under
Sec. 350.305 or Sec. 350.307; and
(3) As applicable to interstate and intrastate commerce involving
the movement of hazardous materials, are identical to the HMRs.
FMCSA means the Federal Motor Carrier Safety Administration of the
United States Department of Transportation.
FMCSRs means:
(1) The Federal Motor Carrier Safety Regulations under parts 390,
391, 392, 393, 395, 396, and 397 of this subchapter; and
(2) Applicable standards and orders issued under these provisions.
HMRs means:
(1) The Federal Hazardous Materials Regulations under subparts F and
G of part 107, and parts 171, 172, 173, 177, 178, and 180 of this title;
and
(2) Applicable standards and orders issued under these provisions.
High Priority Program funds means total funds available for the High
Priority Program, less the administrative takedown funds.
Investigation means an examination of motor carrier operations and
records, such as drivers' hours of service, maintenance and inspection,
driver qualification, commercial driver's license requirements,
financial responsibility, crashes, hazardous materials, and other safety
and transportation records, to determine whether a motor carrier meets
safety standards, including the safety fitness standard under Sec.
385.5 of this subchapter, or, for intrastate motor carrier operations,
the applicable State standard.
Lead State Agency means the State CMV safety agency responsible for
administering the CVSP throughout a State.
Maintenance of effort (MOE) means the level of a State's financial
expenditures, other than the required match, the Lead State Agency is
required to expend each fiscal year in accordance with Sec. 350.225.
Motor carrier means a for-hire motor carrier or private motor
carrier. The term includes a motor carrier's agents, officers, and
representatives, as well as
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employees responsible for hiring, supervising, training, assigning, or
dispatching a driver or an employee concerned with the installation,
inspection, and maintenance of motor vehicle equipment or accessories.
Motor Carrier Safety Assistance Program (MCSAP) funds means total
formula grant funds available for MCSAP, less the administrative
takedown funds.
New entrant safety audit means the safety audit of an interstate
motor carrier that is required as a condition of MCSAP eligibility under
Sec. 350.207(a)(26), and, at the State's discretion, an intrastate new
entrant motor carrier under 49 U.S.C. 31144(g) that is conducted in
accordance with subpart D of part 385 of this subchapter.
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 FMCSA in conjunction with
the Commercial Vehicle Safety Alliance (CVSA), which is an association
of States, Canadian Provinces, and Mexico whose members agree to adopt
these standards for inspecting CMVs in their jurisdiction.
State means a State of the United States, the District of Columbia,
American Samoa, the Commonwealth of the Northern Mariana Islands, the
Commonwealth of Puerto Rico, Guam, and the Virgin Islands, unless
otherwise specified in this part.
Traffic enforcement means the stopping of vehicles operating on
highways for moving violations of State, Tribal, or local motor vehicle
or traffic laws by State, Tribal, or local officials.
Subpart B_MCSAP Administration
Sec. 350.201 What is MCSAP?
(a) General. MCSAP is a Federal formula grant program that provides
financial assistance to States to reduce the number and severity of
crashes, and resulting injuries and fatalities, involving CMVs and to
promote the safe transportation of passengers and hazardous materials.
The goal of MCSAP is to reduce CMV-involved crashes, fatalities, and
injuries through consistent, uniform, and effective CMV safety programs
that include driver or vehicle inspections, traffic enforcement, carrier
investigations, new entrant safety audits, border enforcement, safety
data improvements, and Performance and Registration Information Systems
Management (PRISM).
(b) MCSAP purpose. The purpose of MCSAP is to ensure 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--
(1) Making targeted investments to promote safe CMV transportation,
including transportation of passengers and hazardous materials;
(2) Investing in activities likely to generate maximum reductions in
the number and severity of CMV crashes and in fatalities resulting from
CMV crashes;
(3) Adopting and enforcing effective and compatible (as defined in
Sec. 350.105 of this part) motor carrier, CMV, and driver safety laws,
regulations, standards, and orders; and
(4) Assessing and improving State-wide performance of motor carrier,
CMV, and driver safety by setting program goals and meeting performance
standards, measurements, and benchmarks.
(c) State participation. MCSAP sets conditions of participation for
States and promotes the adoption and uniform enforcement of compatible
laws, regulations, standards, and orders on CMV safety.
Sec. 350.203 What are the national MCSAP elements?
The national MCSAP elements are:
(a) Driver inspections;
(b) Vehicle inspections;
(c) Traffic enforcement;
(d) Investigations;
(e) New entrant safety audits;
(f) CMV safety programs focusing on international commerce in Border
States;
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(g) Beginning October 1, 2020, full participation in PRISM or an
acceptable alternative as determined by the Administrator;
(h) Accurate, complete, timely, and corrected data;
(i) Public education and awareness; and
(j) Other elements that may be prescribed by the Administrator.
Sec. 350.205 What entities are eligible for funding under MCSAP?
Only States are eligible to receive MCSAP grants directly from
FMCSA.
Sec. 350.207 What conditions must a State meet to qualify for MCSAP funds?
(a) General. To qualify for MCSAP funds, a State must:
(1) Designate a Lead State Agency;
(2) Assume responsibility for improving motor carrier safety by
adopting and enforcing compatible (as defined in Sec. 350.105 of this
part) laws, regulations, standards, and orders on CMV safety, except as
may be determined by the Administrator to be inapplicable to a State
enforcement program;
(3) Ensure that the State will cooperate in the enforcement of
financial responsibility requirements under part 387 of this subchapter;
(4) Provide that the State will enforce the registration
requirements under 49 U.S.C. 13902 and 31134 by prohibiting the
operation of any vehicle discovered to be operated by a motor carrier
without a registration issued under those sections or operated beyond
the scope of the motor carrier's registration;
(5) 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;
(6) Give satisfactory assurances in its CVSP that the Lead State
Agency and any subrecipient of MCSAP funds have the legal authority,
resources, and qualified personnel (including individuals certified in
accordance with 49 CFR part 385, subpart C, to perform inspections,
audits, and investigations) necessary to enforce compatible laws,
regulations, standards, and orders on CMV safety;
(7) Provide satisfactory assurances that the State will undertake
efforts that will emphasize and improve enforcement of State and local
traffic laws and regulations on CMV safety;
(8) Give satisfactory assurances that the State will devote adequate
resources to the administration of the CVSP throughout the State,
including the enforcement of compatible laws, regulations, standards,
and orders on CMV safety;
(9) Provide that the MOE of the Lead State Agency will be maintained
each fiscal year in accordance with Sec. 350.225;
(10) Provide that all reports required in the CVSP be available to
FMCSA upon request, meet the reporting requirements, and use the forms
for recordkeeping, inspections, and investigations that FMCSA
prescribes;
(11) Implement performance-based activities, including deployment
and maintenance of technology, to enhance the efficiency and
effectiveness of CMV safety programs;
(12) 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;
(13) 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);
(14) Ensure participation in information technology and data systems
as required by FMCSA for jurisdictions receiving MCSAP funding;
(15) Ensure that information is exchanged with other States in a
timely manner;
(16) Grant maximum reciprocity for inspections conducted under the
North American Standard Inspection Program through the use of a
nationally accepted system that allows ready identification of
previously inspected CMVs;
(17) Provide that the State will conduct comprehensive and highly
visible traffic enforcement and CMV safety inspection programs in high-
risk locations and corridors;
[[Page 23]]
(18) Ensure that driver or vehicle inspections will be conducted at
locations that are adequate to protect the safety of drivers and
enforcement personnel;
(19) 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);
(20) Provide satisfactory assurances that the State will address
activities in support of the national program elements listed in Sec.
350.203, including activities:
(i) 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;
(ii) Aimed at providing training to MCSAP personnel to recognize
drivers impaired by alcohol or controlled substances; and
(iii) 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 21 CFR
part 1308) by any occupant of a CMV;
(21) Ensure that detection of criminal activities and size and
weight activities described in Sec. 350.227(b), 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;
(22) Ensure consistent, effective, and reasonable sanctions;
(23) Provide that the State will include in the training manuals for
the licensing examinations to drive a CMV and non-CMV information on
best practices for driving safely in the vicinity of CMVs and non-CMVs;
(24) Require all registrants of CMVs to demonstrate their knowledge
of applicable FMCSRs, HMRs, or compatible State laws, regulations,
standards, and orders on CMV safety;
(25) Ensure that the State transmits to inspectors the notice of
each Federal exemption granted under subpart C of part 381 of this
subchapter and Sec. Sec. 390.23 and 390.25 of this subchapter that
relieves a person or class of persons in whole or in part from
compliance with the FMCSRs or HMRs that has been provided to the State
by FMCSA and identifies the person or class of persons granted the
exemption and any terms and conditions that apply to the exemption;
(26) Subject to paragraphs (b) and (c)(1) of this section, conduct
new entrant safety audits of interstate and, at the State's discretion,
intrastate new entrant motor carriers in accordance with subpart D of
part 385 of this subchapter;
(27) Subject to paragraph (c)(2) of this section, beginning October
1, 2020, participate fully in PRISM by complying with the conditions for
full participation, or receiving approval from the Administrator for an
alternative approach for identifying and immobilizing a motor carrier
with serious safety deficiencies in a manner that provides an equivalent
level of safety;
(28) Ensure that the State will cooperate in the enforcement of
hazardous materials safety permits issued under subpart E of part 385 of
this subchapter by verifying possession of the permit when required
while conducting vehicle inspections and investigations, as applicable;
and
(29) For Border States, conduct a border CMV safety program focusing
on international commerce that includes enforcement and related
projects, or forfeit all funds allocated for border-related activities.
(b) New entrant safety audits--Use of third parties. If a State uses
a third party to conduct new entrant safety audits under paragraph
(a)(26) of this section, the State must verify the quality of the work
and the State remains solely responsible for the management and
oversight of the audits.
[[Page 24]]
(c) Territories. (1) The new entrant safety audit requirement under
paragraph (a)(26) does not apply to American Samoa, the Commonwealth of
the Northern Mariana Islands, the Commonwealth of Puerto Rico, Guam, and
the Virgin Islands.
(2) The required PRISM participation date under paragraph (a)(27) of
this section does not apply to American Samoa, the Commonwealth of the
Northern Mariana Islands, the Commonwealth of Puerto Rico, Guam, and the
Virgin Islands.
Sec. 350.209 How and when does a State apply for MCSAP funds using a CVSP?
(a) MCSAP application submission format. (1) The CVSP is a 3-year
plan.
(2) The first year of the CVSP varies by State, depending on when
the State implemented the CVSP.
(3) For the first year of the CVSP, the Lead State Agency must
submit a CVSP projecting programs and projects covering 3 years and a
budget for the first fiscal year for which the CVSP is submitted, as
explained in Sec. 350.211.
(4) For the second and third years of the CVSP, the Lead State
Agency must submit an annual update and budget for that fiscal year and
any other needed adjustments or changes to the CVSP, as explained in
Sec. 350.213.
(b) MCSAP application submission deadline. (1) The Lead State Agency
must submit the first year of the CVSP, or the annual updates, to FMCSA
by the date prescribed in the MCSAP application announcement for the
fiscal year.
(2) The Administrator may extend for a period not exceeding 30 days
the deadline prescribed in the MCSAP application announcement for
document submission for good cause.
Sec. 350.211 What must a State include for the first year of the CVSP?
(a) General. (1) For the first year of the CVSP, the Lead State
Agency must submit a CVSP that complies with the MCSAP application
announcement and, at a minimum, provides a performance-based program
with a general overview section that includes:
(i) A statement of the Lead State Agency's goal or mission; and
(ii) A program summary of the effectiveness of prior activities in
reducing CMV crashes, injuries, and fatalities and in improving driver
and motor carrier safety performance.
(2) The program summary must identify and address safety or
performance problems in the State.
(3) The program summary must use 12-month data periods that are
consistent from year to year. This may be a calendar year, fiscal year,
or any 12-month period for which the State's data is current.
(4) The program summary must show trends supported by safety and
program performance data collected over several years.
(b) National MCSAP elements. (1) For the first year of the CVSP, the
Lead State Agency must include a brief narrative describing how the
State CVSP addresses the national program elements listed in Sec.
350.203.
(2) The CVSP must address each national program element even if
there are no planned activities in a program area.
(c) Resource allocation. For the first year of the CVSP, the Lead
State Agency must explain the rationale for the State's resource
allocation decisions.
(d) Specific activities. For the first year of the CVSP, the Lead
State Agency must have a narrative section that includes a description
of how the CVSP supports:
(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 and appropriate strategies for
carrying out those interdiction activities, including human trafficking,
and interdiction activities affecting the transportation of controlled
substances by any occupant of a CMV; and
(4) Activities to enforce registration requirements and to cooperate
in the enforcement of financial responsibility
[[Page 25]]
requirements under Sec. 392.9a and part 387 of this subchapter.
(e) Performance objectives. For the first year of the CVSP, the Lead
State Agency must include performance objectives, strategies, and
activities stated in quantifiable terms, that are to be achieved through
the CVSP.
(f) Monitoring. For the first year of the CVSP, the Lead State
Agency must include a description of the State's method for ongoing
monitoring of the progress of the CVSP.
(g) Budget. For the first year of the CVSP, the Lead State Agency
must include a budget for that year that describes the expenditures for
allocable costs, such as personnel and related costs, equipment
purchases, printing, information systems costs, and other eligible costs
consistent with Sec. 350.229.
(h) List of MCSAP contacts. For the first year of the CVSP, the Lead
State Agency must include a list of MCSAP contacts.
(i) Certification. (1) For the first year of the CVSP, the Lead
State Agency must certify that it has:
(i) Met all the MCSAP conditions in Sec. 350.207; and
(ii) Completed the annual review required by Sec. 350.303 and
determined that State laws, regulations, standards, and orders on CMV
safety are compatible (as defined in Sec. 350.105 of this part).
(2) If a State law, regulation, standard, or order on CMV safety is
no longer compatible, the certifying official must explain the State's
plan to address the discrepancy.
(3) A certification under this paragraph must reflect that the
certifying official has authority to make the certification on behalf of
the State.
(j) New or amended laws. For the first year of the CVSP, the Lead
State Agency must submit to FMCSA a copy of any new or amended law,
regulation, standard, or order on CMV safety that was enacted by the
State since the prior year's submission.
(k) Further submissions. For the first year of the CVSP, the Lead
State Agency must also submit other information required, as described
in the MCSAP application announcement for that fiscal year.
Sec. 350.213 What must a State include for the second and third years
of the CVSP?
(a) General. For the second and third years of the CVSP, a Lead
State Agency must submit an annual update that complies with the MCSAP
application announcement and, at a minimum, must include program goals,
certifications, and other information revised since the prior year's
submission, and the items listed in paragraphs (b) to (g) of this
section.
(b) Budget. For the second and third years of the CVSP, the Lead
State Agency must include a budget that supports the applicable fiscal
year of the CVSP and describes the expenditures for allocable costs,
such as personnel and related costs, equipment purchases, printing,
information systems costs, and other eligible costs consistent with
Sec. 350.229.
(c) Resource allocation. For the second and third years of the CVSP,
the Lead State Agency must explain the rationale for the State's
resource allocation decisions.
(d) List of MCSAP contacts. For the second and third years of the
CVSP, the Lead State Agency must include a list of MCSAP contacts.
(e) Certification. (1) For the second and third years of the CVSP,
the Lead State Agency must certify that it has:
(i) Met all the MCSAP conditions in Sec. 350.207; and
(ii) Completed the annual review required by Sec. 350.303 and
determined that State laws, regulations, standards, and orders on CMV
safety are compatible (as defined in Sec. 350.105 of this part).
(2) If a State law, regulation, standard, or order on CMV safety is
no longer compatible, the certifying official must explain the State's
plan to address the discrepancy.
(3) A certification under this paragraph must reflect that the
certifying official has authority to make the certification on behalf of
the State.
(f) New or amended laws. For the second and third years of the CVSP,
the Lead State Agency must submit to FMCSA a copy of any new or amended
law, regulation, standard, or order on CMV safety that the State enacted
since the prior year's submission.
[[Page 26]]
(g) Further submissions. For the second and third years of the CVSP,
the Lead State Agency must submit other information required, as
described in the MCSAP application announcement for that fiscal year.
Sec. 350.215 What response does a State receive to its CVSP?
(a) First year of the CVSP. (1) FMCSA will notify the Lead State
Agency within 30 days after FMCSA begins its review of the State's first
year of the CVSP, including the budget, whether FMCSA:
(i) Approves the CVSP; or
(ii) Withholds approval because the CVSP:
(A) Does not meet the requirements of this part; or
(B) Is not adequate to ensure effective enforcement of compatible
(as defined in Sec. 350.105 of this part) laws, regulations, standards,
and orders on CMV safety.
(2) If FMCSA withholds approval of the CVSP, FMCSA will give the
Lead State Agency a written explanation of the reasons for withholding
approval and allow the Lead State Agency to modify and resubmit the CVSP
for approval.
(3) The Lead State Agency will have 30 days from the date of the
notice under paragraph (a)(2) of this section to modify and resubmit the
CVSP.
(4) Failure to resubmit the modified CVSP may delay funding or
jeopardize MCSAP eligibility.
(5) Final disapproval of a resubmitted CVSP will result in
disqualification for MCSAP funding for that fiscal year.
(b) Annual update for the second or third year of the CVSP. (1)
FMCSA will notify the Lead State Agency within 30 days after FMCSA
begins its review of the State's annual update, including the budget,
whether FMCSA:
(i) Approves the annual update; or
(ii) Withholds approval because the annual update:
(A) Does not meet the requirements of this part; or
(B) Is not adequate to ensure effective enforcement of compatible
laws, regulations, standards, and orders on CMV safety.
(2) If FMCSA withholds approval of the annual update, FMCSA will
give the Lead State Agency a written explanation of the reasons for
withholding approval and allow the Lead State Agency to modify and
resubmit the annual update for approval.
(3) The Lead State Agency will have 30 days from the date of the
notice under paragraph (b)(2) of this section to modify and resubmit the
annual update.
(4) Failure to resubmit the modified annual update may delay funding
or jeopardize MCSAP eligibility.
(5) Final disapproval of a resubmitted annual update will result in
disqualification for MCSAP funding for that fiscal year.
(c) Judicial review. Any State aggrieved by an adverse decision
under this section may seek judicial review under 5 U.S.C. chapter 7.
Sec. 350.217 How are MCSAP funds allocated?
(a) General. Subject to the availability of funding, FMCSA must
allocate MCSAP funds to grantees with approved CVSPs in accordance with
this section.
(b) Territories--excluding the Commonwealth of Puerto Rico. (1) Not
more than 0.49 percent of the MCSAP funds may be allocated in accordance
with this paragraph among the Territories of American Samoa, the
Commonwealth of the Northern Mariana Islands, Guam, and the Virgin
Islands.
(2) Half of the MCSAP funds available under paragraph (b)(1) of this
section will be divided equally among the Territories.
(3) The remaining MCSAP funds available under paragraph (b)(1) of
this section will be allocated among the Territories in a manner
proportional to the Territories' populations, as reflected in the
decennial census issued by the U.S. Census Bureau.
(4) The amounts calculated under paragraphs (b)(2) and (b)(3) of
this section will be totaled for each Territory.
(5) The amounts calculated under paragraph (b)(4) of this section
will be adjusted proportionally, based on population, to ensure that
each Territory receives at least $350,000.
[[Page 27]]
(c) Border States. (1) Not more than 11 percent of the MCSAP funds
may be allocated in accordance with this paragraph among Border States
that maintain a border enforcement program.
(2) The shares for each Border State will be calculated based on the
number of CMV crossings at each United States port of entry, as
determined by the Bureau of Transportation Statistics, with each Border
State receiving:
(i) 1 share per 25,000 annual CMV crossings at each United States
port of entry on the Mexican border, with a minimum of 8 shares for each
port of entry; or
(ii) 1 share per 200,000 annual CMV crossings at each United States
port of entry on the Canadian border, with a minimum of 0.25 share for
each port of entry with more than 1,000 annual CMV crossings.
(3) The shares of all Border States calculated under paragraph
(c)(2) of this section will be totaled.
(4) Each individual Border State's shares calculated under paragraph
(c)(2) of this section will be divided by the total shares calculated in
paragraph (c)(3) of this section.
(5) The percentages calculated in paragraph (c)(4) of this section
will be adjusted proportionally to ensure that each Border State
receives at least 0.075 percent but no more than 55 percent of the total
border allocation available under paragraph (c)(1) of this section.
(6) Each Border State's percentage calculated in paragraph (c)(5) of
this section will be multiplied by the total border allocation available
under this paragraph to determine the dollar amount of the Border
State's allocation.
(7) To maintain eligibility for an allocation under this paragraph,
a Border State must maintain a border enforcement program, but may
expend more or less than the amounts allocated under this paragraph for
border activities. Failure to maintain a border enforcement program will
result in forfeiture of all funds allocated under this paragraph, but
will not affect the Border State's allocation under paragraph (d) of
this section.
(8) Allocations made under this paragraph are in addition to
allocations made under paragraph (d) of this section.
(d) States--including the Commonwealth of Puerto Rico. (1)(i) At
least 88.51 percent of the MCSAP funds must be allocated in accordance
with this paragraph (d)(1)(i) among the eligible States, including the
Commonwealth of Puerto Rico, but excluding American Samoa, the
Commonwealth of the Northern Mariana Islands, Guam, and the Virgin
Islands.
(ii) The amounts made available under paragraphs (b) and (c) of this
section that are not allocated under those paragraphs must be added to
the total amount to be allocated in accordance with this paragraph.
(iii) In the case of reallocation of funds under paragraph (c) of
this section by a Border State that no longer maintains a border
enforcement program, no portion of the reallocated funds will be
allocated to that Border State.
(2) The amount available under paragraph (d)(1) of this section will
be calculated based on each State's percentage of the national total for
each of the following equally-weighted factors:
(i) National Highway System Road Length Miles, as reported by the
Federal Highway Administration (FHWA);
(ii) All Vehicle Miles Traveled, as reported by the FHWA;
(iii) Population (annual census estimates), as issued by the U.S.
Census Bureau;
(iv) Special Fuel Consumption, as reported by the FHWA; and
(v) Carrier Registrations, as determined by FMCSA, based on the
physical State of the carrier, and calculated as the sum of interstate
carriers and intrastate hazardous materials carriers.
(3) Each State's percentages calculated in paragraph (d)(2) of this
section will be averaged.
(4) The percentage calculated in paragraph (d)(3) of this section
will be adjusted proportionally to ensure that each State receives at
least 0.44 percent but no more than 4.944 percent of the MCSAP funds
available under paragraph (d)(1) of this section.
(5) Each State's percentage will be multiplied by the total MCSAP
funds
[[Page 28]]
available under this paragraph to determine the dollar amount of the
State's allocation.
(e) Hold-harmless provision and funding cap. (1) The dollar amounts
calculated under paragraphs (c)(6) and (d)(5) of this section will be
totaled for each State and then divided by the total MCSAP funds
available for allocation under paragraphs (c) and (d) of this section to
determine a State's percentage of the total MCSAP funds.
(2) Each State's percentage of total MCSAP funding in the fiscal
year immediately prior to the year for which funding is being allocated
will be determined by dividing the State's dollar allocation by the
total MCSAP funding in that prior year, excluding funds allocated to the
Territories of American Samoa, the Commonwealth of the Northern Mariana
Islands, Guam, and the Virgin Islands.
(3) Proportional adjustments will be made to ensure that each
State's percentage of MCSAP funds as calculated under paragraph (e)(1)
of this section will be no less than 97 percent or more than 105 percent
of the State's percentage of MCSAP funds allocated for the prior fiscal
year as calculated under paragraph (e)(2) of this section.
(f) Withholding. (1) Allocations made under this section are subject
to withholdings under Sec. 350.231(d).
(2) Minimum or maximum allocations described in paragraphs (b), (c),
and (d) of this section are to be applied prior to any reduction under
Sec. 350.231(d).
(3) State MCSAP funds affected by Sec. 350.231(d) will be allocated
to the unaffected States in accordance with paragraph (d) of this
section.
(4) Paragraph (e) of this section does not apply after any reduction
under Sec. 350.231(d).
Sec. 350.219 How are MCSAP funds awarded under a continuing resolution
or an extension of FMCSA's authorization?
In the event of a continuing resolution or an extension of FMCSA's
authorization, subject to the availability of funding, FMCSA may first
issue grants to States that have the lowest percent of undelivered
obligations of the previous Federal fiscal year's funding, or as
otherwise determined by the Administrator.
Sec. 350.221 How long are MCSAP funds available to a State?
MCSAP funds obligated to a State will remain available for the
Federal fiscal year that the funds are obligated and the next 2 full
Federal fiscal years.
[85 FR 37796, June 24, 2020, as amended at 87 FR 59035, Sept. 29, 2022]
Sec. 350.223 What are the Federal and State shares of costs incurred under
MCSAP?
(a) Federal share. FMCSA will reimburse at least 85 percent of the
eligible costs incurred under MCSAP.
(b) Match. (1) In-kind contributions are acceptable in meeting a
State's matching share under MCSAP if they represent eligible costs, as
established by 2 CFR parts 200 and 1201 and the MCSAP application
announcement.
(2) States may use amounts generated under the Unified Carrier
Registration Agreement as part of the State's match required for MCSAP,
provided the amounts are not applied to the MOE required under Sec.
350.225 and are spent on eligible costs, as established by 2 CFR parts
200 and 1201 and the MCSAP application announcement.
(c) Waiver. (1) The Administrator waives the requirement for the
matching share under MCSAP for American Samoa, the Commonwealth of the
Northern Mariana Islands, Guam, and the Virgin Islands.
(2) The Administrator reserves the right to reduce or waive the
matching share under MCSAP for other States in any fiscal year:
(i) As announced in the MCSAP application announcement; or
(ii) As determined by the Administrator on a case-by-case basis.
Sec. 350.225 What MOE must a State maintain to qualify for MCSAP funds?
(a) General. Subject to paragraph (e) of this section, a State must
maintain an MOE each fiscal year for CMV safety programs eligible for
funding under this part at a level at least equal to:
(1) The average level of that expenditure for the base period of
fiscal years 2004 and 2005; or
[[Page 29]]
(2) The level of expenditure in fiscal year 2021, as adjusted under
section 5107 of the Fixing America's Surface Transportation (FAST) Act
(Pub. L. 114-94, 129 Stat. 1312, 1532-34 (2015)).
(b) Calculation. In determining a State's MOE, 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) May allow the State to use amounts generated under the Unified
Carrier Registration Agreement, provided the amounts are not applied to
the match required under Sec. 350.223;
(4) Requires the State to exclude Federal funds; and
(5) Requires the State to exclude State matching funds required
under Sec. 350.223.
(c) Costs. (1) In calculating the MOE under paragraph (b) of this
section, a State must include all eligible costs associated with
activities performed during the base period by the Lead State Agency
that receives funds under this part.
(2) In its annual MOE, a State must include only those activities
that meet the current requirements for funding eligibility under MCSAP.
(d) Waivers and modifications. (1) If a State requests, FMCSA may
waive or modify the State's obligation to meet its MOE for a fiscal year
if FMCSA determines that the waiver or modification is reasonable, based
on circumstances described by the State.
(2) Requests to waive or modify the State's obligation to meet its
MOE must be submitted to FMCSA in writing.
(3) FMCSA will review the request and provide a response as soon as
practicable, but no later than 120 days following receipt of the
request.
(e) Permanent adjustment. After Federal fiscal year 2021, at the
request of a State, FMCSA may make a permanent adjustment to reduce the
State's MOE only if a State has new information unavailable to it during
Federal fiscal year 2021.
Sec. 350.227 What activities are eligible for reimbursement under MCSAP?
(a) General. The primary activities eligible for reimbursement under
MCSAP are:
(1) Activities that support the national program elements listed in
Sec. 350.203; and
(2) Sanitary food transportation inspections performed under 49
U.S.C. 5701.
(b) Additional activities. If part of the approved CVSP and
accompanied by an appropriate North American Standard Inspection and
inspection report, additional activities eligible for reimbursement are:
(1) Enforcement of CMV size and weight limitations at locations,
other than fixed-weight facilities, where the weight of a CMV can
significantly affect the safe operation of the vehicle, such as near
steep grades or mountainous terrains, or at ports where intermodal
shipping containers enter and leave the United States; and
(2) Detection of, and enforcement activities taken as a result of,
criminal activity involving a CMV or any occupant of the vehicle,
including the trafficking of human beings.
(c) Traffic enforcement activities. (1) Documented activities to
enforce State traffic laws and regulations designed to promote the safe
operation of CMVs are eligible for reimbursement under MCSAP.
(2) Documented activities to enforce State traffic laws and
regulations relating to non-CMVs are eligible for reimbursement under
MCSAP if:
(i) The documented activities are necessary to promote the safe
operation of CMVs;
(ii) The number of motor carrier safety activities, including safety
inspections, is maintained at a level at least equal to the average
level of such activities conducted in the State in fiscal years 2014 and
2015; and
(iii) The State does not use more than 10 percent of its MCSAP funds
for enforcement activities relating to non-CMVs, unless the
Administrator determines that a higher percentage will result in
significant increases in CMV safety.
[85 FR 37796, June 24, 2020, as amended at 87 FR 59035, Sept. 29, 2022]
[[Page 30]]
Sec. 350.229 What specific costs are eligible for reimbursement under
MCSAP?
(a) General. FMCSA must establish criteria for activities eligible
for reimbursement and make those criteria available to the States in the
MCSAP application announcement before the MCSAP application period.
(b) Costs eligible for reimbursement. All costs relating to
activities eligible for reimbursement must be necessary, reasonable,
allocable, and allowable under this subpart and 2 CFR parts 200 and
1201. The eligibility of specific costs for reimbursement is addressed
in the MCSAP application announcement and is subject to review and
approval by FMCSA.
(c) Ineligible costs. MCSAP funds may not be used for the:
(1) Acquisition of real property or buildings; or
(2) Development, implementation, or maintenance of a State registry
of medical examiners.
Sec. 350.231 What are the consequences for failure to meet MCSAP
conditions?
(a) General. (1) If a State is not performing according to an
approved CVSP or not adequately meeting the conditions set forth in
Sec. 350.207, the Administrator may issue a written notice of proposed
determination of nonconformity to the chief executive of the State or
the official designated in the CVSP.
(2) The notice will set forth the reasons for the proposed
determination.
(b) Response. The State has 30 days from the date of the notice to
reply. The reply must address the discrepancy cited in the notice and
must provide documentation as requested.
(c) Final Agency decision. (1) After considering the State's reply,
the Administrator makes a final decision.
(2) In the event the State fails to timely reply to a notice of
proposed determination of nonconformity, the notice becomes the
Administrator's final determination of nonconformity.
(d) Consequences. Any adverse decision will result in FMCSA:
(1) Withdrawing approval of the CVSP and withholding all MCSAP funds
to the State; or
(2) Finding the State in noncompliance in lieu of withdrawing
approval of the CVSP and withholding:
(i) Up to 5 percent of MCSAP funds during the fiscal year that 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) Up to 50 percent of MCSAP funds for the third and any
subsequent full fiscal year of noncompliance.
(e) Judicial review. Any State aggrieved by an adverse decision
under this section may seek judicial review under 5 U.S.C. chapter 7.
Subpart C_MCSAP-Required Compatibility Review
Sec. 350.301 What is the purpose of this subpart?
The purpose of this subpart is to assist States receiving MCSAP
funds to address compatibility (as defined in Sec. 350.105), including
the availability of variances or exemptions allowed under Sec. 350.305
or Sec. 350.307, to:
(a) Promote adoption and enforcement of compatible laws,
regulations, standards, and orders on CMV safety;
(b) Provide for a continuous review of laws, regulations, standards,
and orders on CMV safety;
(c) Establish deadlines for States to achieve compatibility; and
(d) Provide States with a process for requesting variances and
exemptions for intrastate commerce.
Sec. 350.303 How does a State ensure compatibility?
(a) General. The Lead State Agency is responsible for reviewing and
analyzing State laws, regulations, standards, and orders on CMV safety
to ensure compatibility (as defined in Sec. 350.105 of this part).
(b) Compatibility deadline. As soon as practicable, but no later
than 3 years after the effective date of any new addition or amendment
to the FMCSRs or HMRs, the State must amend its laws, regulations,
standards, and orders to ensure compatibility.
[[Page 31]]
(c) State adoption of a law, regulation, standard, or order on CMV
safety. A State must submit to FMCSA a copy of any new or amended State
law, regulation, standard, or order on CMV safety immediately after its
enactment or issuance and with the State's next annual compatibility
review.
(d) Annual State compatibility review. (1) A State must conduct a
review of its laws, regulations, standards, and orders on CMV safety,
including those of its political subdivisions, for compatibility and
report in the first year of the CVSP or annual update as part of its
application for funding under Sec. 350.209 each fiscal year. In
conducting this compatibility review, the State must determine which of
its laws, regulations, standards, and orders on CMV safety are identical
to or have the same effect as, are in addition to or more stringent
than, or are less stringent than the FMCSRs or are identical to the
HMRs.
(2) As applicable to interstate commerce not involving the movement
of hazardous materials:
(i) If a State satisfactorily demonstrates a law, regulation,
standard, or order on CMV safety is identical to or has the same effect
as the FMCSRs, the State provision is compatible and enforceable.
(ii) If a State satisfactorily demonstrates a law, regulation,
standard, or order on CMV safety that is in addition to or more
stringent than the FMCSRs has a safety benefit, does not unreasonably
frustrate the Federal goal of uniformity, and does not cause an
unreasonable burden on interstate commerce when enforced, the State
provision is compatible and enforceable.
(iii) If a State law, regulation, standard, or order on CMV safety
is less stringent than the FMCSRs, the State provision is not compatible
and not enforceable.
(3) As applicable to intrastate commerce not involving the movement
of hazardous materials:
(i) If a State satisfactorily demonstrates a law, regulation,
standard, or order on CMV safety is identical to or has the same effect
as the FMCSRs, the State provision is compatible and enforceable.
(ii) If a State satisfactorily demonstrates a law, regulation,
standard, or order on CMV safety that is in addition to, more stringent
than, or less stringent than the FMCSRs falls within a limited variance
from the FMCSRs allowed under Sec. 350.305 or Sec. 350.307, the State
provision is compatible and enforceable.
(4) As applicable to interstate and intrastate commerce involving
the movement of hazardous materials, if a State satisfactorily
demonstrates a law, regulation, standard, or order on CMV safety is
identical to the HMRs, the State provision is compatible and
enforceable.
(5) The State's laws, regulations, standards, and orders on CMV
safety reviewed for the commercial driver's license compliance report
are excluded from the compatibility review.
(6) Definitions of words or terms in a State's laws, regulations,
standards, and orders on CMV safety must be compatible with those in the
FMCSRs and HMRs.
(e) Reporting to FMCSA. (1) The reporting required by paragraph (d)
of this section, to be submitted with the first year of the CVSP or
annual update, must include:
(i) A copy of any State law, regulation, standard, or order on CMV
safety that was adopted or amended since the State's last report; and
(ii) A certification that states the annual review was performed and
State laws, regulations, standards, and orders on CMV safety remain
compatible, and that provides the name of the individual responsible for
the annual review.
(2) If State laws, regulations, standards, and orders on CMV safety
are no longer compatible, the certifying official must explain the
State's plan to correct the discrepancy.
(f) FMCSA response. Not later than 10 days after FMCSA determines
that a State law, regulation, standard, or order on CMV safety is not
compatible and may not be enforced, FMCSA must give written notice of
the decision to the State.
(g) Waiver of determination. (1) A State or any person may petition
the Administrator for a waiver of a decision by the Administrator that a
State
[[Page 32]]
law, regulation, standard, or order on CMV safety is not compatible and
may not be enforced.
(2) Before deciding whether to grant or deny a waiver under this
paragraph, the Administrator shall give the petitioner an opportunity
for a hearing on the record.
(3) If the petitioner demonstrates to the satisfaction of the
Administrator that the waiver is consistent with the public interest and
the safe operation of CMVs, the Administrator shall grant the waiver as
expeditiously as practicable.
Sec. 350.305 What specific variances from the FMCSRs are allowed for
State laws and regulations applicable to intrastate commerce and are not
subject to Federal jurisdiction?
(a) General. (1) Except as otherwise provided in this section, a
State may exempt a CMV from all or part of its laws or regulations
applicable to intrastate commerce, if the gross vehicle weight rating,
gross combination weight rating, gross vehicle weight, or gross
combination weight does not equal or exceed 11,801 kilograms (26,001
pounds).
(2) A State may not exempt a CMV from laws or regulations under
paragraph (a)(1) of this section if the vehicle:
(i) Transports hazardous materials requiring a placard; or
(ii) Is designed or used to transport 16 or more people, including
the driver.
(b) Non-permissible exemption--Type of business operation. (1)
Subject to paragraph (b)(2) of this section and Sec. 350.307, State
laws and regulations applicable to intrastate commerce may not grant
exemptions based on the type of transportation being performed (e.g.,
for-hire carrier, private carrier).
(2) 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, provided the scope of the original exemption has
not been amended.
(c) Non-permissible exemption--Distance. (1) Subject to paragraph
(c)(2) of this section, State laws and regulations applicable to
intrastate commerce must not include exemptions based on the distance a
motor carrier or driver operates from the work reporting location.
(2) Paragraph (c)(1) of this section does not apply to distance
exemptions contained in the FMCSRs.
(d) Hours of service. State hours-of-service limitations applied to
intrastate transportation may vary to the extent that they allow:
(1) A 12-hour driving limit, provided that a driver of a CMV is not
permitted to drive after having been on duty more than 16 hours;
(2) Driving prohibitions for drivers who have been on duty 70 hours
in 7 consecutive days or 80 hours in 8 consecutive days; or
(3) Extending the 100-air mile radius under Sec. 395.1(e)(1)(i) of
this subchapter to a 150-air mile radius.
(e) Age of CMV driver. All intrastate CMV drivers must be at least
18 years of age.
(f) Driver physical conditions. (1) Intrastate drivers who do not
meet the physical qualification standards in Sec. 391.41 of this
subchapter may continue to be qualified to operate a CMV in intrastate
commerce if:
(i) The driver was qualified under existing State law or regulation
at the time the State adopted physical qualification standards
consistent with the Federal standards in Sec. 391.41 of this
subchapter;
(ii) The otherwise non-qualifying medical or physical condition has
not substantially worsened; and
(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 Sec. 391.41
of this subchapter if the variances are based on sound medical judgment
combined with appropriate performance standards ensuring no adverse
effect on safety.
(3) A State that has physical qualification standards or variances
continued in effect or adopted by the State under this paragraph for
drivers operating CMVs in intrastate commerce has the option not to
adopt laws and regulations that establish a separate registry of medical
examiners trained
[[Page 33]]
and qualified to apply such physical qualification standards or
variances.
(g) Additional variances. A State may apply to the Administrator for
a variance from the FMCSRs not otherwise covered by this section for
intrastate commerce. The variance will be granted only if the State
satisfactorily demonstrates that the State law, regulation, standard, or
order on CMV safety:
(1) Achieves substantially the same purpose as the similar Federal
regulation;
(2) Does not apply to interstate commerce; and
(3) Is not likely to have an adverse impact on safety.
Sec. 350.307 How may a State obtain a new exemption for State laws or
regulations for a specific industry involved in intrastate commerce?
FMCSA will only consider a State's request to exempt a specific
industry from all or part of a State's laws or regulations applicable to
intrastate commerce if the State submits adequate documentation
containing information allowing FMCSA to evaluate:
(a) The type and scope of the industry exemption request, including
the percentage of the industry it affects, number of vehicles, mileage
traveled, and number of companies it involves;
(b) The type and scope of the requirement to which the exemption
would apply;
(c) The safety performance of that specific industry (e.g., crash
frequency, rates, and comparative figures);
(d) Inspection information (e.g., number of violations per
inspection, and driver and vehicle out-of-service information);
(e) Other CMV safety regulations enforced by other State agencies
not participating in MCSAP;
(f) The commodity the industry transports (e.g., livestock or
grain);
(g) Similar exemptions granted and the circumstances under which
they were granted;
(h) The justification for the exemption; and
(i) Any identifiable effects on safety.
Sec. 350.309 What are the consequences if a State has provisions that
are not compatible?
(a) General. To remain eligible for MCSAP funding, a State may not
have in effect or enforce any State law, regulation, standard, or order
on CMV safety that the Administrator finds is not compatible (as defined
in Sec. 350.105).
(b) Process. FMCSA may initiate a proceeding to withdraw the current
CVSP approval or withhold MCSAP funds in accordance with Sec. 350.231
if:
(1) A State enacts a law, regulation, standard, or order on CMV
safety that is not compatible;
(2) A State fails to adopt a new or amended FMCSR or HMR within 3
years of its effective date; or
(3) FMCSA finds, based on its own initiative or on a petition of a
State or any person, that a State law, regulation, standard, order, or
enforcement practice on CMV safety, in either interstate or intrastate
commerce, is not compatible.
(c) Hazardous materials. Any decision regarding the compatibility of
a State law, regulation, standard, or order on CMV safety with the HMRs
that requires an interpretation will be referred to the Pipeline and
Hazardous Materials Safety Administration of the United States
Department of Transportation before proceeding under Sec. 350.231.
Subpart D_High Priority Program
Sec. 350.401 What is the High Priority Program and what entities are
eligible for funding under the High Priority Program?
The High Priority Program is a competitive financial assistance
program available to 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. The High Priority Program also promotes
the deployment and use of innovative technology by States for CMV
information systems and networks. Under this program, the Administrator
may make competitive grants to and enter into cooperative agreements
with eligible entities to carry out high priority activities and
[[Page 34]]
projects that augment motor carrier safety activities and projects. The
Administrator also may award grants to States for projects planned in
accordance with the Innovative Technology Deployment Program.
Sec. 350.403 What are the High Priority Program objectives?
FMCSA may use the High Priority Program funds to support, enrich, or
evaluate CMV safety programs and to:
(a) Target unsafe driving of CMVs and non-CMVs in areas identified
as high-risk crash corridors;
(b) Improve the safe and secure movement of hazardous materials;
(c) Improve safe transportation of goods and passengers in foreign
commerce;
(d) Demonstrate new technologies to improve CMV safety;
(e) Support participation in PRISM by Lead State Agencies:
(1) Before October 1, 2020, to achieve full participation in PRISM;
and
(2) Beginning on October 1, 2020, or once full participation in
PRISM is achieved, whichever is sooner, to conduct special initiatives
or projects that exceed routine operations for participation;
(f) Support participation in PRISM by entities other than Lead State
Agencies;
(g) Support safety data improvement projects conducted by:
(1) Lead State Agencies for projects that exceed MCSAP safety data
requirements; or
(2) Entities other than Lead State Agencies for projects that meet
or exceed MCSAP safety data requirements;
(h) Advance the technological capability and promote the Innovative
Technology Deployment of intelligent transportation system applications
for CMV operations by States, including technology to detect, and
enforce actions taken as a result of, criminal activity (including human
trafficking) in a CMV or by any occupant of a CMV, including the
operator;
(i) Increase public awareness and education on CMV safety;
(j) Support the recognition, prevention, and reporting of human
trafficking in a CMV or by any occupant of a CMV, including the
operator, and enforce laws relating to human trafficking; or
(k) Otherwise improve CMV safety.
[85 FR 37796, June 24, 2020, as amended at 87 FR 59035, Sept. 29, 2022]
Sec. 350.405 What conditions must an applicant meet to qualify for
High Priority Program funds?
(a) Motor carrier safety activities. To qualify for High Priority
Program funds related to motor carrier safety activities under Sec.
350.403 paragraphs (a) through (g), and (i) through (k):
(1) States must:
(i) Participate in MCSAP under subpart B of this part; and
(ii) Prepare a proposal that is responsive to the High Priority
Program Notice of Funding Opportunity (NOFO).
(2) Applicants other than States must, to the extent applicable:
(i) Prepare a proposal that is responsive to the NOFO;
(ii) Except for Federally-recognized Indian Tribes, coordinate the
proposal with the Lead State Agency to ensure the proposal is consistent
with State and national CMV safety program priorities;
(iii) Certify that the applicant has the legal authority, resources,
and trained and qualified personnel necessary to perform the functions
specified in the proposal;
(iv) Designate an individual who will be responsible for
implementing, reporting, and administering the approved proposal and who
will be the primary contact for the project;
(v) Agree to prepare and submit all reports required in connection
with the proposal or other conditions of the grant or cooperative
agreement;
(vi) Agree to use the forms and reporting criteria required by the
Lead State Agency or FMCSA to record work activities to be performed
under the proposal;
(vii) Certify that a political jurisdiction will impose sanctions
for violations of CMV and driver laws and regulations that are
consistent with those of the State; and
(viii) Certify participation in national databases appropriate to
the project.
(b) Innovative Technology Deployment activities. To qualify for High
Priority
[[Page 35]]
Program funds for Innovative Technology Deployment activities under
Sec. 350.403(h), States must:
(1) Prepare a proposal that is responsive to the NOFO;
(2) Have a CMV information systems and networks program plan
approved by the Administrator that describes the various systems and
networks at the State level that need to be refined, revised, upgraded,
or built to accomplish deployment of CMV information systems and
networks capabilities;
(3) Certify to the Administrator that its CMV information systems
and networks deployment activities, including hardware procurement,
software and system development, and infrastructure modifications--
(i) Are consistent with the national intelligent transportation
systems and CMV information systems and networks architectures and
available standards; and
(ii) Promote interoperability and efficiency to the extent
practicable; and
(4) Agree to execute interoperability tests developed by FMCSA to
verify that its systems conform with the national intelligent
transportation systems architecture, applicable standards, and protocols
for CMV information systems and networks.
[85 FR 37796, June 24, 2020, as amended at 87 FR 59035, Sept. 29, 2022]
Sec. 350.407 How and when does an eligible entity apply for High Priority
Program funds?
FMCSA publishes application instructions and criteria for eligible
activities to be funded under this subpart in a NOFO at least 30 days
before the financial assistance program application period closes.
Entities must submit the application by the date prescribed in the NOFO.
Sec. 350.409 What response will an applicant receive under the High
Priority Program?
(a) Approval. If FMCSA awards a grant or cooperative agreement, the
applicant will receive a grant agreement to execute.
(b) Denial. If FMCSA denies the grant or cooperative agreement, the
applicant will receive a notice of denial.
Sec. 350.411 How long are High Priority Program funds available to a
recipient?
(a) Motor carrier safety activities. High Priority Program funds
related to motor carrier safety activities under Sec. 350.403(a)
through (g), and (i) through (k) obligated to a recipient are available
for the rest of the fiscal year in which the funds are obligated and the
next 2 full fiscal years.
(b) Innovative Technology Deployment activities. High Priority
Program funds for Innovative Technology Deployment activities under
Sec. 350.403(h) obligated to a State are available for the rest of the
fiscal year in which the funds were obligated and the next 4 full fiscal
years.
[85 FR 37796, June 24, 2020, as amended at 87 FR 59035, Sept. 29, 2022]
Sec. 350.413 What are the Federal and recipient shares of costs incurred
under the High Priority Program?
(a) Federal share. FMCSA will reimburse at least 85 percent of the
eligible costs incurred under the High Priority Program.
(b) Match. In-kind contributions are acceptable in meeting the
recipient's matching share under the High Priority Program if they
represent eligible costs, as established by 2 CFR parts 200 and 1201 and
FMCSA in the NOFO.
(c) Waiver. The Administrator reserves the right to reduce or waive
the recipient's matching share in any fiscal year:
(1) As announced in the NOFO; or
(2) As determined by the Administrator on a case-by-case basis.
Sec. 350.415 What types of activities and projects are eligible for
reimbursement under the High Priority Program?
Activities that fulfill the objectives in Sec. 350.403 are eligible
for reimbursement under the High Priority Program.
Sec. 350.417 What specific costs are eligible for reimbursement under
the High Priority Program?
(a) Costs eligible for reimbursement. All costs relating to
activities eligible for reimbursement must be necessary, reasonable,
allocable, and allowable under this subpart and 2 CFR parts 200 and
1201. The eligibility of specific costs for
[[Page 36]]
reimbursement is addressed in the NOFO and is subject to review and
approval by FMCSA.
(b) Ineligible costs. High Priority Program funds may not be used
for the:
(1) Acquisition of real property or buildings; or
(2) Development, implementation, or maintenance of a State registry
of medical examiners.
PART 355 [RESERVED]
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.
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.
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.
Effective Date Note: At 82 FR 5297, Jan. 17, 2017, Sec. Sec. 360.1-
360.5 were suspended, effective Jan. 14, 2017.
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
[[Page 37]]
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 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
[[Page 38]]
establish an insurance service fee account.
(i) Each account will have a specific billing date within each month
and a billing cycle. The billing date is the date that the bill is
prepared and printed. The billing cycle is the period between the
billing date in one month and the billing date in the next month. A bill
for each account that has activity or an unpaid balance during the
billing cycle will be sent on the billing date each month. Payment will
be due 20 days from the billing date. Payments received before the next
billing date are applied to the account. Interest will accrue in
accordance with 31 CFR 901.9.
(ii) The Federal Claims Collection Standards, including disclosure
to consumer reporting agencies and the use of collection agencies, as
set forth in 31 CFR part 901, will be utilized to encourage payment
where appropriate.
(iii) An account holder who files a petition for bankruptcy or who
is the subject of a bankruptcy proceeding must provide the following
information to the Office of Registration and Safety Information (MC-RS)
at http://www.fmcsa.dot.gov:
(A) The filing date of the bankruptcy petition;
(B) The court in which the bankruptcy petition was filed;
(C) The type of bankruptcy proceeding;
(D) The name, address, and telephone number of its representative in
the bankruptcy proceeding; and
(E) The name, address, and telephone number of the bankruptcy
trustee, if one has been appointed.
(3) Fees will be payable through the U.S. Department of Treasury
secure payment system, Pay.gov, and are made directly from the payor's
bank account or by credit/debit card.
(b) Any filing that is not accompanied by the appropriate filing fee
will be rejected.
(c) Fees not refundable. Fees will be assessed for every filing
listed in the schedule of fees contained in paragraph (f) of this
section, titled, ``Schedule of filing fees,'' subject to the exceptions
contained in paragraphs (d) and (e) of this section. After the
application, petition, or other document has been accepted for filing by
FMCSA, the filing fee will not be refunded, regardless of whether the
application, petition, or other document is granted or approved, denied,
rejected before docketing, dismissed, or withdrawn.
(d) Multiple authorities. (1) A separate filing fee is required for
each type of authority sought, for example broker authority requested by
an entity that already holds motor property carrier authority or
multiple types of authority requested in the same application.
(2) Separate fees will be assessed for the filing of temporary
operating authority applications as provided in paragraph (f)(2) of this
section, regardless of whether such applications are related to an
application for corresponding permanent operating authority.
(e) Waiver or reduction of filing fees. It is the general policy of
the Federal Motor Carrier Safety Administration not to waive or reduce
filing fees except as follows:
(1) Filing fees are waived for an application that is filed by a
Federal government agency, or a State or local government entity. For
purposes of this section the phrases ``Federal government agency'' or
``government entity'' do not include a quasi-governmental corporation or
government subsidized transportation company.
(2) Filing fees are waived for a motor carrier of passengers that
receives a grant from the Federal Transit Administration either directly
or through a third-party contract to provide passenger transportation
under an agreement with a State or local government pursuant to 49
U.S.C. 5307, 5310, 5311, 5316, or 5317.
(3) The FMCSA will consider other requests for waivers or fee
reductions only in extraordinary situations and in accordance with the
following procedure:
(i) When to request. At the time that a filing is submitted to
FMCSA, the applicant may request a waiver or reduction of the fee
prescribed in this part. Such request should be addressed to the
Director, Office of Registration and Safety Information.
(ii) Basis. The applicant must show that the waiver or reduction of
the fee is in the best interest of the public, or
[[Page 39]]
that payment of the fee would impose an undue hardship upon the
requester.
(iii) FMCSA action. FMCSA 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.
------------------------------------------------------------------------
[80 FR 63702, Oct. 21, 2015, as amended at 87 FR 59035, Sept. 29, 2022]
Effective Date Note: At 82 FR 5297, Jan. 17, 2017, Sec. 360.3 was
suspended, effective Jan. 14, 2017. At 87 FR 59035, Sept. 29, 2022, the
suspension was lifted, Sec. 360.3 was amended, and the section was
again suspended indefinitely.
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 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
[[Page 40]]
(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 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
Federal Motor Carrier Safety Administration 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.
[[Page 41]]
(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; 87
FR 59035, Sept. 29, 2022]
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 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
[[Page 42]]
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.
(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
[[Page 43]]
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.
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.
[[Page 44]]
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 common, contract or private motor carriers of
property (including exempt items) between Mexico and all points in the
United States. 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; 86 FR 57068, Oct. 14,
2021]
Effective Date Note: At 82 FR 5299, Jan. 17, 2017, Sec. 365.101 was
suspended, effective Jan. 14, 2017. At 86 FR 57068, Oct. 14, 2021, the
suspension was lifted and amendments were made to Sec. 365.101. In that
same document, Sec. 365.101 was again suspended indefinitely.
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]
(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
[[Page 45]]
items) between Mexico and all points in the United States. 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, as amended at 86 FR 57068, Oct. 14, 2021]
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, 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]
[[Page 46]]
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, 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
[[Page 47]]
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.
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
[[Page 48]]
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.
(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
[[Page 49]]
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.
(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.
[[Page 50]]
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.
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
[[Page 51]]
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:
(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).
[[Page 52]]
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, 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.
[[Page 53]]
(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.
(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
[[Page 54]]
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 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
[[Page 55]]
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 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
[[Page 56]]
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 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
[[Page 57]]
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;
(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
[[Page 58]]
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.
(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
[[Page 59]]
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 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
[[Page 60]]
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.
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.
(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
[[Page 61]]
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]
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:
[[Page 62]]
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
Sec.
367.20 Fees under the Unified Carrier Registration Plan and Agreement
for registration years beginning in 2020 and ending in 2022.
367.30 Fees under the Unified Carrier Registration Plan and Agreement
for Registration Years Beginning in 2023 and Each Subsequent
Registration Year Thereafter.
Authority: 49 U.S.C. 13301, 14504a; and 49 CFR 1.87.
Source: 87 FR 53694, Sept. 1, 2022, unless otherwise noted.
Sec. 367.20 Fees under the Unified Carrier Registration Plan and Agreement
for registration years beginning in 2020 and ending in 2022.
Table 1 to Sec. 367.20--Fees Under the Unified Carrier Registration Plan and Agreement for Registration Years
Beginning in 2020 and Ending in 2022
----------------------------------------------------------------------------------------------------------------
Number of commercial motor
vehicles owned or operated Fee per entity for
by exempt or non-exempt exempt or non-exempt Fee per entity
Bracket motor carrier, motor motor carrier, motor for broker or
private carrier, or freight private carrier, or leasing company
forwarder freight forwarder
----------------------------------------------------------------------------------------------------------------
B1....................................... 0-2........................ $59 $59
B2....................................... 3-5........................ 176
B3....................................... 6-20....................... 351
B4....................................... 21-100..................... 1,224
B5....................................... 101-1,000.................. 5,835
B6....................................... 1,001 and above............ 56,977
----------------------------------------------------------------------------------------------------------------
[[Page 63]]
Sec. 367.30 Fees under the Unified Carrier Registration Plan and Agreement for Registration Years Beginning in 2023 and Each Subsequent Registration Year
Thereafter.
Table 1 to Sec. 367.30--Fees Under the Unified Carrier Registration Plan and Agreement for Registration Years
Beginning in 2023 and Each Subsequent Registration Year Thereafter
----------------------------------------------------------------------------------------------------------------
Number of commercial motor
vehicles owned or operated Fee per entity for
by exempt or non-exempt exempt or non-exempt Fee per entity
Bracket motor carrier, motor motor carrier, motor for broker or
private carrier, or freight private carrier, or leasing company
forwarder freight forwarder
----------------------------------------------------------------------------------------------------------------
B1....................................... 0-2........................ $41 $41
B2....................................... 3-5........................ 121
B3....................................... 6-20....................... 242
B4....................................... 21-100..................... 844
B5....................................... 101-1,000.................. 4,024
B6....................................... 1,001 and above............ 39,289
----------------------------------------------------------------------------------------------------------------
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, 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
[[Page 64]]
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.
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.
[[Page 65]]
(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 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
[[Page 66]]
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.
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 FMCSA, ATTN: Sec. 368.8 Appeal, 1200 New Jersey Avenue SE,
Washington, DC 20590, within 20 days of the date of the letter denying
the application.
[80 FR 63707, Oct. 21, 2015, as amended at 86 FR 57068, Oct. 14, 2021]
Effective Date Note: At 82 FR 5304, Jan. 17, 2017, Sec. 368.8 was
suspended, effective Jan. 14, 2017. At 86 FR 57068, Oct. 14, 2021, the
suspension was lifted and amendments were made to Sec. 368.8. In that
same document, Sec. 368.8 was again suspended indefinitely.
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 FMCSA, ATTN: Sec. 368.8 Appeal, 1200 New Jersey Avenue SE,
Washington, DC 20590, within 20 days of the date of the letter denying
the application. The decision will be the final agency order.
[82 FR 5304, Jan. 17, 2017, as amended at 86 FR 57068, Oct. 14, 2021]
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]
[[Page 67]]
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 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]
[[Page 68]]
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, 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:
[[Page 69]]
(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 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
[[Page 70]]
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 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
[[Page 71]]
(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.
(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.
[[Page 72]]
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.
Sec. 370.1 Applicability of regulations.
The regulations set forth in this part shall govern the processing
of claims for loss, damage, injury, or delay to property transported or
accepted for transportation, in interstate or foreign commerce, by each
motor carrier, water carrier, and freight forwarder (hereinafter called
carrier), subject to 49 U.S.C. subtitle IV, part B.
Sec. 370.3 Filing of claims.
(a) Compliance with regulations. A claim for loss or damage to
baggage or for loss, damage, injury, or delay to cargo, shall not be
voluntarily paid by a carrier unless filed, as provided in paragraph (b)
of this section, with the receiving or delivering carrier, or carrier
issuing the bill of lading, receipt, ticket, or baggage check, or
carrier on whose line the alleged loss, damage, injury, or delay
occurred, within the specified time limits applicable thereto and as
otherwise may be required by law, the terms of the bill of lading or
other contract of carriage, and all tariff provisions applicable
thereto.
(b) Minimum filing requirements. A written 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
[[Page 73]]
claimant what, if any, additional documentary evidence or other
pertinent information may be required by it further to process the claim
as its preliminary examination of the claim, as filed, may have
revealed.
(b) The carrier shall at the time each claim is received create a
separate file and assign thereto a successive claim file number and note
that number on all documents filed in support of the claim and all
records and correspondence with respect to the claim, including the
acknowledgment of receipt. At the time such claim is received the
carrier shall cause the date of receipt to be recorded on the face of
the claim document, and the date of receipt shall also appear in the
carrier's acknowledgment of receipt to the claimant. The carrier shall
also cause the claim file number to be noted on the shipping order, if
in its possession, and the delivery receipt, if any, covering such
shipment, unless the carrier has established an orderly and consistent
internal procedure for assuring:
(1) That all information contained in shipping orders, delivery
receipts, tally sheets, and all other pertinent records made with
respect to the transportation of the shipment on which claim is made, is
available for examination upon receipt of a claim;
(2) That all such records and documents (or true and complete
reproductions thereof) are in fact examined in the course of the
investigation of the claim (and an appropriate record is made that such
examination has in fact taken place); and
(3) That such procedures prevent the duplicate or otherwise unlawful
payment of claims.
[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
[[Page 74]]
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 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.
[[Page 75]]
Subpart A_General Requirements
Sec. 371.1 Applicability.
This part applies, to the extent provided therein, to all brokers of
transportation by motor vehicle as defined in Sec. 371.2.
[32 FR 20034, Dec. 20, 1967, as amended at 62 FR 15421, Apr. 1, 1997]
Sec. 371.2 Definitions.
(a) Broker means a person who, for compensation, arranges, or offers
to arrange, the transportation of property by an authorized motor
carrier. Motor carriers, or persons who are employees or bona fide
agents of carriers, are not brokers within the meaning of this section
when they arrange or offer to arrange the transportation of shipments
which they are authorized to transport and which they have accepted and
legally bound themselves to transport.
(b) Bona fide agents are persons who are part of the normal
organization of a motor carrier and perform duties under the carrier's
directions pursuant to a preexisting agreement which provides for a
continuing relationship, precluding the exercise of discretion on the
part of the agent in allocating traffic between the carrier and others.
(c) Brokerage or brokerage service is the arranging of
transportation or the physical movement of a motor vehicle or of
property. It can be performed on behalf of a motor carrier, consignor,
or consignee.
(d) Non-brokerage service is all other service performed by a broker
on behalf of a motor carrier, consignor, or consignee.
Sec. 371.3 Records to be kept by brokers.
(a) A broker shall keep a record of each transaction. For purposes
of this section, brokers may keep master lists of consignors and the
address and registration number of the carrier, rather than repeating
this information for each transaction. The record shall show:
(1) The name and address of the consignor;
(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.
[[Page 76]]
Sec. 371.10 Duties and obligations of brokers.
Where the broker acts on behalf of a person bound by law or the
FMCSA regulation as to the transmittal of bills or payments, the broker
must also abide by the law or regulations which apply to that person.
[45 FR 68943, Oct. 17, 1980, as amended at 62 FR 15421, Apr. 1, 1997]
Sec. 371.13 Accounting.
Each broker who engages in any other business shall maintain
accounts so that the revenues and expenses relating to the brokerage
portion of its business are segregated from its other activities.
Expenses that are common shall be allocated on an equitable basis;
however, the broker must be prepared to explain the basis for the
allocation.
[45 FR 68943, Oct. 17, 1980]
Subpart B_Special Rules for Household Goods Brokers
Source: 75 FR 72996, Nov. 29, 2010, unless otherwise noted.
Sec. 371.101 If I operate as a household goods broker in interstate
or foreign commerce, must I comply with subpart B of this part?
Yes, you must comply with all regulations in this subpart when you
operate as a household goods broker offering services to individual
shippers in interstate or foreign commerce. The regulations in this
subpart do not apply to a household goods broker when providing services
to commercial or government shippers in interstate or foreign commerce.
Sec. 371.103 What are the definitions of terms used in this subpart?
FMCSA means the Federal Motor Carrier Safety Administration within
the U.S. Department of Transportation.
Household goods has the same meaning as the term is defined in Sec.
375.103 of this subchapter.
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.
Physical survey has the same meaning as the term is defined in Sec.
375.103 of this subchapter.
[75 FR 72996, Nov. 29, 2010, as amended at 87 FR 24446, Apr. 26, 2022]
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
[[Page 77]]
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]
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 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.
(e) If you have a website, you are required to display prominently
either a link to the Department of Transportation (DOT) publication
titled ``Ready to Move?--Tips for a Successful Interstate Move'' (DOT
publication FMCSA-ESA-03-005, or its successor publication) on the FMCSA
website or a true and accurate copy of that document on your website.
[75 FR 72996, Nov. 29, 2010, as amended at 83 FR 16224, Apr. 16, 2018;
87 FR 24446, Apr. 26, 2022]
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. The estimate must be prepared in
accordance with a signed, written agreement, as specified in Sec.
371.115.
[[Page 78]]
(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.
[75 FR 72996, Nov. 29, 2010, as amended at 87 FR 24446, Apr. 26, 2022]
Sec. 371.115 Must I maintain agreements with motor carriers before
providing written estimates on behalf of these carriers?
(a) In order to provide estimates of charges for the transportation
of household goods, you must do so in accordance with the written
agreement required by Sec. 375.409 of this subchapter. Your written
agreement with the motor carrier(s) must include the following items:
(1) Your broker name as shown on your FMCSA registration, your
physical address, and your U.S. DOT registration number and MC license
number;
(2) The authorized motor carrier's name as shown on its FMCSA
registration, its physical address, and its U.S. DOT registration number
and MC license number;
(3) A concise, easy to understand statement that your written
estimate to the individual shipper:
(i) Will be exclusively on behalf of the authorized household goods
motor carrier;
(ii) Will be based on the authorized household goods motor carrier's
published tariff; and
(iii) Will serve as the authorized household goods motor carrier's
estimate for purposes of complying with the requirements of part 375 of
this chapter, including the requirement that the authorized household
goods motor carrier relinquishes possession of the shipment upon payment
of no more than 110 percent of a non-binding estimate at the time of
delivery;
(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:
[[Page 79]]
(1) Proof that the individual shipper cashed or deposited the check
or money order, if the financial institution provides documentary
evidence; or
(2) Proof that you delivered the refund check or money order to the
individual shipper.
Sec. 371.121 What penalties may FMCSA impose for violations of this part?
The penalty provisions of 49 U.S.C. chapter 149, Civil and Criminal
Penalties apply to this subpart. These penalties do not overlap.
Notwithstanding these civil penalties, nothing in this section deprives
an individual shipper of any remedy or right of action under existing
law.
PART 372_EXEMPTIONS, COMMERCIAL ZONES, AND TERMINAL AREAS--Table of Contents
Subpart A_Exemptions
Sec.
372.101 Casual, occasional, or reciprocal transportation of passengers
for compensation when such transportation is sold or arranged
by anyone for compensation.
372.103 Motor vehicles employed solely in transporting school children
and teachers to or from school.
372.107 Definitions.
372.109 Computation of tonnage allowable in nonfarm-non-member
transportation.
372.111 Nonmember transportation limitation and record keeping.
372.113 [Reserved]
372.115 Commodities that are not exempt under 49 U.S.C. 13506(a)(6).
372.117 Motor transportation of passengers incidental to transportation
by aircraft.
Subpart B_Commercial Zones
372.201 Albany, NY.
372.203 Beaumont, TX.
372.205 Charleston, SC.
372.207 Charleston, WV.
372.209 Lake Charles, LA.
372.211 Pittsburgh, PA.
372.213 Pueblo, CO.
372.215 Ravenswood, WV.
372.217 Seattle, WA.
372.219 Washington, DC.
372.221 Twin Cities.
372.223 Consolidated governments.
372.225 Lexington-Fayette Urban County, KY.
372.227 Syracuse, NY.
372.229 Spokane, WA.
372.231 Tacoma, WA.
372.233 Chicago, IL.
372.235 New York, NY.
372.237 Cameron, Hidalgo, Starr, and Willacy Counties, TX.
372.239 Definitions.
372.241 Commercial zones determined generally, with exceptions.
372.243 Controlling distances and population data.
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.
Appendix A to Part 372--Commercial Zones
Authority: 49 U.S.C. 13504 and 13506; Pub. L. 105-178, sec. 4031,
112 Stat. 418; and 49 CFR 1.87.
Subpart A_Exemptions
Source: 32 FR 20036, Dec. 20, 1967, unless otherwise noted.
Redesignated at 61 FR 54708, Oct. 21, 1996.
Sec. 372.101 Casual, occasional, or reciprocal transportation of
passengers for compensation when such transportation is sold or arranged
by anyone for compensation.
The partial exemption from regulation under the provisions of 49
U.S.C. subtitle IV, part B of the casual, occasional, and reciprocal
transportation of passengers by motor vehicle in interstate or foreign
commerce for compensation as provided in 49 U.S.C. 13506(b) be, and it
is hereby, removed to the extent necessary to make applicable all
provisions of 49 U.S.C. subtitle IV, part B to such transportation when
sold or offered for sale, or provided or procured or furnished or
arranged for, by any person who sells, offers for sale, provides,
furnishes, contracts, or arranges for such transportation for
compensation or as a regular occupation or business.
[32 FR 20036, Dec. 20, 1967. Redesignated at 61 FR 54708, Oct. 21, 1996,
as amended at 62 FR 15421, Apr. 1, 1997]
[[Page 80]]
Sec. 372.103 Motor vehicles employed solely in transporting school
children and teachers to or from school.
The exemption set forth in 49 U.S.C. 13506(a)(1) shall not be
construed as being inapplicable to motor vehicles being used at the time
of operation in the transportation of schoolchildren and teachers to or
from school, even though such motor vehicles are employed at other times
in transportation beyond the scope of the exemption.
[36 FR 9022, May 18, 1971, as amended at 62 FR 15421, Apr. 1, 1997]
Sec. 372.107 Definitions.
As used in the regulations in this part, the following terms shall
have the meaning shown:
(a) Cooperative association. The term ``cooperative association''
means an association which conforms to the following definition in the
Agricultural Marketing Act, approved June 15, 1929, as amended (12
U.S.C. 1141j):
As used in this Act, the term cooperative association means any
association in which farmers act together in processing, preparing for
market, handling, and/or marketing the farm products of persons so
engaged, and also means any association in which farmers act together in
purchasing, testing, grading, processing, distributing, and/or
furnishing farm supplies and/or farm business services. Provided,
however, That such associations are operated for the mutual benefit of
the members thereof as such producers or purchasers and conform to one
or both of the following requirements:
First. That no member of the association is allowed more than one
vote because of the amount of stock or membership capital he may own
therein; and
Second. That the association does not pay dividends on stock or
membership capital in excess of 8 per centum per annum.
And in any case to the following:
Third. That the association shall not deal in farm products, farm
supplies and farm business services with or for nonmembers in an amount
greater in value than the total amount of such business transacted by it
with or for members. All business transacted by any cooperative
association for or on behalf of the United States or any agency or
instrumentality thereof shall be disregarded in determining the volume
of member and nonmember business transacted by such association.
Associations which do not conform to such definition are not eligible to
operate under the partial exemption of 49 U.S.C. 13506(a)(5).
(b) Federation of cooperative associations. The term ``federation of
cooperative associations'' means a federation composed of either two or
more cooperative associations, or one or more farmers, which federation
possesses no greater powers or purposes than a cooperative association
as defined in paragraph (a) of this section. Federations of cooperative
associations which do not conform to such definition are not eligible to
operate under the partial exemption of 49 U.S.C. 13506(a)(5).
(c) Member. The term ``member'' means any farmer or cooperative
association which has consented to be, has been accepted as, and is a
member in good standing in accordance with the constitution, bylaws, or
rules of the cooperative association or federation of cooperative
associations.
(d) Farmer. The term ``farmer'' means any individual, partnership,
corporation, or other business entity to the extent engaged in farming
operations either as a producer of agricultural commodities or as a farm
owner.
(e) Interstate transportation. The term ``interstate
transportation'' means transportation by motor vehicle in interstate or
foreign commerce subject to the FMCSA's jurisdiction as set forth in 49
U.S.C. 13501.
(f) Member transportation. The term ``member transportation'' means
transportation performed by a cooperative association or federation of
cooperative associations for itself or for its members, but does not
include transportation performed in furtherance of the nonfarm business
of such members.
(g) Nonmember transportation. The term ``nonmember transportation''
means transportation performed by a cooperative association or
federation of cooperative associations other than member transportation
as defined in paragraph (f) of this section.
[[Page 81]]
(h) Fiscal year. The term ``fiscal year'' means the annual
accounting period adopted by the cooperative association or federation
of cooperative associations for Federal income tax reporting purposes.
[43 FR 2397, Jan. 17, 1978, as amended at 45 FR 45524, July 3, 1980; 47
FR 13353, Mar. 30, 1982; 47 FR 15142, Apr. 8, 1982; 66 FR 49870, Oct. 1,
2001]
Sec. 372.109 Computation of tonnage allowable in nonfarm-non-member
transportation.
Interstate transportation performed by a cooperative association or
federation of cooperative associations for nonmembers who are not
farmers, cooperative associations, or federations of associations or the
United States Government for compensation, (except transportation
otherwise exempt under subtitle IV, part B, chapter 135 of title 49 of
the United States Code) shall be limited to that which is incidental to
its primary transportation operation and necessary for its effective
performance. It shall in no event exceed 25 percent of its total
interstate transportation services in any fiscal year, measured in terms
of tonnage. A cooperative association or federation of cooperative
associations may transport its own property, its members' property,
property of other farmers and the property of other cooperatives or
federations in accordance with existing law, except where the provisions
of Sec. 372.111 may be applicable to the limit on member/nonmember
transportation.
(a) The phrase ``incidental to its primary transportation operation
and necessary for its effective performance'' means that the interstate
transportation of the cooperative association or federation of
cooperative associations for nonmembers as described above is performed
with the same trucks or tractors employed in a prior or subsequent trip
in the primary transportation operation of the cooperative association
or federation, that it is not economically feasible to operate the
trucks or tractors empty on return trips (outbound trips in cases where
the primary transportation operation is inbound to the association or
federation), and that the additional income obtained from such
transportation is necessary to make the primary transportation operation
financially practicable. Transportation for nonmembers as described
above performed by a cooperative or federation through the use of trucks
or tractors trip-leased for one-way movements with the cooperative
association or federation acting as leasee, is not incidental and
necessary;
(b) The base tonnage to which the 25-percent limitation is applied
is all tonnage of all kinds transported by the cooperative association
or federation of cooperative associations in interstate or foreign
commerce, whether for itself, its members or nonmembers, for or on
behalf of the United States or any agency or instrumentality thereof,
and that performed within the exemption provided by 49 U.S.C.
13506(a)(5).
[43 FR 2397, Jan. 17, 1978, as amended at 43 FR 21894, May 22, 1978; 45
FR 45524, July 3, 1980; 62 FR 49940, Sept. 24, 1997; 66 FR 49870, Oct.
1, 2001; 78 FR 58478, Sept. 24, 2013]
Sec. 372.111 Nonmember transportation limitation and record keeping.
(a) Overall limitation of nonmember transportation. No cooperative
association or federation of cooperative associations may engage in
nonmember interstate transportation for compensation in any fiscal year
which, measured in terms of tonnage, exceeds its total interstate member
transportation in such fiscal year.
(b) Records of interstate transportation when nonmember
transportation is performed. Any cooperative association or federation
of cooperative associations performing interstate transportation for
nonmembers shall prepare and retain for a period of at least two years
written records of all interstate transportation performed for members
and nonmembers. These records shall contain:
(1) The date of the shipment,
(2) The names and addresses of the consignor and consignee,
(3) The origin and destination of the shipment,
(4) A description of the articles in the shipment,
(5) The weight or volume of the shipment,
(6) A description of the equipment used either by unit number or
license
[[Page 82]]
number and, in the event this equipment is nonowned, the name and
address of its owners and drivers,
(7) The total charges collected,
(8) A copy of all leases executed by the cooperative association or
federation of cooperative associations to obtain equipment to perform
transportation under 49 U.S.C. 13506(a)(5),
(9) Whether the transportation performed is:
(i) Member transportation,
(ii) Nonmember transportation for nonmembers who are farmers,
cooperative associations, or federations thereof,
(iii) Other nonmember transportation, and if of class (iii), how the
transportation was incidental and necessary as defined in Sec.
372.109(a).
[43 FR 2397, Jan. 17, 1978, as amended at 45 FR 45524, July 3, 1980; 62
FR 38036, July 16, 1997; 62 FR 49940, Sept. 24, 1997]
Sec. 372.113 [Reserved]
Sec. 372.115 Commodities that are not exempt under 49 U.S.C. 13506(a)(6).
49 U.S.C. 13506(a)(6) provides an exemption from regulation for
motor vehicles used in carrying ordinary livestock, fish, and
unmanufactured agricultural commodities. Certain specific commodities
have been statutorily determined to be non-exempt. Administrative Ruling
No. 133, which is reproduced below, is a list of those commodities that
are non-exempt by statute.
Administrative Ruling No. 133
List of Commodities That Are Not Exempt by Statute Under 49 U.S.C.
13506(a)(6)
Animal fats
Butter
Canned fruits and vegetables
Carnauba wax as imported in slabs or chunks
Cattle, slaughtered
Charcoal
Cheese
Coal
Cocoa beans
Coffee, beans, roasted, or instant
Copra meal
Cotton yarn
Cottonseed cake or meal
Diatomaceous earth
Dinners, frozen
Feeds:
Alfalfa meal
Alfalfa pellets
Beet pulp
Bran shorts
Copra meal
Corn gluten
Distilled corn grain residues, with or without solubles added
Fish meal
Hominy feed
Middlings
Pelletized ground refuse screenings
Wheat bran
Wheat shorts
Fertilizer, commercial
Fish:
Canned or salted as a treatment for preserving
Cooked or partially cooked fish or shrimp, frozen or unfrozen
Hermetically sealed in containers as a treatment for preserving
Oil from fishes
Preserved, or treated for preserving, such as smoked, salted,
pickled, spiced, corned or kippered
Flagstone
Flaxseed meal
Flour
Forest products:
Resin products, such as turpentine
Fruits and Berries:
Bananas, fresh, dried, dehydrated, or frozen
Canned
Frozen
Hulls of oranges after juice extractions
Juice, fruit, plain or concentrated
Pies, frozen
Preserved, such as jam
Purees, strawberry and other, frozen
Grains:
Oils extracted from grain
Popcorn, popped
Rice, precooked
Wheat germ
Gravel
Hair, hog or other animal, product of slaughter of animal
Hay, sweetened with 3 percent molasses by weight
Hemp fiber
Hides, green and salted
Insecticides
Limestone, agricultural
Livestock:
Monkeys
Race horses
Show horses
Zoo animals
Lumber, rough sawed or planed
Maple syrup
Meal:
Alfalfa
[[Page 83]]
Copra
Cottonseed
Fish
Flaxseed
Linseed
Peanut
Soybean
Meat and meat products, fresh, frozen or canned
Milk and Cream:
Chocolate
Condensed
Sterilized in hermetically sealed cans
Molasses
Nuts (including peanuts):
Peanut meal
Roasted or boiled
Oil, mint
Oil, extracted from vegetables, grain, seed, fish or other commodity
Pelts
Pies, frozen
Pigeons, racing
Pulp, beet
Pulp, sugar cane
Rock (except natural crushed, vesicular rock to be used for decorative
purposes)
Rubber, crude, in bales
Rubber, latex, natural, liquid, from which water has been extracted and
to which ammonia has been added
Sand
Seeds:
Oil extracted from seeds
Skins, animal
Soil, potting
Soil, top
Soup, frozen
Sugar
Sugar cane pulp
Sugar raw
Syrup, cane
Syrup, maple
Tea
Tobacco:
Cigars and cigarettes
Homogenized
Smoking
Top Soil
Trees:
Sawed into lumber
Vegetables:
Candied sweet potatoes, frozen
Canned
Cooked
French fried potatoes
Oil, extracted from vegetables
Soup, frozen
Soybean meal
Wool imported from a foreign country
Wool tops and noils
Wool waste (carded, spun, woven, or knitted)
Wool yarn
Note 1: Under 49 U.S.C. 13506(a)(6)(D), any listed fish or shellfish
product that is not intended for human consumption is exempt.
Note 2: Under 49 U.S.C. 13506(a)(6)(E), any listed livestock feed,
poultry feed, agricultural seeds, or plants that are transported to a
site of agricultural production or to a business enterprise engaged in
the sale to agricultural producers of goods used in agricultural
production is exempt
[53 FR 17707, May 18, 1988, as amended at 62 FR 15421, Apr. 1, 1997]
Sec. 372.117 Motor transportation of passengers incidental to
transportation by aircraft.
(a) Passengers having an immediately prior or subsequent movement by
air. The transportation of passengers by motor vehicle is transportation
incidental to transportation by aircraft provided (1) that it is
confined to the transportation of passengers who have had or will have
an immediately prior or immediately subsequent movement by air and (2)
that the zone within which motor transportation is incidental to
transportation by aircraft, except as it may be individually determined
as provided in paragraph (c) of this section, shall not exceed in size
the area encompassed by a 25-mile radius of the boundary of the airport
at which the passengers arrive or depart and by the boundaries of the
commercial zones (as defined by the Secretary) of any municipalities any
part of whose commercial zones falls within the 25-mile radius of the
pertinent airport.
(b) Substituted motor-for-air transportation due to emergency
conditions. Transportation of passengers by motor vehicle is
transportation incidental to transportation by aircraft if it
constitutes substituted motor-for-air service performed at the expense
of the air carrier in emergency situations arising from the inability of
the air carrier to perform air transportation due to adverse weather
conditions, equipment failure, or other causes beyond the control of the
air carrier.
(c) Individual determination of exempt zones. Upon its own motion or
upon petition filed by any interested person, the Secretary may in an
appropriate proceeding, determine whether the area within which the
transportation
[[Page 84]]
by motor vehicle of passengers having an immediately prior or subsequent
movement by air must be performed, in order to come within the
provisions of paragraph (a) of this section, should be individually
determined with respect to any particular airport or city served by an
airport, and whether there should be established therefor appropriate
boundaries differing in extent from this defined in paragraph (a)(2) of
this section.
(d) Exempt zones and operations--(1) Dulles and Baltimore-Washington
International Airports. The transportation by motor vehicle, in
interstate or foreign commerce, of passengers, having an immediately
prior or subsequent movement by air, between Dulles International
Airport, near Chantilly, Va., and Baltimore-Washington International
Airport, near Baltimore, Md., is partially exempt from regulation under
49 U.S.C. 13506(a)(8)(A).
(2) Savannah, Ga., Airport. The transportation by motor vehicle, in
interstate or foreign commerce, of passengers, having an immediately
prior or subsequent movement by air, between Savannah, Ga., Airport and
all points on Hilton Head Island, SC, is partially exempt from
regulation under 49 U.S.C. 13506(a)(8)(A).
(3) Chicago O'Hare International Airport (Chicago, Ill.). The
transportation by motor vehicle, in interstate or foreign commerce, of
passengers, having an immediately prior or subsequent movement by air,
between O'Hare International Airport, at Chicago, Ill., on the one hand,
and, on the other, points in Indiana on and north of U.S. Highway 30 and
on and west of Indiana Highway 49, is partially exempt from regulation
under 49 U.S.C. 13506(a)(8)(A).
[32 FR 20036, Dec. 20, 1967, as amended at 37 FR 5252, Mar. 11, 1972; 42
FR 10003, Feb. 18, 1977; 42 FR 15705; Mar. 23, 1977; 62 FR 15421, Apr.
1, 1997; 78 FR 58478, Sept. 24, 2013]
Subpart B_Commercial Zones
Source: 41 FR 56653, Dec. 29, 1976, unless otherwise noted.
Redesignated at 61 FR 54708, Oct. 21, 1996.
Sec. 372.201 Albany, NY.
The zone adjacent to, and commercially a part of Albany, N.Y.,
within which transportation by motor vehicle, in interstate or foreign
commerce, not under common control, management, or arrangement for a
continuous carriage or shipment to or from a point beyond such zone, is
partially exempt from regulations under 49 U.S.C. 13506(b)(1) includes
and is comprised of all points as follows:
(a) The municipality of Albany, N.Y., itself.
(b) All points within a line drawn eight miles beyond the municipal
limits of Albany.
(c) All points in that area more than eight miles beyond the
municipal limits of Albany bounded by a line as follows: Beginning at
that point on the western boundary of Cohoes, N.Y., where it crosses the
line described in paragraph (b) of this section, thence along the
western and northern boundary of Cohoes to the Mohawk River thence along
such river to the northern boundary of the Town of Waterford thence
along the northern and eastern boundaries of the Town of Waterford to
the northern boundary of the City of Troy (all of which city is included
under the next provision).
(d) All of any municipality any part of which is within the limits
of the combined areas defined in paragraphs (b) and (c) of this section,
and
(e) All of any municipality wholly surrounded, or so surrounded
except for a water boundary, by the municipality of Albany or any other
municipality included under the terms of paragraph (d) of this section.
[41 FR 56653, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]
Sec. 372.203 Beaumont, TX.
The zone adjacent to, and commercially a part of Beaumont, Tex.,
within which transportation by motor vehicle in interstate or foreign
commerce, not under common control, management, or arrangement for a
continuous carriage or shipment to or from a point beyond such zone, is
partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes
and is comprised of all points as follows:
[[Page 85]]
(a) The municipality of Beaumont, Tex., itself;
(b) All points within a line drawn 8 miles beyond the municipal
limits of Beaumont;
(c) All points in Jefferson County and Orange County, Tex.;
(d) All of any municipality any part of which is within the limits
of the combined areas defined in paragraphs (b) and (c) of this section,
and
(e) All of any municipality wholly surrounded, or so surrounded
except for a water boundary, by the municipality of Beaumont or by any
other municipality included under the terms of paragraph (d) of this
section.
[41 FR 56653, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]
Sec. 372.205 Charleston, S.C.
The zone adjacent to, and commercially a part of Charleston, S.C.,
within which transportation by motor vehicle in interstate or foreign
commerce, not under common control, management, or arrangement for a
continuous carriage or shipment to or from a point beyond such zone, is
partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes
and is comprised of all points as follows:
(a) The municipality of Charleston, S.C., itself;
(b) All points within a line drawn 6 miles beyond the municipal
limits of Charleston;
(c) Those points in Charleston County, S.C., which are not within
the areas described in paragraph (b) of this section; and those points
in Berkley County, S.C., which are not within the areas described in
paragraph (b) of this section, and which are west of South Carolina
Highway 41; and all points in Dorchester County, SC.
(d) All of any municipality any part of which is within the limits
of the combined areas defined in paragraphs (b) and (c) of this section,
and
(e) All of any municipality wholly surrounded, or so surrounded
except for a water boundary, by the municipality of Charleston or by any
other municipality included under the terms of paragraph (d) of this
section.
[41 FR 56653, Dec. 29, 1976, as amended at 46 FR 28658, May 28, 1981; 62
FR 15422, Apr. 1, 1997]
Sec. 372.207 Charleston, WV.
The zone adjacent to, and commercially a part of Charleston, W. Va.,
within which transportation by motor vehicle in interstate or foreign
commerce, not under common control, management, or arrangement for a
continuous carriage or shipment to or from a point beyond such zone, is
partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes
and is comprised of all points as follows:
(a) The municipality of Charleston, W. Va., itself;
(b) All points within a line drawn 6 miles beyond the municipal
limits of Charleston;
(c) Those points in Kanawha County, W. Va., which are not within the
area described in paragraph (b) of this section; and those points in
Putnam County, W. Va., south of West Virginia Highway 34;
(d) All of any municipality any part of which is within the limits
of the combined areas defined in paragraphs (b) and (c) of this section,
and
(e) All of any municipality wholly surrounded, or so surrounded
except for a water boundary, by the municipality of Charleston or by any
other municipality included under the terms of paragraph (d) of this
section.
[41 FR 56653, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]
Sec. 372.209 Lake Charles, LA.
The zone adjacent to, and commercially a part of Lake Charles, La.,
within which transportation by motor vehicle in interstate or foreign
commerce, not under common control, management, or arrangement for a
continuous carriage or shipment to or from a point beyond such zone, is
partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes
and is comprised of all points as follows:
(a) The municipality of Lake Charles, La., itself;
(b) All points within a line drawn 6 miles beyond the municipal
limits of Lake Charles;
(c) Those points in Calcasieu Parish, La., which are not within the
area described in paragraph (b) of this section; and which are east of
Louisiana Highway 27 (western section);
[[Page 86]]
(d) All of any municipality any part of which is within the limits
of the combined areas defined in paragraphs (b) and (c) of this section,
and
(e) All of any municipality wholly surrounded, or so surrounded
except for a water boundary, by the municipality of Lake Charles or by
any other municipality included under the terms of paragraph (d) of this
section.
[41 FR 56653, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]
Sec. 372.211 Pittsburgh, PA.
The zone adjacent to, and commercially a part of Pittsburgh within
which transportation by motor vehicle in interstate or foreign commerce,
not under common control, management, or arrangement for a continuous
carriage or shipment to or from a point beyond such zone, is partially
exempt from regulation under 49 U.S.C. 13506(b)(1) includes and is
comprised of all points as follows:
(a) The municipality of Pittsburgh, Pa., itself;
(b) All points within a line drawn 15 miles beyond the municipal
limits of Pittsburgh;
(c) Those points in Allegheny County, Pa., which are not within the
area described in paragraph (b) of this section;
(d) All of any municipality any part of which is within the limits
of the combined areas defined in paragraphs (b) and (c) of this section,
and
(e) All of any municipality wholly surrounded, or so surrounded
except for a water boundary, by the municipality of Pittsburgh or by any
other municipality included under the terms of paragraph (d) of this
section.
[41 FR 56654, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997; 78
FR 58478, Sept. 24, 2013]
Sec. 372.213 Pueblo, CO.
The zone adjacent to, and commercially a part of Pueblo, Colo.,
within which transportation by motor vehicle in interstate or foreign
commerce, not under common control, management, or arrangement for a
continuous carriage or shipment to or from a point beyond such zone, is
partially exempt from regulations under 49 U.S.C. 13506(b)(1) includes
and is comprised of all points as follows:
(a) The municipality of Pueblo, Colo., itself;
(b) All points within a line drawn 6 miles beyond the municipal
limits of Pueblo;
(c) Those points in Pueblo County, Colo., which are not within the
area described in paragraph (b) of this section;
(d) All of any municipality any part of which is within the limits
of the combined areas defined in paragraphs (b) and (c) of this section,
and
(e) All of any municipality wholly surrounded, or so surrounded
except for a water boundary, by the municipality of Pueblo or by any
other municipality included under the terms of paragraph (d) of this
section.
[41 FR 56654, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997; 78
FR 58478, Sept. 24, 2013]
Sec. 372.215 Ravenswood, WV.
The zone adjacent to, and commercially a part of Ravenswood, W. Va.,
within which transportation by motor vehicle in interstate or foreign
commerce, not under common control, management, or arrangement for a
continuous carriage or shipment to or from a point beyond such zone, is
partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes
and is comprised of all points as follows:
(a) The municipality of Ravenswood, W. Va., itself;
(b) All points within a line drawn 4 miles beyond the municipal
limits of Ravenswood;
(c) Those points in Jackson County, W. Va., which are not within the
area described in paragraph (b) of this section, and which are north of
U.S. Highway 33;
(d) All of any municipality any part of which is within the limits
of the combined areas defined in paragraphs (b) and (c) of this section,
and
(e) All of any municipality wholly surrounded, or so surrounded
except for a water boundary, by the municipality of Ravenswood or by any
other municipality included under the terms of paragraph (d) of this
section.
[41 FR 56654, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]
[[Page 87]]
Sec. 372.217 Seattle, WA.
The zone adjacent to, and commercially a part of Seattle, Wash.,
within which transportation by motor vehicle in interstate or foreign
commerce, not under common control, management, or arrangement for a
continuous carriage or shipment to or from a point beyond such zone, is
partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes
and is comprised of all points as follows:
(a) The municipality of Seattle, Wash., itself;
(b) All points within a line drawn 15 miles beyond the municipal
limits of Seattle;
(c) Those points in King County, Wash., which are not within the
area described in paragraph (b) of this section, and which are west of a
line beginning at the intersection of the line described in paragraph
(b) of this section and Washington Highway 18, thence northerly along
Washington Highway 18 to junction of Interstate Highway 90, thence
westerly along Interstate Highway 90 to junction Washington Highway 203,
thence northerly along Washington Highway 203 to the King County line;
and those points in Snohomish County, Wash., which are not within the
area described in paragraph (b) of this section and which are west of
Washington Highway 9; and those points in Kitsap County, Wash., which
are not within the area described in paragraph (b) of this section lying
within the area bounded by a line beginning at the intersection of the
line described in paragraph (b) of this section and Washington Highway 3
to the boundary of Olympic View Industrial Park/Bremerton-Kitsap County
Airport, thence westerly, southerly, easterly, and northerly along the
boundary of Olympic View Industrial Park/ Bremerton-Kitsap County
Airport to its juncture with Washington Highway 3 to its intersection
with the line described in paragraph (b) of this section.
(d) All of any municipality any part of which is within the limits
of the combined areas defined in paragraphs (b) and (c) of this section,
and
(e) All of any municipality wholly surrounded, or so surrounded
except for a water boundary, by the municipality of Seattle or by any
other municipality included under the terms of paragraph (d) of this
section.
[41 FR 56654, Dec. 29, 1976, as amended at 46 FR 25314, May 6, 1981; 62
FR 15422, Apr. 1, 1997]